International Scientific Siberian Transport Forum TransSiberia - 2021: Volume 1 (Lecture Notes in Networks and Systems, 402) 3030963799, 9783030963798
The book presents latest developments in the field of high-speed railway, Hyperloop transportation technologies and Magl
106 92 127MB
English Pages 1645 [1646] Year 2022
Contents
Development of Shared Consumption Economic Forms in Urban Transportation Systems
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Formation of the Energy Efficiency Estimation Principle System of Russian Regions Within the Developed Typology
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Development of the Efficiency Level Estimation Algorithm of the Regional Energy Saving Policy
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Examination of the Stress-Strain State of Service Tunnels at the Airport “Domodedovo”
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Social Economic Development Control and Management in the Context of Integration Transformations
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Reversion Assessment Methods During the Determination of the Market Value of the Immovable Property
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Module Concept of the Training and Certification of the Personnel for the Non-destructive Testing for the Railway Transport
1 Introduction
2 Methods
3 Discussion
4 Results
5 Conclusion
References
Method of the Fatigue Failure Control Point Determination of Structural Sections of Tunnel Escalators
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Determination of the Need in the Performance of Organization Changes
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
The Evolution of Ramsey Pricing in Freight Rail Tariffs
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Assessment of Normative Documentation for Ultrasonic Inspection of Railway Vehicles’ Welded Joints During Fabrication
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
The Third-Generation University Ecosystem in the Context of Global Digitalization
1 Introduction
2 Methods
3 Results
4 Discussion
4.1 The Mission of the University Ecosystem
4.2 Conditions and Principles of Sustainable Development of the University Ecosystem
4.3 The Value Chain Created by a Third-Generation University in the Digital Economy
4.4 Principles of University Ecosystem Management
5 Conclusions
References
Business Transport Ecosystems in Transport Education: Specifics and Potential
1 Introduction
2 Methods
3 Results
3.1 Characteristics of the Modern University Ecosystem
4 Discussion
5 Conclusions
References
Eco-protective Technologies in Transport Construction
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Regulation of Foam Stability for Non-autoclave Foam Concrete with Additives of Colloidal Nature
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Artificial Intelligence as a Basic Resource of Modern Transport Infrastructure
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
A Study of the Interaction Between Rail and Maritime Transport
1 Introduction
2 Methods
3 Result
4 Conclusions
References
Method of Reducing Frontal Aerodynamic Drag of the Pipeline Transport Vehicle
1 Introduction
2 Methods
3 Results
3.1 Results of Research in 2-dFormulation
3.2 Research Results in 3-dFormulation of the Problem
4 Conclusion
References
Design Features of Traction Motors with Permanent Magnets on the Rotor for Mainline Electric Locomotives
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusions
References
Retrieval and Shaping of Effective Steel Wall Reinforcement Zones in a Hybrid Girder Building Structure with Composite Materials
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Modernization of Urban Planning Methods as a Condition for the Formation of the City Transport System
1 Introduction
2 Methods
3 Results
3.1 On the Current State of the Omsk Modern Planning Structure
3.2 Route Map Optimisation
3.3 On the State of Transport Infrastructure
3.4 Urban Ecology
3.5 Shaping a Comfortable Urban Space
3.6 Accessibility of the Urban Environment
4 Discussion
References
Risks of Investing in Business Projects: Analysis, Evaluation, Management
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Stages and Directions of Innovative Development of the Transport Industry: Digitalization of Russian Railroads
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Weight and Speed Optimization for Goods Trains on Cargo-Intensive Railway Sections
1 Introduction
2 Materials and Methods
3 Results Analysis
4 Summary
5 Conclusion
References
Digital Integration of the Entity’s Risk Management with Strategy and Business Performance
1 Introduction
2 Materials and Methods
3 Results
4 Results Analysis
5 Conclusion
References
Technical and Economic Efficiency of Intelligent Data Analysis on the Railways of the Uzbekistan Republic
1 Introduction
2 Materials and Methods
3 Results
4 Discussion/Analysis of Results
5 Conclusion
References
Volume Accounting of Buildings and Premises and the Use of Mobile LIDAR Technology in the Cadastre
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusion
References
Application of the Hierarchy Analysis Method in Assessing the Efficiency Real Estate Use of Railway Transport
1 Introduction
2 Research Methods
3 Results
4 Analysis of Results
5 Conclusion
References
Gender Characteristics of Psychological Well-Being and Control Locus of Future Transport Professionals
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Application of Steel-Concrete Beam Structures in Transport Construction
1 Introduction
2 Methodology
3 Results
4 Conclusion
References
Hybrid Beam Structures of Transport Buildings
1 Introduction
2 Methods
3 Research Setting
4 Results
5 Conclusion
References
Assessment of the Aerodynamic Impact on Pedestrian Overpasses in High-Speed Traffic
1 Introduction
2 Description of the Aerodynamic Impact of High-Speed Rolling Stock on a Pedestrian Overpass
3 Existing Regulatory and Methodological Framework
4 Determination of the Aerodynamic Force Acting on the Overpass Using Existing Methodology and Numerical Modelling Methods
5 Conclusion
References
Development and Verification of a Computational Model of the Aerodynamic Impact of High-Speed Rolling Stock on Infrastructure Facilities
1 Introduction
2 Creating a Calculation Model
3 Analysing the Results and Verifying the Model
4 Conclusion
References
Self-actualization Characteristics, Subjective Well-Being and Copying Strategies of the Russian Railway Employees
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Drains that Provide Highly Efficient Drainage of the Subgrade and Increase of the Subgrade
1 Introduction
2 Methodology
3 Results
4 Results Analysis
5 Conclusion
References
Hydraulic Design of a Component Cavity-Free Drains at Transient Water Flow in the Aggregate
1 Introduction
2 Research Method
3 Research Results
4 Conclusion
References
Investigation of Framework Behaviour Depending on the Selected Material in Permafrost and Seismic Conditions
1 Introduction
2 Research Methods
3 Results
4 Analysis of Results
5 Conclusion
References
Mathematical Model for Assessing the Reliability of Water Supply Networks
1 Introduction
2 Materials and Methods
3 Results
4 Analysis of Results
5 Conclusion
References
Analysis of Capital Investment and Operating Costs for the Construction of a Railway Junction Bypass
1 Introduction
2 Main Part (Materials and Methods)
3 Results
4 Analysis of Results
5 Conclusion
References
Private Wagon Fleet Management in a Digitised Industry
1 Introduction
2 Materials and Methods
3 Research
4 Conclusion
References
About the Strength of a Rail with an Internal Transverse Crack
1 Introduction
2 Research Method
3 Results
References
Light-Colored Ceramic Facing Bricks with Mineral Man-Made Raw Materials
1 Introduction
2 Materials and Methods
3 Results
4 Analysis of Results
References
Method for Assessing Economic Efficiency of the Projects for the Development of Railway Stations
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Concept for the Urban Space and Transport Infrastructure Development Taking into Account International Experience
1 Introduction
2 Materials and Methods
3 Results
4 Results Analysis
5 Conclusions
References
Stress Intensity Factor for Cylindrical Specimen with External Circular Crack Under Tension
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Accounting for Ligament Asymmetry
6 Conclusions
References
Methods Proposed for Analysis of Vibrations of Railway Cars
1 Introduction
2 Methodology
3 Results
4 Discussion of Results
5 Conclusion
References
Contact of a Railway Wheel and a Rail in the Presence of Sliding and Coupling
1 Introduction
2 Experimental Data on the Contact Fatigue Life of Samples and Their Analysis
3 Consideration of the Influence of Tangential Load in the Presence of a Single Slip Zone in the Contact
4 Stresses on the Contact Area in the Presence of Sliding and Coupling Zones
References
The Transport Industry Development Directions in Russia in the Context of Transport Space Integration
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusions
References
Guidelines of JSC “Russian Railways” in the Strategy of Sustainable Development
1 Introduction
2 Research Methodology
3 Research Results
3.1 The Strategic Priorities of JSC “Russian Railways” are Defined in Accordance with the Principles of Sustainable Development
3.2 The Involvement of JSC “Russian Railways” of Green Financing Instruments for the Implementation of Environmental Infrastructure Projects is Justified
4 The Priorities of JSC “Russian Railways” in the Strategy of Sustainable Development are Systematized
5 Results Discussion
6 Conclusion
References
Monitoring of Analytical Supply and Key Indicators of the Transportation Companies’ Financial Policy
1 Introduction
2 Materials and Methods
3 Results
4 Discussion/Results Analysis
References
Assessment of the Stress State and Strength of the Cutting Tool Used in the Rolling Stock Wheels’ Repair
1 Introduction
2 Assessment of the Stress State and Strength of the Cutting Tool Under Force Action from External Factors
3 Assessment of the Stress State and Strength of the Cutting Tool Under Temperature Action from External Factors
4 Assessment of the Stress State and Strength of the Cutting Tool under the Combined Action of External Factors
5 Conclusions
References
Construction of a Conceptual Model for the Container Transportation Potential by Transport Organizations for Their Integration into National Supply Chains
1 Introduction
2 Methods for Studying the Container-on-Flat-Car Development Potential Structure by Transport Organizations
3 Building a Conceptual Model of the Potential for the Container Transportation Development by Transport Organizations
4 Results Analysis
5 Conclusions
References
Analysis of Organizational and Managerial Factors for Ensuring Traffic Safety in a National Railway Company
1 Introduction
2 Materials and Methods
3 Results
4 Summary
5 Conclusions
References
Parameters of the Rail Sleeper Base Oscillatory Process in the Rail Joint Area When Using Elastic Elements
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
The Market Value Assessment of the Land Plots Encumbered with Mortgage Debt
1 Introduction
2 Application Features of the Methods for Assessing Market Value of the Land Plots Encumbered with Mortgage Debt
3 Conclusions
References
Locomotive Team Productivity as a Criterion for Optimal Locomotive Fleet Management
1 Introduction
2 Materials and Methods
3 Results
4 Discussion/Results Analysis
5 Conclusions
References
Stress-Strain Analysis of the Circular Orthotropic Plate Under Circumferential Loading
1 Introduction
2 Materials and Methods
2.1 Axially-Symmetric Deformations of a Circular Orthotropic Plate
2.2 Orthotropic Plate Under the Action of Circular Load
3 Results
4 Discussion
5 Conclusions
References
Formation of a Parametric Pricing Model in the Market for Rail Transportation of Oil Cargo
1 Introduction
2 Materials and Methods
3 Results
3.1 The Detail Level of the Orders/Bids Provided by the Client for the Transportation Organization
3.2 Quality of Loading Scheduling
3.3 Uniformity of the Cargo Base Presentation for Shipment Within a Calendar Month
3.4 Compliance with the Standard Terms for the Presence of Wagons at Departure/Destination Stations and Along the Route
3.5 Use of the Rolling Stock Useful Capacity
4 Discussion
5 Conclusions
References
Analysis of the Customs and Transport and Logistics Infrastructure in Russia
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusions
References
On the Assessment of the Lack of Penetration Height During Ultrasonic Testing of Welded Joints for Railway Products
1 Introduction
2 Review of Methods for Assessing the Height of Planar Flaws in Ultrasonic Testing of Welded Joints
3 Experimental Research
4 Discussion of Results and Conclusions
References
Rupture of Flow Continuity at Hydraulic Impact in Pressure Systems from Polymer Pipes
1 Introduction
2 Methods and Materials
3 Research Results
4 Discussion
5 Conclusion
References
The Results Analysis of the Tubing Tunnel Facing Mathematical Modeling Using the Reduced Sections
1 Introduction
2 Formulation of the Problem
3 Facing Deformation Analysis
4 Analysis of Stresses in Facing and Soil Mass
5 Analysis of the Correlation Between the Stress-Strain State of Facing and the Upper Soil Load
6 Conclusions
References
Modeling of Dynamic Crack Propagation Under Quasistatic Loading
1 Introduction
2 Structural and Temporal Fracture Criterion
3 Computational Model
4 Results
5 Conclusions
References
Features of Structure Formation of Rail Steel with Internal Cracks in Long-Term Operation
1 Introduction
2 Material and Research Technique
3 Results and Discussions
4 Investigation of the Fracture Surface
4.1 Investigation of Microstructure of Cross-sections of Rail Samples
5 Conclusion
References
Investigation of the Behavior Features of Internal Reinforcement of a Hybrid Beam Building Structure Made of Composite Material
1 Introduction
2 Initial Design Data
3 Analysis Results
4 The Discussion of the Results
5 Conclusion
References
Optimization of the Main Parameters for the Bridge Spans on High-Speed Railways
1 Introduction
2 Description of the Research Methodology
3 Analysis of Research Results
4 Conclusions
References
Algorithms to Ensure the Required Efficiency of Digitalization Programs’ Implementation Process in Transport Industry
1 Introduction
2 Purpose of the Study
3 Research Method Based on the Dynamic Adaptation Principle’s Implementation
4 Research Method Based on the Implementation of the Markov Model
5 Accounting for Temporary Factors and Costs of the Customer (Contractor)
6 Calculation Results and Their Analysis
7 Conclusions
References
Urban Traffic Network Connectivity and Efficiency Evaluation (Through the Example of Iraq)
1 Introduction
2 Materials and Methods
3 Results
4 Results Discussion/Analysis
5 Conclusion
References
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss
1 Introduction
2 Research Methodology
2.1 Description of the Superstructure Under Study
2.2 Detailed Finite-Element Model of the Superstructure
2.3 Forming of the Stiffness Matrix
2.4 Beam Finite-Element Model of the Superstructure with Stiffness Matrices
3 Results and Discussion
4 Conclusion
References
Search for Rational Forms of Reinforcing Composite Elements of the Hybrid Beam Building Structures
1 Introduction
2 Initial Design Data
3 Analysis Results
4 Search for a Rational Form of Composite Plates
5 The Discussion of the Results
6 Conclusion
References
New Technology of Collection, Drainage and Joint Treatment of Industrial Urban Runoff
1 Introduction
2 Materials and Methods
3 Results
3.1 The Existing Approach to Calculating the Performance of Industrial Residual Rainfall Treatment Plants
3.2 Reserve Capacity of Industrial Treatment Facilities and Its Accounting in the Design
3.3 New Technological Scheme for Joint Treatment of Industrial and Urban Runoff
4 Results Analysis
5 Conclusions
References
Agent Model for Managing a Transport Communication Network as a Part of Multi-agent Management System
1 Introduction
2 Description of the Modeling Process
3 Description of the Simulation Results
4 Conclusions
References
Analysis of the Possibility of Detecting Inhomogeneous Metal Inclusions in Welded Joints of Rails Under Ultrasonic Control
1 Introduction
2 Research Methods
3 Conclusions
References
Rail Transport in the Urban Passenger Transportation
1 Introduction
2 Methods
3 Conclusions
References
Determination of the Simulation Method of Technical Equipment and Technological Support for Non-public Tracks
1 Introduction
2 Materials and Methods
3 Results
4 Results Analysis
5 Conclusions
References
Interaction of Intensive and Low-Density Lines: Management Approach and Models
1 Introduction
2 Materials and Methods
3 Results
4 Results Analysis
5 Conclusions
References
Analysis of Traffic Accidents and Development of Means to Improve Railway Transport Safety
1 Introduction
2 Materials and Methods
3 Results
4 Results Analysis
5 Conclusions
References
Chinese Experience in the Formation of Transport-Information Clusters on a Digital Basis
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Field of Excitation of the Linear Induction Motor with a Chain Stator Winding
1 Introduction
2 Methods
3 Results
4 Conclusion
References
Production of Reinforced Concrete Driven Piles Using Epoxy Resins for Use in Aggressive Soil Conditions
1 Introduction
2 Research Method
3 Results and Discussion
4 Conclusions
References
Main Resistance to Freight Traffic, Defined by Taking into Account the Spatial Vibrations of the Cars
1 Introduction
2 Methodology
3 Results
4 Discussion of Results
5 Conclusion
References
Consideration of Risk Factors for the Implementation of a Temporary Bridge Construction Project and Estimation of the Average NPV by the Monte Carlo Method
1 Introduction
2 Materials and Methods
3 Analysis of the Results
References
Comprehensive Operations Planning and Estimates of Unplanned Costs from Rail Freight Traffic
1 Introduction
2 Review of Studies
3 Materials and Research Methods
4 Analysis of Results
5 Conclusion
References
Calculation of Bridge Shapes in Liquid Metal Contacts
1 Introduction
2 Model of the Liquid Metal Bridge
3 Possible Cases of Mercury Contact with the Electrodes
3.1 Liquid Contact is Made Along the Rib of the Upper Electrode and Along the Plane of the Lower Electrode (Fig. 1)
3.2 Liquid Contact is Made Along the Rib of the Lower Electrode and Along the Plane of the Upper Electrode
3.3 Liquid Contact with the Upper and Lower Electrodes is Carried Out Along the Planes (Fig. 2)
3.4 The Liquid Contact Runs Along the Edges of the Lower and Upper Electrodes
3.5 Contact is Made Along the Side Surface of the Upper Electrode and the Surface of the Lower Electrode (Fig. 3)
3.6 The Contact is Made Along the Side Surface of the Upper Electrode and the Rib of the Lower Electrode
4 Results
References
Generalized Transport Logistics Model
1 Introduction
2 Mathematical Model
3 Simulation Model
4 Discussion of Results
References
Solving the Logistics Companies’ Development Problems Using Information Technology
1 Introduction
2 Methods and Materials
3 Results
4 Discussion and Analysis of Results
5 Conclusion
References
Energy Efficient Design Solution for the Interface Node Between the Floor Slab and the Wall
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Clarification of Seismic Action Characteristics for Structure Calculations
1 Introduction
2 Materials and Methods
3 Analysis of Results
3.1 Kinematic Characteristics
3.2 Energy Characteristics
4 Conclusion
References
Construction Companies Financing: Changes Caused by Introduction of Escrow Accounts Mechanism
1 Introduction
2 Methods and Data
3 Main Provisions and Results
4 Conclusions and Discussion
References
Creation of a Unified Information Environment of Organizational and Technological Solutions of the Railway Construction Objects’ Life Cycle
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
The Features of Stress-Strain State of Walls of a Hopper with Bulk Solids with Material Modeled by Discrete Element Method
1 Introduction
2 Metal Hoppers Structure Loads Classification
3 Prior Works
4 Modeling the Stress State of the Walls of the Hopper Using the Method of Discrete Elements
5 Results and Discussion
References
Methodology for Assessing the Effectiveness of Outsourcing for Oil Products’ Transportation by Rail
1 Introduction
2 Materials and Methods
3 Results
4 Conclusions
References
Determination of Optimum Unbalanced Accelerations to Minimize Rail Side Wearing
1 Introduction
2 Materials and Methods
3 Results
4 Discussion/Results Analysis
5 Conclusions
References
Problems of Optimizing the Organizational Structure of the Railway’s Regional Enterprises
1 Introduction
2 Key Performance Indicators of Man-Machine Systems
3 Typical Indicators of Technical and Behavioral Competence
4 Targeting in Human-Machine Systems
5 Conclusion
References
Dynamics of Internal Pipeline Icing in Winter Period When Bringing It to Freezing
1 Introduction
2 Materials and Methods
3 Results Analysis
4 Conclusions
References
Investigation of the Exhaust Valve Surface Regeneration Results by the Methods of Local Energy Impact
1 Introduction
2 Materials and Methods
3 Investigation of the Exhaust Valve Regeneration Results by the Electric Arc Surfacing Method
4 Investigation of the Exhaust Valve Regeneration Results by the Flame Spraying Method
5 Investigation of the Results of the Exhaust Valve Surface Regeneration by Plasma Spraying
6 Conclusions
References
Elements of Technical Solutions of the System Purifying of Turnouts Based on an Icing Sensor
1 Introduction
2 ASCT Structure
3 Types of Precipitation Detectors and Principles of Their Operation
4 Block Diagram of the Formation of the System’ Control Actions for Detecting Ice or Snow on a Target Surface
5 Sensor and Method for Detecting Ice on the Target Surface
6 Simulation Results
7 Conclusions
References
Scientific Basis for Manufacturing Highly Effective Self-compacting Concrete with Increased Strength and Durability
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
Features in Calculating the Operating Standards Non-linearly Related to the Station Activity Size
1 Introduction
2 Materials and Methods
2.1 The First Method of Accounting for Non-stationarity of Traffic Flow
2.2 The Second Method of Taking into Account the Non-stationarity of the Traffic Flow
3 Results
References
Feasibility of a Pylon Station Construction from Monolithic Reinforced Concrete in the Engineering and Geological Conditions of St. Petersburg
1 Introduction
2 Analysis of Constructive Solutions of the Station “Chernigovskaya”
3 Physical Modeling of the Station by the Method of Equivalent Materials
3.1 General Information. Selection of Equivalent Materials
3.2 The Procedure for Carrying Out Preparatory Works
3.3 Method for Determining Structural Displacements and Contact Stresses Along the Lateral Surface of Tunnel Lining
3.4 The Process of Testing the Physical Model of the “Chernigovskaya” Station
3.5 Physical Simulation Results
4 Mathematical modeling of the Station
4.1 General Information. Creation of a Mathematical Model of the Station
4.2 Results of Mathematical Modeling
5 Conclusions
References
Current State and Prospects for Development of the Contract System in the Field of Public and Corporate Procurements
1 Introduction
2 Concept and Methods of the Study
3 Results of the Study
3.1 Principles of Determining (Selecting) Suppliers by the Criterion of Reliability
3.2 Indicators of Supplier Reliability
3.3 Identification and Profile of Contract Risk
3.4 New Digital Visualization of Contract Risk Management
4 Conclusion
References
Operational Control of the Diesel Technical Condition of the Track-Laying Crane by the Signal of the Crankshaft Instantaneous Angular Velocity
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
References
Analysis and Evaluation of the Cost and Effective Indicators of the Digital Transformation of Russian Railways
1 Introduction
2 Research Methodology
3 Discussion
4 Statistical Assessment and Analysis of the Cost Indicators of the Digital Transformation of Russian Railways
5 Evaluation and Analysis of Indicators Reflecting the Results of the Digital Transformation of Russian Railways
6 Conclusion
References
Assessing the Impact of Railroad Modernization on the Socio-Economic Regional Development
1 Introduction
2 Materials and Methods
3 Problem Statement
4 Results
5 Conclusions
References
Interurban Travel Mode Choice Model Which Based on Departures Frequency and Passengers’ Preferences
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Assessment of Comparative Effectiveness of Projects to Increase BAM Capacity: Selection of the Ways to Overcome the Severomuysky Barrier
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
Cost Overruns in Russian Transport Megaprojects
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Peculiarities of Ice Breaker Ships’ Use on the Northern Sea Route, Taking into Account Seasonality
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Implementation of CLIL Approach via Moocs: Case Study of Siberian Transport University
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Analysis of Criteria for Identification of Defects by Acoustic Emission Method
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusion
References
Method of Analysis, Evaluation and Forecasting of Occupational Accidents
1 Introduction
2 Research Findings
3 Results
4 Conclusions
References
Determination of Hazardous Areas at Bridge Crossings Under Wind Impacts
1 Introduction
2 Experimental Modeling
3 Mathematical Modelling
4 Numerical Modeling
5 Conclusions
References
Design of Railway Tracks in the Zone of Subgrade Adjoint to Strengthened Bridge Abutments
1 Introduction
2 Research Methods
3 Research Results
4 Conclusions
References
Prosecutor's Supervision over Compliance on Laws on the Implementation of Cargo Transportation by Inland Waterway and Sea Transport
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Relevance of Risk Assessment of Lifting Cranes Operation
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Evaluation of the Technical Condition of the Combined Drives of Self-propelled Jib Cranes
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Coupling for Transmission Protection of Transport and Transport-Technological Machines and Equipment
1 Introduction
2 Formulation of the Problem
3 Safety Coupling Materials and Design
4 Method for Calculating the Main Elastic Elements
5 The Discussion of the Results
6 Conclusion
References
Development of a Methodological Approach to Substantiating the Optimal Period of Vehicle Renewal
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Predicting the Underwater Movement of Diesel Fuel in the Event of a Ship Sinking
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
The Experience of Using Augmented Reality in the Reconstruction of the Crime Scene Committed in Transport
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Coastal Protection Device in the Area of the Novosibirsk Water Park
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Reducing the Metal Consumption of Ship Repair Using Fiberglass Composites
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Parameters Modeling of Deformed Components of Hull Structures
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Influence of the Slot Configuration on Its Stability (On the Example of the Ob River)
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Improving the Strength Characteristics of Materials for Hydraulic Structures with Reinforcing Compositions
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Concrete Polymer Material for the Protection of Concrete and Reinforced Concrete Structures of Hydraulic Structures from Biological Damage
1 Introduction
2 Materials and Methods
2.1 Characteristics of the Investigated Materials
2.2 Research Methods
3 Results. The Concrete-Polymer Coating Material Optimal Composition Determination
3.1 Optimization of the Material Composition by the Content of Cement and Chrysotile Cement
3.2 Reducing the Effect of Chrysotile Cement Waste High Porosity on the Coating Corrosion Resistance
3.3 Checking the Corrosion Resistance of the Material in Aggressive Environments
4 Discussion
5 Conclusions
1. References
Step-By-Step Digitalization of Preparation of Production of Small Shipbuilding Enterprises
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
1. References
Preliminary Studies of the Life-Saving Vehicle Positioning Stabilizer
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
Conceptual Approaches to the Design of Swimming Pools on Passenger Vessels
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusions
References
Breaking the Ice Sheet and Extending Navigation with Hovercraft Technology
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Ensuring the Reliability of Machine Parts in Calculations for Unrestricted Durability
1 Introduction
2 Materials and Methods
3 Conclusion
References
Organizational and Functional Support of the Efficiency of Logistics Systems of Enterprises of the Agro-Industrial Complex
1 Introduction
2 Materials and Methods
3 Results
4 Discussion of the Results
5 Conclusions
References
Road Maintenance and Climate Zoning of the Territory of the Republic of Uzbekistan
1 Introduction
2 Methods
3 Existing Methods of Road Fogging and Their Analysis
4 Results and Discussion
5 Conclusions
References
Nonlinear Deformations of the “Building-Base” System
1 Introduction
2 Methods
3 Results
4 Experimental Research
5 Conclusion
References
Export Strategies of Russian Transport Engineering Enterprises
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Innovative Digital Tools for Integrated Water Resources Management in Arctic
1 Introduction
2 Methods and Data
3 Results
4 Discussion
5 Conclusion
References
Digitalization of Large Arctic Projects Geo-Information Support Under Climate Change and COVID-19
1 Introduction
2 Methods and Data
3 Results
4 Discussion
5 Conclusion
References
Digitalization of Geo-Information Support for Northern Sea Route Management
1 Introduction
2 Methods and Data
3 Results
4 Discussion
5 Conclusion
References
Digitalization of Ice Waters Maritime Activity Management
1 Introduction
2 Methods and Data
3 Results
4 Discussion
5 Conclusion
References
GIS Conceptual Model as a Modern Tool in the Arctic Navigation
1 Introduction
2 Research Materials and Methods
3 Research Result
4 Conclusions
References
Management of the Airport Security Process Based on the Conservation Law of the Object’s Integrity
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Reducing the Time for Recognizing an Airport Threat
5 Reducing the Time to Neutralize the Threat of the Airport
6 Conclusion
References
Selection of the Ship's Propulsion Complex Taking into Account the Criteria of Energy Efficiency of the Ship Power Plant
1 Introduction
2 Methods and Materials
3 Results
4 Discussion
5 Conclusion
References
The Influence of the Choice of Means of Consolidation on the Quality Indicators of the Delivery of Combined Shipments
1 Introduction
2 Methods and Materials
3 Results
4 Summary
References
Development of Criteria for Assessing the Tourist Attractiveness of Yacht Ports
1 Introduction
2 Materials and Methods
3 Results
4 Overview of Marinas, Shelters, Passage Options
5 Discussion
6 Customs Control
7 Natural Conditions
8 Technical Conditions
9 Socio-geographical Conditions
10 Conclusions
References
Development Potential of River Tourist Transportation in Russia
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
COVID-19 Phobia and Organizational Effectiveness: What is the Role of Organizational Support?
1 Introduction
2 Materials and Methods
3 Discussion of Results
References
Development of a Conceptual Model of the Digital Ecosystem of Students Based on the Transformation of the Electronic Information and Educational Environment of the Transport University
1 Introduction
2 Methods and Materials
3 Results and Its Discussion
4 Conclusion
References
Modeling the Effects of Inland Waterway Transport Infrastructure Development
1 Introduction
2 Methods
3 Results and Discussion
4 Conclusion
References
Abuse of Labor Rights in the Transport Industry
1 Introduction
2 Methods and Materials
3 Results
4 Discussion
5 Conclusion
References
Specifications of the Ship Owner’s Liability for the Caused Damage to the Cargo Owner During Carriage by Sea
1 Introduction
2 Methods and Materials
3 Results
4 Discussion
5 Conclusion
References
Conceptual Approach to Formation of the Electronic Budget of Budgetary Organizations
1 Introduction
2 Material and Methods
3 Results
4 Discussion
5 Conclusions
References
Factors and Problems of Sustainable Development of Passenger Shipping Companies in the Inland Waterway Transport of St. Petersburg
1 Introduction
2 Materials and Methods
3 Research Results
4 Discussion
5 Conclusion
References
The Impact of COVID-19 Phobia on Business Climate in the Transportation Sector: Evidence from Russia
1 Introduction
2 Materials and Methods
3 Results and Analysis
4 Discussion of Results
References
River Transportation in the Sphere of Passenger Transportation: Problems and Modern Ways of Their Solutions (Case Study of St. Petersburg, Russia, and Foreign Countries)
1 Introduction
2 Methods and Materials
3 Insufficient Attention of the Government of St. Petersburg to the Issues of River Passenger Transportation
4 Poor Navigation System for Small Vessels
5 Contamination of Small Rivers and Canals with Objects Hazardous to Ships
6 Deterioration of the Economic Situation in the Country Due to the Pandemic, Resulting in a Decrease in Funding
7 Results and Discussion
8 Conclusion
References
Analysis of the Energy Efficiency of the Port’s Activities
1 Introduction
2 Materials and Methods
3 Results
4 Conclusion
References
Determination of Parameters and Limiting Characteristics of a Synchronous Reluctance Motor
1 Introduction
2 Identification of the Parameters of the Electric Machine
3 Approximation of Dependencies
4 Operating and Restrictive Characteristics
5 Conclusion
References
Analyzing Scientific Publications on Costa Concordia Accident: Towards an Integrative Understanding
1 Introduction
2 Methods and Materials
3 Results
4 Discussion
5 Conclusion
References
Evaluation of the Effectiveness of Transport Projects from the Position of the Region
1 Introduction
2 Methods and Materials
3 Results and Discussion
4 Conclusion
References
Approaches to Chatbot Design for Teaching English to Maritime Students: Needs Analysis and Content Planning
1 Introduction
2 Methods and Materials
2.1 Analysis of the Needs of a Potential Chatbot User
2.2 Approaches to Training Material Selection
3 Results and Discussion
3.1 Chatbot: Definition
4 Analysis of Existing Applications for Learning Marine English
5 Functional Requirements for a Chatbot
6 Approach to the Implementation of a Chatbot
7 Conclusion
References
Participating in Scientific Conferences and Research Reports Contests as a Form of Organizing Cadets’ Independent Work
1 Introduction
2 Methods and Materials
3 Results and Discussion
4 Conclusion and Further Discussion
References
Method for Assessing the Sustainability Potential of a Transport Company
1 Introduction
2 Materials and Methods
3 Results and Discussion
4 Conclusions
References
Overview of Test Water Areas for Testing Unmanned and Autonomous Vessels
1 Introduction
2 Methods and Materials
3 Results and Discussion
4 Conclusions
References
Theoretical and Methodological Foundations for the Formation of a Single Integrated Technological Process of a Seaport in Order to Improve the Quality of Port Services
1 Introduction
2 Materials and Methods
3 Results
4 Conclusions
References
Global Trends of the Cargo Handling Operations Automatization at Container Terminals
1 Introduction
2 Methods and Materials
3 Results
4 Discussion
5 Summary
References
Model for Optimizing the Interaction of the Transport and Logistics Process Entities
1 Introduction
2 Materials and Methods
3 Results
4 Discussion
5 Conclusion
References
Formation of the Unified System Classification of Railway Junctions
1 Introduction
1.1 Literature Review
2 Materials and Methods
3 Results
4 Discussion
References
Modern Approaches to Improve the Customer Service System in the Transportation Process
1 Introduction
2 Customer Focus in the Transportation Process
3 Results
4 Discussion
References
Detecting Dangerous Places in a Continuous Welded Rail Track Taking into Consideration Trains Impact
1 Introduction
2 Method for Detecting Dangerous Places in a Continuous Welded Rail Track
3 Results
4 Discussion
5 Conclusions
References
Essential Features of Supply Chain Management in the Sphere of Foreign Economic Activity
1 Introduction
2 Methods
3 Results and Discussion
4 Conclusion
References
Mainstreaming of Management Decision Making at Railway Transport Enterprises on the Basis of the Reference Scope Correlations Assessment
1 Introduction
2 Methodology
3 Results
4 Discussion
5 Conclusion
References
Modern Systems for the Design Support of Railway Stations and Junctions
1 Introduction
1.1 Literature Review
2 Materials and Methods
3 Results
4 Discussion
References
Application of Automatic Aerosol Extinguishing in Vehicles on the Territory of the Russian Federation
1 Introduction
2 The Most Common Causes of Fire
3 Solution to the Problem
4 Summary
References
Prospects for the Use of Free Software Systems of Corporations in the Automotive and Oil and Gas Industries
1 Introduction
2 Materials and Methods
3 Conclusion
References
The Dynamic Traffic Modelling System
1 Introduction
2 Methods
3 Results
4 Discussion
5 Conclusion
References
Neuronetwork Support for Subdivision Management of Fire Extinguishing of Rolling Stock During Unloading at Metallurgical Enterprises
1 Introduction
2 Boundary Conditions for Decision-Making
3 Automatic Mode for Collecting Input Data
4 Analysis and Interpretation of Fire Analysis of Rolling Stock Trains from 2016 to 2020
5 Analysis of Statistics and Interpretation of Fire Analysis at Metallurgical Enterprises from 2015 to 2020
6 Conclusion
References
Aspects of the System Approach to Using Information Modelling Technology in Organization of Construction Production
1 Introduction
2 Efficiency Criteria and Restrictions
3 Results and Discussions
4 Conclusions
References
Technical Diagnostics of Equipment Using Data Mining Technologies
1 Introduction
1.1 A Subsection Sample
2 Methods
2.1 SCADA (Supervisory Control and Data Acquisition)
3 Results
4 Discussion
References
Author Index
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Lecture Notes in Networks and Systems 402
Aleksey Manakov Arkadii Edigarian Editors
International Scientific Siberian Transport Forum TransSiberia 2021 Volume 1
Lecture Notes in Networks and Systems Volume 402
Series Editor Janusz Kacprzyk, Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Advisory Editors Fernando Gomide, Department of Computer Engineering and Automation—DCA, School of Electrical and Computer Engineering—FEEC, University of Campinas— UNICAMP, São Paulo, Brazil Okyay Kaynak, Department of Electrical and Electronic Engineering, Bogazici University, Istanbul, Turkey Derong Liu, Department of Electrical and Computer Engineering, University of Illinois at Chicago, Chicago, USA Institute of Automation, Chinese Academy of Sciences, Beijing, China Witold Pedrycz, Department of Electrical and Computer Engineering, University of Alberta, Alberta, Canada Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Marios M. Polycarpou, Department of Electrical and Computer Engineering, KIOS Research Center for Intelligent Systems and Networks, University of Cyprus, Nicosia, Cyprus Imre J. Rudas, Óbuda University, Budapest, Hungary Jun Wang, Department of Computer Science, City University of Hong Kong, Kowloon, Hong Kong
The series “Lecture Notes in Networks and Systems” publishes the latest developments in Networks and Systems—quickly, informally and with high quality. Original research reported in proceedings and post-proceedings represents the core of LNNS. Volumes published in LNNS embrace all aspects and subfields of, as well as new challenges in, Networks and Systems. The series contains proceedings and edited volumes in systems and networks, spanning the areas of Cyber-Physical Systems, Autonomous Systems, Sensor Networks, Control Systems, Energy Systems, Automotive Systems, Biological Systems, Vehicular Networking and Connected Vehicles, Aerospace Systems, Automation, Manufacturing, Smart Grids, Nonlinear Systems, Power Systems, Robotics, Social Systems, Economic Systems and other. Of particular value to both the contributors and the readership are the short publication timeframe and the world-wide distribution and exposure which enable both a wide and rapid dissemination of research output. The series covers the theory, applications, and perspectives on the state of the art and future developments relevant to systems and networks, decision making, control, complex processes and related areas, as embedded in the fields of interdisciplinary and applied sciences, engineering, computer science, physics, economics, social, and life sciences, as well as the paradigms and methodologies behind them. Indexed by SCOPUS, INSPEC, WTI Frankfurt eG, zbMATH, SCImago. All books published in the series are submitted for consideration in Web of Science. For proposals from Asia please contact Aninda Bose ([email protected]).
More information about this series at https://link.springer.com/bookseries/15179
Aleksey Manakov Arkadii Edigarian •
Editors
International Scientific Siberian Transport Forum TransSiberia - 2021 Volume 1
123
Editors Aleksey Manakov Rector of the Siberian Transport University Siberian Transport University Novosibirsk, Russia
Arkadii Edigarian Ulitsa, Khabarovsk Territory, Russia
ISSN 2367-3370 ISSN 2367-3389 (electronic) Lecture Notes in Networks and Systems ISBN 978-3-030-96379-8 ISBN 978-3-030-96380-4 (eBook) https://doi.org/10.1007/978-3-030-96380-4 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Switzerland AG The registered company address is: Gewerbestrasse 11, 6330 Cham, Switzerland
Contents
Development of Shared Consumption Economic Forms in Urban Transportation Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Elena Volkova
1
Formation of the Energy Efficiency Estimation Principle System of Russian Regions Within the Developed Typology . . . . . . . . . . . . . . . Alexander Kabanov and Tatiana Ksenofontova
10
Development of the Efficiency Level Estimation Algorithm of the Regional Energy Saving Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . Tatiana Ksenofontova and Alexander Kabanov
19
Examination of the Stress-Strain State of Service Tunnels at the Airport “Domodedovo” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Alexandr Ledyaev, Vladimir Kavkazskiy, and Egor Davidenko
28
Social Economic Development Control and Management in the Context of Integration Transformations . . . . . . . . . . . . . . . . . . . . Tatiana Satsuk, Fatima Botasheva, Svetlana Rachek, and Maria Pak
37
Reversion Assessment Methods During the Determination of the Market Value of the Immovable Property . . . . . . . . . . . . . . . . . . Sergey Kolankov and Natalia Pichkurova
46
Module Concept of the Training and Certification of the Personnel for the Non-destructive Testing for the Railway Transport . . . . . . . . . . Vera Konshina and Andrey Davydkin
55
Method of the Fatigue Failure Control Point Determination of Structural Sections of Tunnel Escalators . . . . . . . . . . . . . . . . . . . . . . Maksim Kharlov and Alexander Vorobev
64
Determination of the Need in the Performance of Organization Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lesya Bozhko
74
v
vi
Contents
The Evolution of Ramsey Pricing in Freight Rail Tariffs . . . . . . . . . . . . Yuriy Egorov Assessment of Normative Documentation for Ultrasonic Inspection of Railway Vehicles’ Welded Joints During Fabrication . . . . . . . . . . . . Vera Konshina and Ilya Ostanin
83
91
The Third-Generation University Ecosystem in the Context of Global Digitalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 Alexander Panychev and Oksana Pokrovskaya Business Transport Ecosystems in Transport Education: Specifics and Potential . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Alexander Panychev and Oksana Pokrovskaya Eco-protective Technologies in Transport Construction . . . . . . . . . . . . . 118 Yulia Puzanova Regulation of Foam Stability for Non-autoclave Foam Concrete with Additives of Colloidal Nature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127 Natalia Eliseeva and Nikolay Eliseev Artificial Intelligence as a Basic Resource of Modern Transport Infrastructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136 Liana Chechenova A Study of the Interaction Between Rail and Maritime Transport . . . . 145 Guzel Nikiforova Method of Reducing Frontal Aerodynamic Drag of the Pipeline Transport Vehicle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 153 Konstantin Kim and Yan Vatulin Design Features of Traction Motors with Permanent Magnets on the Rotor for Mainline Electric Locomotives . . . . . . . . . . . . . . . . . . . 162 Pavel Kolpakhchyan, Andrey Evstaf’ev, and Victor Nikitin Retrieval and Shaping of Effective Steel Wall Reinforcement Zones in a Hybrid Girder Building Structure with Composite Materials . . . . . 171 Vladimir Egorov and Makhmud Abu-Khasan Modernization of Urban Planning Methods as a Condition for the Formation of the City Transport System . . . . . . . . . . . . . . . . . . 181 Oleg Nikiforov Risks of Investing in Business Projects: Analysis, Evaluation, Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 Tatiana Satsuk, Svetlana Zhutiaeva, Tatiana Vladimirova, and Valentina Parshina
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vii
Stages and Directions of Innovative Development of the Transport Industry: Digitalization of Russian Railroads . . . . . . . . . . . . . . . . . . . . . 200 Elena Fursova, Maria Drozdova, and Lubov Kravchenko Weight and Speed Optimization for Goods Trains on Cargo-Intensive Railway Sections . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 Adnan Al-Shumari Digital Integration of the Entity’s Risk Management with Strategy and Business Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 Sergey Oparin Technical and Economic Efficiency of Intelligent Data Analysis on the Railways of the Uzbekistan Republic . . . . . . . . . . . . . . . . . . . . . . 230 Otabek Khamidov and Daria Udalova Volume Accounting of Buildings and Premises and the Use of Mobile LIDAR Technology in the Cadastre . . . . . . . . . . . . . . . . . . . . 240 Alina Rybkina Application of the Hierarchy Analysis Method in Assessing the Efficiency Real Estate Use of Railway Transport . . . . . . . . . . . . . . . 250 Dmitriy Afonin and Victoria Merkusheva Gender Characteristics of Psychological Well-Being and Control Locus of Future Transport Professionals . . . . . . . . . . . . . . . . . . . . . . . . 260 Diana Cerfus and Maria Karagacheva Application of Steel-Concrete Beam Structures in Transport Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Vitaliy Veselov Hybrid Beam Structures of Transport Buildings . . . . . . . . . . . . . . . . . . 278 Vitaliy Veselov and Klara Talantova Assessment of the Aerodynamic Impact on Pedestrian Overpasses in High-Speed Traffic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 Andrey Benin and Nikita Labutin Development and Verification of a Computational Model of the Aerodynamic Impact of High-Speed Rolling Stock on Infrastructure Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 Leonid Diachenko, Nikita Labutin, and Andrey Lang Self-actualization Characteristics, Subjective Well-Being and Copying Strategies of the Russian Railway Employees . . . . . . . . . . 304 Elena Yashchenko Drains that Provide Highly Efficient Drainage of the Subgrade and Increase of the Subgrade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314 Valeriy Shytkov and Andrey Ponomarev
viii
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Hydraulic Design of a Component Cavity-Free Drains at Transient Water Flow in the Aggregate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 Valeriy Shtykov and Andrey Ponomarev Investigation of Framework Behaviour Depending on the Selected Material in Permafrost and Seismic Conditions . . . . . . . . . . . . . . . . . . . 334 Tatiana Belash and Mikhail Belashov Mathematical Model for Assessing the Reliability of Water Supply Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 Elena Postnova and Evgeniy Runev Analysis of Capital Investment and Operating Costs for the Construction of a Railway Junction Bypass . . . . . . . . . . . . . . . . 352 Denis Kuklev and Natalya Kukleva Private Wagon Fleet Management in a Digitised Industry . . . . . . . . . . . 361 Tatiana Sergeeva About the Strength of a Rail with an Internal Transverse Crack . . . . . 371 Vladimir Smirnov and Sergey Maier Light-Colored Ceramic Facing Bricks with Mineral Man-Made Raw Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 Ludmila Maslennikova Method for Assessing Economic Efficiency of the Projects for the Development of Railway Stations . . . . . . . . . . . . . . . . . . . . . . . . 390 Maksim Chetchuev Concept for the Urban Space and Transport Infrastructure Development Taking into Account International Experience . . . . . . . . . 399 Ekaterina Shestakova and Ekaterina Kazaku Stress Intensity Factor for Cylindrical Specimen with External Circular Crack Under Tension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 408 Vladimir Smirnov and Sergey Vidyushenkov Methods Proposed for Analysis of Vibrations of Railway Cars . . . . . . . 418 Yulia Chernysheva and Anatoly Gorskiy Contact of a Railway Wheel and a Rail in the Presence of Sliding and Coupling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427 Sergey Krotov and Dmitry Kononov The Transport Industry Development Directions in Russia in the Context of Transport Space Integration . . . . . . . . . . . . . . . . . . . . 436 Natalya Loginova, Tatiana Ksenofontova, and Liudmila Guzikova
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Guidelines of JSC “Russian Railways” in the Strategy of Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445 Liana Chechenova Monitoring of Analytical Supply and Key Indicators of the Transportation Companies’ Financial Policy . . . . . . . . . . . . . . . . 454 Tatyana Satsuk, Svetlana Tatarintseva, and Konstantin Fedorenko Assessment of the Stress State and Strength of the Cutting Tool Used in the Rolling Stock Wheels’ Repair . . . . . . . . . . . . . . . . . . . . . . . 463 Aleksandr Vorobev and Maksim Kharlov Construction of a Conceptual Model for the Container Transportation Potential by Transport Organizations for Their Integration into National Supply Chains . . . . . . . . . . . . . . . . . 472 Elena Yudnikova Analysis of Organizational and Managerial Factors for Ensuring Traffic Safety in a National Railway Company . . . . . . . . . . . . . . . . . . . 483 Liliya Kazanskaya and Sherzod Rizakulov Parameters of the Rail Sleeper Base Oscillatory Process in the Rail Joint Area When Using Elastic Elements . . . . . . . . . . . . . . . . . . . . . . . . 493 Andrey Petriaev, Anastasia Konon, and Nematzhon Muhammadiyev The Market Value Assessment of the Land Plots Encumbered with Mortgage Debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503 Sergey Kolankov Locomotive Team Productivity as a Criterion for Optimal Locomotive Fleet Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 512 Alexey Kotenko and Oksana Kotenko Stress-Strain Analysis of the Circular Orthotropic Plate Under Circumferential Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 521 Sergey Vidyushenkov and Vladimir Smirnov Formation of a Parametric Pricing Model in the Market for Rail Transportation of Oil Cargo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531 Natalia Zhuravleva, Petr Zhitinev, and Yulia Anufrieva Analysis of the Customs and Transport and Logistics Infrastructure in Russia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 540 Natalya Loginova and Tatiana Ksenofontova On the Assessment of the Lack of Penetration Height During Ultrasonic Testing of Welded Joints for Railway Products . . . . . . . . . . 549 Vera Konshina and Ilya Ostanin
x
Contents
Rupture of Flow Continuity at Hydraulic Impact in Pressure Systems from Polymer Pipes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 559 Olga Kapinos and Nadezhda Tvardovskaya The Results Analysis of the Tubing Tunnel Facing Mathematical Modeling Using the Reduced Sections . . . . . . . . . . . . . . . . . . . . . . . . . . 568 Alexander Konkov, Anton Sokornov, and Konstantin Korolev Modeling of Dynamic Crack Propagation Under Quasistatic Loading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577 Nikita Kazarinov, Yuriy Petrov, and Andrey Benin Features of Structure Formation of Rail Steel with Internal Cracks in Long-Term Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 586 Svetlana Atroshenko, Vladimir Smirnov, and Sergei Maier Investigation of the Behavior Features of Internal Reinforcement of a Hybrid Beam Building Structure Made of Composite Material . . . 597 Vladimir Egorov and Mahmud Abu-Khasan Optimization of the Main Parameters for the Bridge Spans on High-Speed Railways . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607 Leonid Diachenko and Artem Ivanov Algorithms to Ensure the Required Efficiency of Digitalization Programs’ Implementation Process in Transport Industry . . . . . . . . . . . 617 Alexey Dergachev, Olga Kuranova, and Natalia Shedko Urban Traffic Network Connectivity and Efficiency Evaluation (Through the Example of Iraq) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627 Evgeny Dudkin, Husam Abujwaid, and Leonid Losin Stiffness Matrix of Joint Connection of Railway Bridge Main Truss . . . 637 Damir Valiullin and Sergei Chizhov Search for Rational Forms of Reinforcing Composite Elements of the Hybrid Beam Building Structures . . . . . . . . . . . . . . . . . . . . . . . . 647 Vladimir Egorov and Mahmud Abu-Khasan New Technology of Collection, Drainage and Joint Treatment of Industrial Urban Runoff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656 Nikolay Chernikov and Nadezhda Tvardovskaya Agent Model for Managing a Transport Communication Network as a Part of Multi-agent Management System . . . . . . . . . . . . . . . . . . . . 665 Andrey Kanaev and Elina Login Analysis of the Possibility of Detecting Inhomogeneous Metal Inclusions in Welded Joints of Rails Under Ultrasonic Control . . . . . . . 674 Sergey Nikolaev and Andrey Benin
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Rail Transport in the Urban Passenger Transportation . . . . . . . . . . . . . 683 Andrey Grachev Determination of the Simulation Method of Technical Equipment and Technological Support for Non-public Tracks . . . . . . . . . . . . . . . . . 692 Artem Sugorovsky Interaction of Intensive and Low-Density Lines: Management Approach and Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 701 Konstantin Kovalev and Alexey Novichikhin Analysis of Traffic Accidents and Development of Means to Improve Railway Transport Safety . . . . . . . . . . . . . . . . . . . . . . . . . . 710 Rasul Akhtyamov and Tamila Titova Chinese Experience in the Formation of Transport-Information Clusters on a Digital Basis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 719 Tatiana Kosheleva, Tatiana Ksenofontova, and Wang Yue Field of Excitation of the Linear Induction Motor with a Chain Stator Winding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 726 Konstantin I. Kim and Konstantin K. Kim Production of Reinforced Concrete Driven Piles Using Epoxy Resins for Use in Aggressive Soil Conditions . . . . . . . . . . . . . . . . . . . . . 735 Talal Awwad, Duman Dyussembinov, and Rauan Lukpanov Main Resistance to Freight Traffic, Defined by Taking into Account the Spatial Vibrations of the Cars . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 745 Yulia Chernysheva and Anatoly Gorskiy Consideration of Risk Factors for the Implementation of a Temporary Bridge Construction Project and Estimation of the Average NPV by the Monte Carlo Method . . . . . . . . . . . . . . . . . 754 Ulia Golikova, Ekaterina Kazaku, and Svetlana Voronova Comprehensive Operations Planning and Estimates of Unplanned Costs from Rail Freight Traffic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 762 Evgenia Maksimova and Nataliya Klycheva Calculation of Bridge Shapes in Liquid Metal Contacts . . . . . . . . . . . . . 772 Victor Garbaruk, Vladimir Rodin, and Mikhail Shvarts Generalized Transport Logistics Model . . . . . . . . . . . . . . . . . . . . . . . . . 781 Vladimir Moiseev, Tatyana Karpova, and Vera Ksenofontova Solving the Logistics Companies’ Development Problems Using Information Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 790 Lesya Bozhko and Roman Shishkin
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Energy Efficient Design Solution for the Interface Node Between the Floor Slab and the Wall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 799 Anatoly Kuznetsov and Anton Demin Clarification of Seismic Action Characteristics for Structure Calculations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 808 Alexander Uzdin, Galina Sorokina, Khudaynazar Kurbanov, and Hong Lin Construction Companies Financing: Changes Caused by Introduction of Escrow Accounts Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 818 Liudmila Guzikova, Natalia Neelova, and Natalia Dedyukhina Creation of a Unified Information Environment of Organizational and Technological Solutions of the Railway Construction Objects’ Life Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 827 Alexander Kabanov and Olga Marshavina The Features of Stress-Strain State of Walls of a Hopper with Bulk Solids with Material Modeled by Discrete Element Method . . . . . . . . . . 835 Dmitrii Popov and Alexander Migrov Methodology for Assessing the Effectiveness of Outsourcing for Oil Products’ Transportation by Rail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844 Tatiana Sergeeva Determination of Optimum Unbalanced Accelerations to Minimize Rail Side Wearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 853 Vladimir Beltiukov and Andrey Andreev Problems of Optimizing the Organizational Structure of the Railway’s Regional Enterprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 862 Viktor Ivanov and Vladimir Shmatchenko Dynamics of Internal Pipeline Icing in Winter Period When Bringing It to Freezing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 871 Lev Terekhov and Nadezhda Tvardovskaya Investigation of the Exhaust Valve Surface Regeneration Results by the Methods of Local Energy Impact . . . . . . . . . . . . . . . . . . . . . . . . 880 Alexander Vorobev and Denis Balakhonov Elements of Technical Solutions of the System Purifying of Turnouts Based on an Icing Sensor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 889 Shokhrukh Sultonov and Vladimir Bubnov Scientific Basis for Manufacturing Highly Effective Self-compacting Concrete with Increased Strength and Durability . . . . . . . . . . . . . . . . . 898 Valentina Soloviova and Irina Stepanova
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Features in Calculating the Operating Standards Non-linearly Related to the Station Activity Size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 906 Maksim Chetchuev, Vladimir Kostenko, and Nikolay Okulov Feasibility of a Pylon Station Construction from Monolithic Reinforced Concrete in the Engineering and Geological Conditions of St. Petersburg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 915 Vladimir Kavkazskiy, Dmitry Olenich, Andrey Benin, and Konstantin Korolev Current State and Prospects for Development of the Contract System in the Field of Public and Corporate Procurements . . . . . . . . . . . . . . . . 925 Sergey Oparin and Maria Shcherbakova Operational Control of the Diesel Technical Condition of the TrackLaying Crane by the Signal of the Crankshaft Instantaneous Angular Velocity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 936 Maksim Panchenko, Vladimir Grachev, and Sergey Chuyan Analysis and Evaluation of the Cost and Effective Indicators of the Digital Transformation of Russian Railways . . . . . . . . . . . . . . . . 945 Ilia Gulyi Assessing the Impact of Railroad Modernization on the SocioEconomic Regional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 955 Yuliya Popova Interurban Travel Mode Choice Model Which Based on Departures Frequency and Passengers’ Preferences . . . . . . . . . . . . . . . . . . . . . . . . . 964 Mark Koryagin and Alexander Chistyakov Assessment of Comparative Effectiveness of Projects to Increase BAM Capacity: Selection of the Ways to Overcome the Severomuysky Barrier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 974 Evgeny Kibalov and Maksim Pyataev Cost Overruns in Russian Transport Megaprojects . . . . . . . . . . . . . . . . 983 Maksim Pyataev Peculiarities of Ice Breaker Ships’ Use on the Northern Sea Route, Taking into Account Seasonality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 992 Alexey Dmitrenko, Elena Lesnykh, Alexey Lesnykh, and Nadezhda Buryanina Implementation of CLIL Approach via Moocs: Case Study of Siberian Transport University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1002 Artyom Zubkov
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Analysis of Criteria for Identification of Defects by Acoustic Emission Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1011 Maria Kuten and Alexey Bobrov Method of Analysis, Evaluation and Forecasting of Occupational Accidents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1018 Marina Grafkina and Aleksandr Maistruk Determination of Hazardous Areas at Bridge Crossings Under Wind Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1026 Olga Poddaeva, Alexey Loktev, Anton Zavyalov, and Ekaterina Sorokina Design of Railway Tracks in the Zone of Subgrade Adjoint to Strengthened Bridge Abutments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1035 Aleksey Lanis, Dmitriy Usov, Denis Razuvaev, and Ivan Grebennikov Prosecutor’s Supervision over Compliance on Laws on the Implementation of Cargo Transportation by Inland Waterway and Sea Transport . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1044 Vladimir Tolstolutsky, Konstantin Gromov, and Anton Obolensky Relevance of Risk Assessment of Lifting Cranes Operation . . . . . . . . . . 1053 Lyudmila Pakhomova, Natalia Tkalenko, and Vera Sharutina Evaluation of the Technical Condition of the Combined Drives of Self-propelled Jib Cranes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1060 Lyudmila Pakhomova, Natalia Tkalenko, and Vera Sharutina Coupling for Transmission Protection of Transport and Transport-Technological Machines and Equipment . . . . . . . . . . . . 1067 Andrey Zuev, Stanislav Vikulov, Lyudmila Pakhomova, and Ol’ga Shcherbakova Development of a Methodological Approach to Substantiating the Optimal Period of Vehicle Renewal . . . . . . . . . . . . . . . . . . . . . . . . . 1076 Olga Domnina, Vladimir Tsverov, Mikhail Sinitsyn, and Viktor Buneev Predicting the Underwater Movement of Diesel Fuel in the Event of a Ship Sinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1086 Viktor Naumov, Andrey Plastinin, Aleksandr Kalenkov, and Natalia Rodina The Experience of Using Augmented Reality in the Reconstruction of the Crime Scene Committed in Transport . . . . . . . . . . . . . . . . . . . . . 1095 Vladimir Tolstolutsky, Galina Kuzenkova, and Victor Malichenko Coastal Protection Device in the Area of the Novosibirsk Water Park . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1103 Evgeniy Sorokin and Marina Voroshilova
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Reducing the Metal Consumption of Ship Repair Using Fiberglass Composites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1111 Evgeniy Burmistrov, Tatiana Mikheeva, and Marina Menzilova Parameters Modeling of Deformed Components of Hull Structures . . . . 1120 Pavel Bimberekov and Evgeney Burmistrov Influence of the Slot Configuration on Its Stability (On the Example of the Ob River) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1133 Tatayna Pilipenko, Arseny Kalashnikov, and Ilya Botvinkov Improving the Strength Characteristics of Materials for Hydraulic Structures with Reinforcing Compositions . . . . . . . . . . . . . . . . . . . . . . . 1141 Alexander Kudryashov, Yuriy Bik, Vadim Kofeev, and Alexander Sitnov Concrete Polymer Material for the Protection of Concrete and Reinforced Concrete Structures of Hydraulic Structures from Biological Damage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1148 Ada Mazgaleva, Viktoriya Bobylskaya, and Maxim Reshetnikov Step-By-Step Digitalization of Preparation of Production of Small Shipbuilding Enterprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1159 Sergei Studnev and Eugene Burmistrov Preliminary Studies of the Life-Saving Vehicle Positioning Stabilizer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1168 Viktor Sichkarev, Vyacheslav Kuzmin, Andrey Cherenovich, and Alexey Leschenko Conceptual Approaches to the Design of Swimming Pools on Passenger Vessels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1176 Ekaterina Cherepkova Breaking the Ice Sheet and Extending Navigation with Hovercraft Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1186 Valery Zuev, Elizaveta Larina, Evgeny Ronnov, and Evgeniy Burmistrov Ensuring the Reliability of Machine Parts in Calculations for Unrestricted Durability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1195 Anatoly Kotesov and Anastasia Kotesova Organizational and Functional Support of the Efficiency of Logistics Systems of Enterprises of the Agro-Industrial Complex . . . . . . . . . . . . . 1204 Karine Barmuta, Safura Muradova, and Zhanna Kolycheva Road Maintenance and Climate Zoning of the Territory of the Republic of Uzbekistan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1213 Aslidin Urakov, Dilmurod Tashev, Zamirbek Xametov, and Rakhimjon Soataliev
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Nonlinear Deformations of the “Building-Base” System . . . . . . . . . . . . . 1225 Sergey Emelyanov, Ksenia Dubrakova, and Lolita Galkina Export Strategies of Russian Transport Engineering Enterprises . . . . . . 1231 Evgeniy Stepanov, Dmitri Pletnev, and Ksenia Nesitih Innovative Digital Tools for Integrated Water Resources Management in Arctic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1239 Mikhail Shilin, Valery Abramov, Igor Sikarev, Alexander Chusov, and Olga Mandryka Digitalization of Large Arctic Projects Geo-Information Support Under Climate Change and COVID-19 . . . . . . . . . . . . . . . . . . . . . . . . . 1247 Mikhail Shilin, Valery Abramov, Alexander Chusov, Igor Sikarev, and Yaroslav Petrov Digitalization of Geo-Information Support for Northern Sea Route Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1256 Valery Abramov, Mikhail Shilin, Igor Sikarev, Yaroslav Petrov, and Alexander Chusov Digitalization of Ice Waters Maritime Activity Management . . . . . . . . . 1264 Valery Abramov, Mikhail Shilin, Igor Sikarev, Alexander Chusov, and Yaroslav Petrov GIS Conceptual Model as a Modern Tool in the Arctic Navigation . . . . 1273 Artem Sidorenko, Yaroslav Petrov, Evgeniy Istomin, Sergey Stepanov, and Irma Martyn Management of the Airport Security Process Based on the Conservation Law of the Object’s Integrity . . . . . . . . . . . . . . . . 1281 Vyacheslav Burlov, Vitaly Gryzunov, Alina Koryakina, and Daria Ukraintseva Selection of the Ship’s Propulsion Complex Taking into Account the Criteria of Energy Efficiency of the Ship Power Plant . . . . . . . . . . . 1290 Vladimir Gavrilov and Vladimir Zhukov The Influence of the Choice of Means of Consolidation on the Quality Indicators of the Delivery of Combined Shipments . . . . . 1299 Oleg Izotov and Alexander Gultyaev Development of Criteria for Assessing the Tourist Attractiveness of Yacht Ports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1307 Artem Butsanets, Evgeniy Ol’Khovik, and Sergey Kovalev Development Potential of River Tourist Transportation in Russia . . . . . 1315 Konstantin Anisimov and Svetlana Borodulina
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COVID-19 Phobia and Organizational Effectiveness: What is the Role of Organizational Support? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1324 Hod Anyigba, Svetlana Borodulina, Tatiana Pantina, and Liudmila Trofimova Development of a Conceptual Model of the Digital Ecosystem of Students Based on the Transformation of the Electronic Information and Educational Environment of the Transport University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1333 Svetlana Taranukha, Marina Saveleva, and Inga Fomina Modeling the Effects of Inland Waterway Transport Infrastructure Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1342 Svetlana Borodulina and Tatiana Pantina Abuse of Labor Rights in the Transport Industry . . . . . . . . . . . . . . . . . 1351 Valentina Besedina, Olga Chekunova, and Irina Gavrilova Specifications of the Ship Owner’s Liability for the Caused Damage to the Cargo Owner During Carriage by Sea . . . . . . . . . . . . . . . . . . . . . 1360 Olga Chekunova, Irina Gavrilova, and Valentina Besedina Conceptual Approach to Formation of the Electronic Budget of Budgetary Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1370 Elena Lavrenteva, Aleksandra Brovkina, Sergey Kotov, and Alla Zhelamskaia Factors and Problems of Sustainable Development of Passenger Shipping Companies in the Inland Waterway Transport of St. Petersburg . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1380 Nadezhda Legostaeva, Nadezhda Novozhilova, and Ilia Vvedenskii The Impact of COVID-19 Phobia on Business Climate in the Transportation Sector: Evidence from Russia . . . . . . . . . . . . . . . 1390 Hod Anyigba, Svetlana Borodulina, Tatiana Pantina, and Liudmila Trofimova River Transportation in the Sphere of Passenger Transportation: Problems and Modern Ways of Their Solutions (Case Study of St. Petersburg, Russia, and Foreign Countries) . . . . . . . . . . . . . . . . . 1399 Anton Smirnov, Evgeniy Smolokurov, and Larisa Smirnova Analysis of the Energy Efficiency of the Port’s Activities . . . . . . . . . . . . 1408 Alecsandr Saushev and Olga Toloknova Determination of Parameters and Limiting Characteristics of a Synchronous Reluctance Motor . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1417 Igor Belousov and Fedor Gelver
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Analyzing Scientific Publications on Costa Concordia Accident: Towards an Integrative Understanding . . . . . . . . . . . . . . . . . . . . . . . . . 1426 Oleg Chulkov, Andrey Danilenko, and Anna Sirgiya Evaluation of the Effectiveness of Transport Projects from the Position of the Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1436 Martin Grigoryan and Lyudmila Bujanova Approaches to Chatbot Design for Teaching English to Maritime Students: Needs Analysis and Content Planning . . . . . . . . . . . . . . . . . . 1445 Svetlana Strinyuk and Viacheslav Lanin Participating in Scientific Conferences and Research Reports Contests as a Form of Organizing Cadets’ Independent Work . . . . . . . . . . . . . . . 1454 Irina Shcherbakova and Tatiana Mahmudova Method for Assessing the Sustainability Potential of a Transport Company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1465 Ekaterina Tabachnikova Overview of Test Water Areas for Testing Unmanned and Autonomous Vessels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1474 Artem Butsanets, Vladimir Karetnikov, and Evgeniy Ol’Khovik Theoretical and Methodological Foundations for the Formation of a Single Integrated Technological Process of a Seaport in Order to Improve the Quality of Port Services . . . . . . . . . . . . . . . . . . . . . . . . . 1483 Elena Koroleva and Marina Korobkova Global Trends of the Cargo Handling Operations Automatization at Container Terminals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1492 Igor Rusinov, Elena Besedina, and Nikita Shcherbinin Model for Optimizing the Interaction of the Transport and Logistics Process Entities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1509 Natalya Korenyakina and Lyudmila Ripol-Saragosi Formation of the Unified System Classification of Railway Junctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1518 Vladimir Khan Modern Approaches to Improve the Customer Service System in the Transportation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1527 Natalya Magomedova and Natalia Korenyakina Detecting Dangerous Places in a Continuous Welded Rail Track Taking into Consideration Trains Impact . . . . . . . . . . . . . . . . . . . . . . . 1536 Elena Kornienko and Valery Zamorin
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Essential Features of Supply Chain Management in the Sphere of Foreign Economic Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1545 Gelera Chekmareva and Sergey Kosenko Mainstreaming of Management Decision Making at Railway Transport Enterprises on the Basis of the Reference Scope Correlations Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1554 Natalia Magomedova and Maria Khlebnikova Modern Systems for the Design Support of Railway Stations and Junctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1563 Vladimir Khan Application of Automatic Aerosol Extinguishing in Vehicles on the Territory of the Russian Federation . . . . . . . . . . . . . . . . . . . . . . 1572 Valeriy Yakovlev Prospects for the Use of Free Software Systems of Corporations in the Automotive and Oil and Gas Industries . . . . . . . . . . . . . . . . . . . . 1579 Nina Krasovskaya, Anastasia Sycheva, Olga Krasovskaya, and Anton Leshchev The Dynamic Traffic Modelling System . . . . . . . . . . . . . . . . . . . . . . . . . 1586 Sergey Dorokhin, Dmitry Likhachev, Alexander Artemov, Aleksandr Sevostyanov, Alexey Kulikov, and Alexey Novikov Neuronetwork Support for Subdivision Management of Fire Extinguishing of Rolling Stock During Unloading at Metallurgical Enterprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1595 Alexey Denisov, Mikhail Danilov, Irina Tsokurova, and Sergey Anikin Aspects of the System Approach to Using Information Modelling Technology in Organization of Construction Production . . . . . . . . . . . . 1605 Ruben Kazaryan and Elen Bilonda Tregubova Technical Diagnostics of Equipment Using Data Mining Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1613 Evgeniya Tsarkova Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1623
Development of Shared Consumption Economic Forms in Urban Transportation Systems Elena Volkova(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. The article is devoted to the issue of the shared consumption forms development in the field of urban passenger transport in Russian megacities. The purpose of the article is to determine the prospects for the development of a new business model of shared consumption in urban transport systems, taking into account the Russian specifics of the provision of sharing services. The main methods used in the study were the analysis and systematization of scientific publications on the topic, quantitative and qualitative data from open sources in the field of car sharing in Moscow and Saint - Petersburg, interviews with Russian experts in the field under study. Results: the authors identified the key advantages of sharing and highlighted the problems arising in the development of car sharing in Russian megacities among consumers and the business community. The factors hindered the development of car sharing were systematized, and directions for their neutralization were proposed. Based on the results of a study of the Russian car sharing market, the prospects for its further development and factors hindering the successful adaptation of the new business model in the Russian Federation were determined. The results obtained can be useful both for the business community in developing strategies and tactics for introducing Russian car sharing into the segment, and for regulatory bodies in the field of transport for innovative business models promotion and improvement the transport services quality for the population. Keywords: Passenger transportation · Sharing economy · Car sharing · Ride sharing · Urban transport systems
1 Introduction In the present period, there is a renaissance of various forms of joint consumption in the market conditions called the sharing economy (from the English share - “to share”). The appearance of new markets, services and business models in the sharing economy is the subject of much scientific debate and empirical research. So, the economists raise the question of the positive and negative aspects of the sharing economy and emphasize that the successful development of this sector is possible only with its legalization. On the other hand, the problems in the new economy can lead to overregulation and shrinkage of promising markets. According to Wruk, D. et al. [1], in any case the quantitative © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1–9, 2022. https://doi.org/10.1007/978-3-030-96380-4_1
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data are needed for giving an objective assessment of one or another particular sector of the sharing economy, its size and prospects for its development. A special place among modern studies on the development of public consumption is occupied by the scientific works dealing with the new transport services consumption (a joint mobility). This shared mobility is considered as part of the joint consumption economy. It’s an interesting fact that the history of car sharing began in Europe back in the 1940s. However, the demand for this type of service increased significantly in the 1990s, and they began to flow in the countries of North and South America, Asia and Australia [2]. The collection and systematization of open-source materials allowed us to divide the existing researches into three groups depending on their purpose and content: 1. the studies devoted to the description of the innovate business models characteristics of transport services joint consumption, their classification, the impact on transport and other markets, as well as ways to increase their commercial efficiency; 2. the studies systematized the problems and barriers to the development of joint consumption of transport services and explained the low demand and reduction of market segments for carsharing, ride sharing, carpooling, etc.; 3. research aimed at forecasting demand and determining the prospects for the development of new transport services in local transport markets, identifying the target segment of consumers and explaining their preferences. Let us consider the main results of the available studies done during recent years in the order indicated above. In the first group of studies, the works of Bellini et al. (2019), Farajallah (2019), Gilbert & Ribas (2019) are represented. The article Bellini, F. et al. is identified the problems and modern trends in the field of urban mobility of small and medium-sized European cities. Among the issues, the researchers especially noted the growing motorization of the population, the growing load on the transport infrastructure and related to it the environmental problems [3]. The accelerated development of dedicated business models is facilitated by a technological breakthrough. On page 268, the authors state that the capacity of the European Intelligent Transport Systems market has grown from e 1.03 billion in 2014 to e 1.46 billion in 2019 [3]. In the scientific periodical literature, a detailed classification is given and the distinctive characteristics of business models of the market for joint consumption of transport services are described. Several researchers note that all existing business models of joint mobility are changing urban transport markets towards increased competition and opportunities for service differentiation [4]. The new segment of the transport market has a serious impact on the automotive industry, creating a threat of falling demand for the products of this industry. Indeed, the sharing patterns provoke the radical changes in consumer behaviours and the value of transport services. Personal cars lost their former value; households either reduce their number in ownership or completely abandon them in favour of car sharing services. As a result, personal vehicles become either part of a multimodal supply chain or are shared. Therefore, the large automakers strive to become partners of companies providing joint mobility services, and in some cases create such companies themselves [4].
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Some studies are dedicated to the forms and methods of pricing in the car sharing markets and carpooling. Thus, as Farajallah et al. notes the uniqueness of the new transport services segment in the market, which is also manifested in the development of new methods for setting prices. In particular, as a result of the correlation-regression analysis based on the BlaBlaCar service data, the authors found an inverse relationship between the driver’s status (beginner, confident, experienced, expert, ambassador) and the level of prices for the services provided [5]. In the second group of studies, the works of Laa & Emberger, Link et al. are represented. They highlight the main problems and barriers with which new transport market segments deal. Based on the analysis of the literature, it can be concluded that the administrative (political and legal) barriers are the main type of problems holding back the development of the joint mobility market. So, in a study by Laa, B. & Emberger, Gü. the problems of the development of bike sharing (sharing of bicycles) are described on the example of Vienna (Austria) [6]. Laa, B. & Emberger Gü. come to the conclusion that the forms and methods of state regulation of car sharing should take into account the specifics of the service and the form of its provision (for example, stationary or “free floating” sharing), as well as the interests of all involved participants (for example, those who apply for a parking space for their own bikes). The problem of bike sharing development in Vienna is also confirmed in the study by Link, C. et al., However, this study aims to identify the factors explaining the choice of Viennese consumers in favour of bike sharing or not. The authors do believe that these results will primarily contribute to both the development of bike sharing and the closing the gaps in legislation. According to the authors’ opinions, the key factors determining the willingness to use bike sharing are follows: 1. 2. 3. 4.
a full integration of new services into mobile applications that allow planning trips; the level of transport accessibility of bicycles; operators’ pricing policy. the possibility of combining bicycles with other types of public transport in intermodal trips [7].
The third group of studies (which includes the majority of scientific articles) is based on statistical processing, quantitative and qualitative analysis of information obtained in the course of surveys among the focus groups of sharing services users, expert assessments and interviews as well as open-source data. Thus, in an article by Hahn, R. et al., the results of quantitative studies and polls of focus groups of car sharing users in one of the German universities are presented. The authors came to the conclusion that the success of car sharing development is determined by the compatibility of the lifestyle and habits of users, on the one hand, and the parameters of the service provided, on the other hand [8]. The authors came to the conclusion that for the successful development of car sharing preliminary work is required to determine the target parameters of the business model, reflecting the wishes of the consumer.
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The article Papu Carrone et al. the results of a study of car sharing consumers in Copenhagen (Denmark) are represented. The authors prove that the key factors determining the willingness to use car- sharing services are the availability of parking and convenient access to vehicles [9]. Along with car sharing, one of the new types of urban transport services is carpooling and ridepooling, the benefits of which are described in detail in the article by AlonsoGonzalez, MJ et al. These authors, as most other researchers, note the importance of forecasting demand for new transport services, as its underestimation or, on the contrary, overestimation can lead to an incorrect assessment of the operators potential profit, as well as social effects [10]. In the article Aguilera-García, Á. et al., one of the types of transport sharing, which is becoming more and more popular around the world, is considered - the sharing of electric scooters. The social effects generated by the sharing of scooters have been systematized. Based on an online survey, the authors developed a generalized model that includes factors that influence the frequency of scooter sharing among the population of Spanish cities. These factors include age, educational level, and other socio-demographic characteristics that determine the choice of a passenger travel option [11]. In an article by Hahn, R. et al., the results of quantitative studies and polls of focus groups of car sharing users in one of the German universities are presented. The authors came to the conclusion that the success of car sharing development is determined by the compatibility of the lifestyle and habits of users, on the one hand, and the parameters of the service provided, on the other hand [8]. Several authors, such as Hartl et al., emphasize the high environmental friendliness of new co-mobility services by freeing up the car fleet and reducing harmful emissions into the atmosphere. This factor plays a role in the choice of car sharing services by European consumers [12]. The article of Duan, Q. et al. the authors not only notice the socio-economic efficiency of car sharing, but also set the problem of determining the future demand for this service in Chinese megacities by identifying the factors influencing it and their subsequent quantitative assessment. The data for the development of the demand model is based on the analysis of consumer preferences and the objective characteristics of the transport network in Shanghai [2]. As a result of the study, the target group of cars sharing services consumers was given, taking into account their gender, age, and income level. Having based on the developed model, the authors determined the optimal cost of the service per unit of time, the price elasticity of demand and the forecast of its dynamics. The Chinese experience can be considered especially useful for Russia, as a car sharing just begins its development here. However, the domestic researchers are interested more and more with this segment of the passenger transportation market in urban agglomerations. It is reflected in the publications of N.A. Zhuravleva and V.M. Shavshukova [13], L.F. Kazanskaya and E.A. Proskuryakova [14]. Several works emphasize the transformation of the Russian market for urban passenger transportation [15] and the development of intelligent technologies in transport [16]. The emphasis is on the fact that for the sustainable development of transport systems of urban agglomerations, new forms of interaction between market entities are required [17], which include the intensification of the available resources use on the basis of “smart” solutions [18], and the appearance
Development of Shared Consumption Economic Forms
5
of qualitatively new forms of transport services provision, sharing as an example. In this regard, it is necessary to understand the prospects for the development of this segment of the transport services market, its potential share in urban transportation, the target segment of consumers, socio-economic benefits, and the possibilities of using it in daily travel, which form the basis of urban mobility.
2 Methods Data from open sources were collected and analysed in order to assess the state and determine the prospects for the development of the Russian car-sharing services market. First, there were the official websites of companies providing such services and also the aggregator companies websites; professional Internet blogs and business communities in the field of hourly car rental in Russian cities (St. Petersburg, Moscow) were also analyzed. The assessment of the market concentration level in this segment in St. Petersburg was carried out on the assumption basis that the market share of a given company is proportional to the size of its vehicle fleet. The traditional indicators of industry markets analysis were used for assessing market - there were the coefficient concentration in the selected segment and the Herfindahl - Hirschman index. To use them, companies were preliminarily ranked by their market shares. The concentration ratio was calculated for three and five participants due to the fact that the total number of companies in the selected segment is small.
3 Results In Russia, the sharing economy, demonstrates higher growth rates than the world average, although it began to develop relatively later than in economically developed countries. According to the experts, the total volume of Russian sharing industries was more than RUB 500 billion by the end of 2019. Despite the fact that most of the sharing economy is associated with services for the sale of things and finding a job, a certain share is accounted for by the market for joint trips (3%). In monetary terms, it was estimated in 2019 at 13.7 billion roubles. This includes ridesharing (a service for finding fellow travellers), taxi, carpooling and car sharing. A special place in this market is occupied by car-sharing services, which are developing mainly in cities with a population of over one million (Moscow, St. Petersburg, Sochi, etc.). Car sharing refers to per minute car rental through authorization and the use of specialized digital platforms. This service appeared in the UK back in 2000, and in Russia it began to develop in 2013 with the emergence of the first company providing car sharing services in the capital. Given the limited road network, parking space and other infrastructural restrictions in megacities, car sharing creates conditions for a more rational use of urban space. In some cases, it stimulates the development of multimodal travel under the “the public transport plus a rented car” scheme. In addition, it generates obvious benefits for customers: in some cases, maintaining your own car (including the cost of paid parking) is more
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expensive than the services of the car-sharing companies. It is confirmed by the data of owners of car-sharing services in Moscow, according to which a significant part of customers have their own car. Thus, car sharing is a quite popular service among Russian users. On the other hand, it is much more developed in Moscow, where in 2020 there are 21 car sharing companies, than in other Russian cities. At the same time, the volume of the car-sharing fleet of the capital city exceeds 17 thousand units, and the number of registered users is 1 million people. For comparison, as of the end of 2019, there are only 9 companies that operate in St. Petersburg provided similar services, with a total fleet of 3515 vehicles (Fig. 1).
Yandex.Drive
800
YouDrive
1500
RentMee
130
Car5
180
Delimobile
650
Colesa
35
CarSmile
220 0
200
400
600
800
1000
1200
1400
1600
Vehicle fleet, units Fig. 1. The volume of the vehicle fleet of participants in the car-sharing market in St. Petersburg as of 2019.
According to the data presented in Fig. 1, it is possible to assess the structure of the car-sharing market in Saint - Petersburg, if the size of their car fleet is taken as the basis for calculating the market shares of companies. Let us calculate the concentration indices (CR3 and CR5) and the Herfindahl - Hirschman index (Table 1). Based on the obtained indicators values, we can unambiguously conclude the high concentration of participants in the car-sharing market in Saint - Petersburg and the high probability of its subsequent monopolization accordingly. This conclusion is supported by data on the reduction in market capacity. So, at the beginning of 2020, the numerous news appeared in the mass media of Saint - Petersburg about the curtailment of the car sharing market and the liquidation of its participants. For example, it is reported the activities of the CarSmile company in Tula and Saint - Petersburg will be suspended from March 1, 2020.
Development of Shared Consumption Economic Forms
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Table 1. Assessment of the level of concentration of the car-sharing market in St. Petersburg Company
Market share δi , %
Accumulated market share δi , %
Market share square, δi2
YouDrive
42,7
42,7
1823,3
Yandex.Drive
22,7
65,4
515,3
Delimobile
18,5
CR3 = 83,9
342,2
CarSmile
6,2
90,1
38,4
Car5
5,1
CR5 = 95,2
26,0
RentMee
3,8
99,0
14,4
Colesa
1,0
100,0
1,0
Total
100,0
HHI = 2760,6
Thus, despite the advantages of car sharing, the market for this type of service in Russian megalopolises is distinguished by a small number of participants, contraction in dynamics and high concentration. It provokes a logical question: why Russian car sharing is developed so unevenly, and what prompts companies to leave this market segment?
4 Discussion In our opinion, the main reason for the insufficient level of car sharing development in Russian megalopolises is related to the absence of a relevant legislative and regulatory framework governing the provision of car sharing services. According to a BlaBlaCar representative in Russia, “…The Russian government is not keeping pace with the sharing economy development. In Italy an action in a mobile application is considered legally significant, be it ordering a taxi or booking accommodation, while in our country such norms are only being discussed”. The division of responsibility and risks between the car-sharing company and its clients is almost absent as a legally debugged mechanism. As a result, the company, trying to protect itself from possible loss or damage to property, offers the client economically unfavourable terms of the contract. This is expressed in the accrual of a penalty for late payment in case of insufficient funds on the client’s bank card, the presence of numerous fines from the company for parking in the wrong place, traffic violation, evacuation (including lost profits), for damage to the vehicle (even if the client did not notice the already existing damage and signed an electronic act of acceptance). On the other hand, an unscrupulous client can violate the terms of the contract, carelessly treat the vehicle in the process. He can also commit illegal actions, for example, providing data for authorization in the mobile application and use of services on his behalf to third parties (including those who do not have the right to drive a vehicle).
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The next reason is a criminal activity that develops in this segment of the transport market. There are known cases of theft of rented cars or their use for criminal purposes. Special precedents arise in the event of an accident involving rented vehicles. Moreover, in relatively small cities, where competition in the taxi services market is especially intense, illegal taxi drivers often rent cars for the purpose of subsequent mass movement to the city’s borders, where the probability of demand for them is minimal. Thus, the risks associated with this type of business are very unpredictable and varied, and if they are realized, the companies providing car sharing services incur a significant damage.
5 Conclusion According to the authors, the identified problems, and the risks minimization of doing business in the segment of Russian car sharing are possible only by means of the accelerated development and approval of solutions to regulatory documents governing the mechanisms for sharing responsibility and risks among counterparties. This is necessary, but not a sufficient condition for the stable development of this business type. Any forms of economic cooperation change people mindset. However, their development is possible only in a civil society with a self-awareness high level, responsibility, and mutual trust. In other case, the future of sharing services keeps being a debatable issue, as they are essentially dual-use technologies.
References 1. Wruk, D., Oberg, A., Friedrich-Schieback, M.: Quantifying the sharing economy. GAIA Ecol. Perspect. Sci. Soc. 28, 184–189 (2018) 2. Duan, Q., Ye, X., Li, J., et al.: Empirical modeling analysis of potential commute demand for carsharing in Shanghai, China. Sustainability 12(2), 620 (2020). https://doi.org/10.3390/su1 2020620 3. Bellini, F., Dulskaia, I., Savastano, M., et al.: Business models innovation for sustainable urban mobility in small and medium-sized European cities. Manag. Mark. 14(3), 266–277 (2019). https://doi.org/10.2478/mmcks-2019-0019 4. Gilibert, M., Ribas, I.: Synergies between app-based car-related shared mobility services for the development of more profitable business models. J. Ind. Eng. Manag. 12(3), 405–420 (2019). https://doi.org/10.3926/jiem.2930 5. Farajallah, M., Hammond, R.G., Pénard, T.: What drives pricing behavior in peer-to-peer markets? evidence from the carsharing platform BlaBlaCar. Inf. Econ. Policy 48, 15–31 (2019). https://doi.org/10.1016/j.infoecopol.2019.01.002 6. Laa, B., Emberger, G.: Bike sharing: regulatory options for conflicting interests – case study Vienna. Transp. Policy 98, 148–157 (2020). https://doi.org/10.1016/j.tranpol.2020.03.009 7. Link, C., Strasser, C., Hinterreiter, M.: Free-floating bikesharing in Vienna – a user behaviour analysis. Transp. Res. Part A: Policy Pract. 135, 168–182 (2020). https://doi.org/10.1016/j. tra.2020.02.020 8. Hahn, R., Ostertag, F., Lehr, A., et al.: “I like it, but I don’t use it”: impact of carsharing business models on usage intentions in the sharing economy. Bus. Strateg. Environ. 29(3), 1404–1418 (2020). https://doi.org/10.1002/bse.2441
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9. Papu Carrone, A., Hoening, V.M., Jensen, A.F., et al.: Understanding car sharing preferences and mode substitution patterns: a stated preference experiment. Transp. Policy 98, 139–147 (2020). https://doi.org/10.1016/j.tranpol.2020.03.010 10. Alonso-Gonzalez, M.J., van Oort, N., Cats, O., et al.: Value of time and reliability for urban pooled on-demand services. Transp. Res. Part C: Emerg. Technol. 115, 102621 (2020). https:// doi.org/10.1016/j.trc.2020.102621 11. Aguilera-García, Á., Gomez, J., Sobrino, N.: Exploring the adoption of moped scooter-sharing systems in Spanish urban areas. Cities 96, 102424 (2020). https://doi.org/10.1016/j.cities. 2019.102424 12. Hartl, B., Sabitzer, T., Hofmann, E., et al.: “Sustainability is a nice bonus” the role of sustainability in carsharing from a consumer perspective. J. Clean. Prod. 202, 88–100 (2018). https://doi.org/10.1016/j.jclepro.2018.08.138 13. Shavshukov, V.M., Zhuravleva, N.A.: Global economy: New risks and leadership problems. Int. J. Financ. Stud. 8(1), 7 (2020). https://doi.org/10.3390/ijfs8010007 14. Kazanskaya, L., Proskuryakova, E.: Improvement of work of urban public transport based on passenger traffic simulation. Urban. Archit. Constr. 12(1), 5–12 (2021) 15. Scott, J., Zhuravleva, N.A., Durana, P., et al.: Public acceptance of autonomous vehicle technologies: attitudes, behaviors, and intentions of users. Contemp. Read. Law Soc. Justice 12(1), 23–29 (2020). https://doi.org/10.22381/CRLSJ12120203 16. Clark, A., Zhuravleva, N.A., Siekelova, A., et al.: Industrial artificial intelligence, business process optimization, and big data-driven decision-making processes in cyber-physical systembased smart factories. J. Self-Gov. Manag. Econ. 8(2), 28–34 (2020). https://doi.org/10.22381/ JSME8220204 17. Zhuravleva, N.A., Wright, J., Michalkova, L., et al.: Sustainable urban planning and internet of things-enabled big data analytics: designing, implementing, and operating smart management systems. Geopolit. Hist. Int. Relat. 12(1), 59–65 (2020). https://doi.org/10.22381/GHIR12 120204 18. Zhuravleva, N.A., Poliak, M.: Architecture of managing big data of mixed transportation of passengers in aglomerations. In: VIII International Scientific Conference Transport of Siberia, Novosibirsk, 22–27 May 2020, IOP Conference Series: Materials Science and Engineering, vol. 918, p. 012055 (2020). https://doi.org/10.1088/1757-899x/918/1/012055
Formation of the Energy Efficiency Estimation Principle System of Russian Regions Within the Developed Typology Alexander Kabanov
and Tatiana Ksenofontova(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. The article is dedicated to the matter of the energy efficiency increase of Russian regions which on the level of the Russian Government is recognized as one of the key one in the system of ambitions of the growth driver formations process of the Russian economy. At the same time approaches to the regional energy saving policy shall be differentiated upon region groups according to the industry branch structure, the fuel and energy structure development level, the existence if developed and undeveloped natural resources, the people’s income level etc. created in regions for the purpose of the formation of the corresponding regional energy policy directed on the solving of certain matters in each region. However, the preliminary analysis made by article authors has showed that approaches to the development of the effective energy saving policy used on the regional and municipal levels are mainly based on the estimation of the social and economic position of the region where energy efficiency indices are not taken into account; and the important aspect in connection therewith the authentic information shall be including of the energy consumption of branches in the regional economic structure – metallurgy and industry, the heating period duration etc. The authors’ work results are formed offers for the methodology development of the precise estimation principle system of the regional energy efficiency and the division of the energy saving policy subject to peculiarities of different regions. Keywords: Energy efficiency estimation · Energy consumption of production branches · Cluster analysis
1 Introduction The problem of the energy efficiency increase of Russian regions is one of the key one in the system of ambitions of the growth driver formations process of the Russian economy. At the same time the actuality of this problem by 2021 has increased only and it becomes actual in the crisis specially. According to data of the Report of the Ministry of Energy of the Russian Federation of the Fuel and Energy Complex work results for 2019 the share of the Fuel and Energy Complex of the Russian Federation amounts to 22.6% of the GDP of Russia. Therefore © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 10–18, 2022. https://doi.org/10.1007/978-3-030-96380-4_2
Formation of the Energy Efficiency Estimation Principle System
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the state of this branch is reflected not only on the economy and policy of our country but on the provision of the energy safety of the whole world. According to data of the Federal State Statistics Service in 2020 the biggest share in the amount of 65.7% of the power production in Russia has taken by the power engineering from fossil fuels, 18.3% - by the atomic power engineering, 15.9% - by the hydroelectric power and 0.1% - by the geothermal, solar and wind power. At the same time in order to achieve the energetic interregional balance the differentiated approach is necessary because such factors as energy-intensive branches - the metallurgy and the industry prevailing in the Russian economic structure as well as the significant occupied territory of some regions and the large duration of the heating period influence on the energy consumption level of the certain region directly. The research purpose is the development by authors and the suggestion to the discussion of the typology of regions which takes into account the provision of regions with natural resources and the level of their use by regions too. The analysis of received types of regions for the purpose of similar factor groups will allow detecting and forming the index system which will be a basis of the regional energy saving development.
2 Methods By the energy efficiency of the region the set of indices is meant taking into account the consumption, the provision and the use of fuel and energy resources reflecting the efficiency of their use upon the receipt of the adequate information of the branch efficiency in the region. The energy efficiency increase of regions can be provided by means of the corresponding energy policy directed to the solution of certain problems in every region. At the same time the preliminary author analysis has showed that methodologies used during the development of the regional energy saving policy are mainly based on the estimation of the social and economic position of regions of different types and energy efficiency indices are not taken into account in methodologies [1, 2]. Below methodological aspects of the region typology development taking into account the social and economic position of the region, the business structure, the geographical position subject to the energetic approach according to the index of their energy efficiency as a whole will be provided. At the same time the focused typology which is developed on the basis of the limited number of indices without the differentiation in branches will be preferred. The classification of existing region typology is provided below in Fig. 1: here all mentioned region typologies can be divided to two large groups: theoretic typologies and applied typologies. The classification is made upon the criterion of performance targets of the formation of each of the mentioned typologies because from our point of view the most important aspect of the developed typology is a position of the necessity of the differentiated approach to the region development purpose formation subject to their peculiarities [3].
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A. Kabanov and T. Ksenofontova
Typologies of regions
Theoretical
Applied
Complex (Granberg typology A.G.; J. Friedman; Ministry of Regional Development of the Russian Federation)
Highly specialized (typology of Kolosovsky N.N.; Korneva A.M.)
Typology of regions for the assessment of investment and business climate (typology of Kornev A.M.; Trevica A.I., Nemedova T.G.; Boots B., Drobyshevsky S., etc.)
Typology of regions for identification of dynamics and specifics of production (typology of Kolosovsky N.N.; Mironov E.V., Torygina V.G., Zhushev B.A., Faibusovych E.L.)
Typology of regions to assess political orientation (Feibusovich typology E.L.; Fetisova G.G., Oreshina V.P.)
Typology of regions for regional policy formation (typology of the Ministry of Regional Development of the Russian Federation (until 2014); European Union)
Fig. 1. Classification of existing region typologies
In the specialized literature typologies are presented which mainly classify regions according to the population density criteria; the Gross Regional Product per capita; the region specialization; the provision with natural resources; the unemployment level; the population migration level; the economic and geographical position; the social standard of living; the investment activity level. From the mentioned criteria the “provision with natural resources” which reflects the existence and the sufficiency of resources and does not relate to their use can be referred to energy efficiency indices indirectly. This confirms the absence of the connection of existing typologies of regions with indices of their energy efficiency and cause the need of the corresponding developments because during
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the formation and the realization of the regional energy saving policy it is necessary to use the differentiated approach according to the type of the region again [4]. We note that applied technologies including some indices solve all tasks not always, other than focused typologies which execute their task much effectively because they suppose the purpose specifity and the singularity firstly. The developed typology will allow determining the provision level with natural resources and the level of their use by regions. The analysis of received types of regions for the purpose of similar factor groups will allow detecting and forming the index system which will be a basis of the regional energy saving development. At the same time it is necessary to note that regions with similar energy efficiency indices are characterized with relatively homogeneous natural and climatic, social and economic and technological terms most often. At the same time indices characterizing the energy consumption level of each type are similar. At the same time the population base and structure and the industry economic direction influence on the energy efficiency value and structure of the region.
3 Results The statistic typology method supposes the assembly of regions into the group on the basis of statistic data. In the balance method regions are bundled on the basis of fuel and energy balance data subject to the existence of the reserve/lack of energy resources and the potential of their use. The graphic zoning method for regions is used on the basis of one or some signs (transport infrastructure, the social and economic position, the geographic position etc.) too [5]. The typology of Russian regions developed above allows developing the energy efficiency estimation methodology for the purpose of the formation of policy measures within the energy efficiency policy realization at the regional and municipal level. Below we provide the typology of regions developed by the Ministry of Regional Development (0 on September 8, 2014 by the decree of the President of the Russian Federation Vladimir Putin the Ministry of Regional Development is abrogated, its functions are transferred to some key ministries including the Ministry of Finance, the Ministry of Economic Development, the Ministry of Culture etc.). The main advantage of the typology provided in Table 1 is the specifics reflection of regional economic situations. At the same time energy efficiency indices among the region reference criteria to one or another type are absent what does not allow using this typology for the estimation of the regional energy efficiency. The carried classification of regions has showed that received types of regions are stable as a whole. Changes are observed mainly in two types “Supporting regions” and “Regions - industrial centers”. At the same time regions can be transitioned from the range “supporting” to “depressed regions - background” what can be connected with the decrease of the energy-intensive industry branches share and the lower speed of the average population income growth than in other regions. Arkhangelsk, Moscow regions and Krasnodar Territory were referred to “Regions - industry centers” in 2014, but in 2014 and 2015 - to “Supporting regions” what is connected with the excess of the average income growth speed over the energy consumption. At the same time the carried analysis
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A. Kabanov and T. Ksenofontova
Table 1. Typology of Russian regions developed by the Ministry of Regional Development of the Russian Federation in 2012 Types of regions
Sub-types
Special features
Growth driver regions –
High social and economic, scientific and technical development, talent density, average gross product indices, the social standard of living, indices of investments to the main capital, the developed infrastructure network
Supporting regions
Territories aimed at the production export
Resource
Old industry regions The level of depreciation of fixed assets in the industrial sector exceeds 60%, a low index of the Gross Regional Product per capita in the region, a low innovation activity Depressed regions
Special regions
Background
The level of depreciation of fixed assets in the industrial sector exceeds 60%, a low index of the Gross Regional Product per capita in the region, the insufficient level of the market positioning of the region
Crisis
The increased social strain, the decreased level of the regional economic development index, a high out migration to other regions from the region, the insufficient development level of the infrastructure network
–
The low-density occupation of territories, high unemployment, the economic stagnation, difficult political situation
of region indices allows concluding that the typology received by us is enough close to the social and economic one, however the high energy efficiency level is not always accompanied with the corresponding level of the social and economic development [6]. According to data analysis they can conclude that state regulation mechanisms shall be differentiated under region groups according to the existing industry branch structure, the population income level and the energy consumption. So drivers and supporting regions have enough existing mechanisms and fiscal, credit, insurance and depreciation discounts.
4 Discussion The practice shows that the state policy of “growth drivers” shall focus on the power generating source modernization, the provision of the energy consumption decrease, the decrease of air emission share [7], the GRP energy intensity decrease, the GRP increase, the increase of the produced power volume, the decrease of the fuel and energy complex product import etc. For depressed regions it shall focus on the provision of investments
Formation of the Energy Efficiency Estimation Principle System
15
to technological innovations, the energy consumption decrease, the efficiency of fuel and energy company activities, the increase of the fuel and energy complex product export share, the reduction of the loss share in the total volume of transferred energy resources, the investment to technological innovations, the elimination of the off-the-meter energy resource consumption etc. From our point of view it is necessary to come prudently to the matter of the energy saving principle and the energy efficiency estimation system formation; at the same time general methodological principles - the most general, not depending on the region specifics; principles taking into account the specifics of the researched issue and theoretical ones - principles regulating the process of the energy efficiency from the information and calculation point of view shall be formed. Analysis of the normative basis and scientific studies has showed that the principles of the energy efficiency estimation principles are not taken into account till now enough; at the same time it is presented as a rule the limited number of principles [8], namely: – the differentiated approach principle - the division of the energy saving policy subject to peculiarities of regions; – analysis of interested persons, the determination of the equality of the estimated region to requests of these parties; – the consistency principle - the examination of regions not only from the position of separated regions but from the position of the country as a whole; – the systematic measurement principle - the need of the regular estimation of the energy efficiency of Russian regions; – the effectiveness principle - the need of recording of the stage of final energy efficiency index achievement; – the multidimensionality principle - the all-round, inter-sectoral estimation of the energy efficiency of the region. We think that the methodology of the ascertained energy efficiency estimation principle system shall be developed subject to results of studies of domestic authors developing this problem. The Table 2 provides some principles of the energy efficiency estimation principles of Russian regions based on different approaches to the energy efficiency policy formation. We can examine some energy efficiency estimation principles of Russian regions more detailed in whose relation author explanations would like to be given below. The most interesting for the purpose of the region typification according to the energy saving level the differentiated approach is which involves the need of use of the energy saving policy division subject to peculiarities of regions. Principle of the differentiated approach/ Polovnikova N.A. [9]. Russian regions located in different parts of the country differ not only in natural and climatic, economic, social, demographic, ecological terms but the energy security, the fuel and energetic structure development level, the existence of developed and undeveloped natural resources. These dissimilar conditions determine different approaches of the energy efficiency increase of different regions which shall be personal and be determined according to local conditions.
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A. Kabanov and T. Ksenofontova Table 2. Analysis of different approaches to energy saving policy principles
Position number
Principle
Polovnikova N.A
Bezdudnaya A.G
Titova T.S
1
Complexity and targeted orientation
+
2
Combinations of + the branch and territorial approach
3
Differentiated approach
4
Sustainability and coordination
+
5
Unity and consistency
+
6
The choice of energy sources of the optimum quality
+
7
Receipt of the outmost, with the least costs
+
8
Effective use
+
Federal law of the Russian Federation of 23.11.2009. N 261-FZ +
+
+
+
Stakeholder Analysis - principle [10]. During realization of this principle this fact is taken into account that the same region is estimated according to requests of these parties by different categories of interested persons differently. Unity and consistency principle. Bezdudnaya A.G. [11] implies the estimation of the energy efficiency of the region not only from the position of one Russian region but as the system element of the higher level. The coordination and sustainability principle recommended by these authors to the use involve the need of the agreement of purposes, tasks and values of performance targets of realized measures for the energy consumption optimization under branches of the regional economy. At the same time from our point of view coordination and sustainability principles duplicate the consistency principle, but the consistency principle is wider. The choice of energy sources of the optimum quality and the principle of receipt of the outmost, with the least costs taken into account by Titova T.S. [12] are from our point of view elements of the effective energy use principle because they characterize the energy resource use effectiveness.
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Then as result of the correction of the estimation of the standard of living examined by Maleeva T.A. [13] and their adaptation to the energy efficiency estimation the list mentioned in Table 2 was added by 3 principles by us: 1. The principle of the systematic measurement: is based on the need of the regular energy efficiency estimation of Russian regions, the effect of different factors (economic, technological, political etc.) for the receipt of the most objective data of the energy efficiency level of the region; at the same time its estimation of this level shall have the planned and monitoring character. 2. The multidimensionality principle: involves the all-round, the different branch energy efficiency estimation. 3. The effectiveness principle: involves the obligatoriness of the energy efficiency index development by means of which regions could estimate its energy efficiency level and determine top-priority energy saving directions.
5 Conclusion The authors’ work results are formed offers for the methodology development of the precise estimation principal system of the regional energy efficiency and the division of the energy saving policy subject to peculiarities of different regions. In summary it would like to note that we think reasonable the use of such approach in the economy as the neo-institutional economics whose important representatives are Panychev A.Y., Blazhko L.S. and Titova T.S. [14, 15] during the energy efficiency estimation of the region. Subject to this approach we think that the energy efficiency increase process, the energy resource consumption decrease and the energy intensity decrease formation of the Russian economy (including regions as elements) shall be confirmed at the level of the institution and shall be based on certain methodological norms and rules for all interested parties. This institution shall have the recommendation, but not the directive character. Such approach will allow increasing the work effectiveness at the regional and the municipal level.
References 1. Selyutina, L.G., Maleeva, T.V., Frolova, N.N.: Acceleration of regional housing development in Russia on the basis of industrial housing construction modernization. E3S Web Conf. 97, 06003 (2019). https://doi.org/10.1051/e3sconf/20199706003 2. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. MATEC Web Conf. 224, 02011 (2018). https://doi.org/10.1051/matecconf/201822402011 3. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 4. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 4302–4305 (2019). https://doi.org/10.35940/ijrte.B2821.078219
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5. Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 6. Bezdudnaya, A.G., KsenofontovaTY, R.Y.I., et al.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. 2018(3), 76–80 (2018). https://doi.org/10.32861/jssr.spi3.76.80 7. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 8. Maleeva, T.V., Selyutina, L.G.: Analysis and evaluation of financial resources of social housing construction in city. Mater. Sci. Forum 931, 1118–1121 (2018). https://doi.org/10.4028/ www.scientific.net/MSF.931.1118 9. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., et al.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 10. Kim, K.K., Panychev, A.Y., Blazhko, L.S.: Dependence of the reactivity compensation degree of a synchronous compensator on its parameters. Russ. Electr. Eng. 88(10), 623–628 (2017). https://doi.org/10.3103/S1068371217100078 11. Bezdudnaya, A.G., Treyman, M.G., Ksenofontova, T.Y., et al.: Enhancing the environmental safety of the region by introducing innovative methods for recycling of production biowaste. Int. J. Innov. Technol. Exploring Eng. 9(1), 3902–3908 (2019). https://doi.org/10.35940/iji tee.A4987.119119 12. Valinsky, O.S., Titova, T.S., Nikitin, V.V., et al.: Modeling onboard energy storage systems for hybrid traction drives. Russ. Electr. Eng. 91(10), 604–608 (2020). https://doi.org/10.3103/ S1068371220100119 13. Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002 14. Kim, K.K., Panychev, A.Y., Blazhko, L.S., et al.: Slide current collection with disulfide lubricant in high-speed transport systems. Russ. Electr. Eng. 90(10), 661–668 (2019). https://doi. org/10.3103/S1068371219100055 15. Titova, T.S., Evstaf’ev, A.M., Sychugov, A.N.: Improving the energy performance of alternating-current electric vehicles. Russ. Electr. Eng. 88(10), 666–671 (2017). https://doi. org/10.3103/S1068371217100145
Development of the Efficiency Level Estimation Algorithm of the Regional Energy Saving Policy Tatiana Ksenofontova(B)
and Alexander Kabanov
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. In the work the point of view of authors is grounded based on that for the purpose of the formation of the level of the energy efficiency of the region from the position of the technological, natural and economic, social, ecological and other factors the task of the development of the methodological basis of the energy efficiency estimation methodology development of regions. At the same time it is necessary to ascertain the system of targeted regional indices influencing on the energy saving policy in regions both positively and negatively. Authors ascertain that these indices shall reflect top-priority problems of regions on one hand and determine potential opportunities of the region in the area of the energy efficiency growth on the other hand. Based on the aforesaid authors ascertain that each type of regions has its own system of performance targets characterizing possible directions of the energy efficiency level growth of the region. Therefore, during the development of the energy efficiency estimation methodology realization algorithm presented in the article of Russian regions the attention is paid to the matter of the classification of regions upon types according to economy structure indices, the content of energy-intensive branches and other factors having the direct and indirect effect on the energy consumption level and the energy efficiency of the regional policy in the first stage. So the energy efficiency estimation algorithm and methodology of the regional economy on the basis of the ascertained system of performance targets are provided in the article. Keywords: Regional energy saving policy · Energy efficiency indices · Typology of regions · Structure of gross regional product
1 Introduction Recently the attention is paid to the problem of the energy efficiency increase of the national economy including its regional structure elements very much. For the purpose of the formation of the energy efficiency level of the region from the position of the technological, natural and economic, social, ecological and other factors the task of the development of the methodological basis of the energy efficiency estimation methodology development of regions it is necessary to develop the energy efficiency estimation methodology including the system of performance targets which will be a main source of qualitative information for persons making decisions in the area of the development of political measures for the purpose of the internal and international energy saving and the energy efficiency increase policy [1]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 19–27, 2022. https://doi.org/10.1007/978-3-030-96380-4_3
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2 Methods The task of building a system of target refined indicators in the field of increasing energy efficiency came to the fore in the process of solving the problem of assessing the effectiveness of the implementation of a regional program for increasing the level of energy efficiency and energy saving in the region [2, 3]. In connection therewith the approach of the cluster analysis is interesting which allows dividing all Russian regions to different cluster types according to the integrated index calculated according to Ward method on the platform of Statistica tools on the basis of three regional indices whose values are specified on the official web page of the Federal State Statistics Service: monthly average income of regional residents; energy consumption index of each regional resident; specific indicator of the share of energy-intensive branches in the Gross Regional Product. The use of the Ward method allows dividing all Russian regions to three clusters (Fig. 1) [4].
1 cluster
2 cluster
3 cluster
27% 39%
34%
Fig. 1. Gross Regional Product structure in the context of analyzed clusters
At the same time, as data of Fig. 1 show, the share of the Gross Regional Product (GRP) of the first cluster for 2019 has amounted to 39.01% of the GRP of Russia, the analysis of the GRP of Russia’s division in branches has showed that the most significant contribution was made by the 1st cluster to the formation of branches “Mining works” (74.99%) and «Manufacturing activities» (44.92%), in other branches the cluster
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participation share has amounted to less than 39%, All aforementioned facts show that the biggest share of the gross product of the first cluster is formed in branches «Mining works» (21.58%), «Manufacturing activities» (19.71%). The relative share of the industry in the GRP of the 1st cluster in 2019 was higher than the all-Russian level by 2.59% points. It is necessary to note that regions included in the 1st cluster are main metallurgic manufacturers because their share amounted to 76.12% in the all-Russian volume of the metallurgic production and the production of finished metal devices in 2019. Because of the predominance of energy-intensive branches in these regions the work on the creation of the favorable investment climate terms will come to the fore. The work with final fuel and energy resource consumers including with multifamily house residents is actual too [5]. The second cluster consists of 9 Russian regions including Magadan region and Kamchatka Territory. For the second cluster the high GRP per capita (from 427651 rubles per person to 1699932.7 rubles per person) is typical. It is necessary to note that this cluster includes Sakhalin region, Chukotka Autonomous District and c. Moscow with one of the highest GRP levels per capita (1699932.7 rubles per person, 1269343.9 rubles per person and 1103453.3 rubles per person, correspondingly). The Gross Regional Product (GRP) share of this cluster for 2019 has amounted to 34.28% of the GRP of the Russian Federation [6, 7]. Regions of this group form the third Gross Regional Product share of the Russian Federation. It is connected with the existence of raw materialbased regions (Sakhalin region, Republic of Sakha (Yakutia), Murmansk region), regions with the developed metallurgic and chemical industry (c. Moscow, c. Saint Petersburg, Moscow region) and largest industrial centers (c. Saint Petersburg). This cluster includes c. Moscow too. The structural analysis of the Gross Regional Product of the second cluster has showed that its largest share is formed in sections “Whole-sale and retail trade, the vehicle repair, bikes, household goods and personal subjects” (27.7%), “Operations with the immovable property, lease and provision of services” (19.898%). The industry share in the GRP of the 2nd group in 2019 was lower than the all-Russian level by 3.8% points. The share of the Gross Regional Product (GRP) of the third cluster for 2019 amounted to 26.71% of the GRP of the Russian Federation (see data of Fig. 1). So this cluster forms the one third of the Gross Regional Product of RF only and has the relatively low index of the average population income from 92899.8 rubles per person to 389441.8 according to data of the Federal State Statistics Service for 2019 (except Belgorod and Tomsk region). At the same time the analysis of the Russia’s GRP division for branches has showed that the most significant contribution is made by the third cluster to the formation of the branch “Education” (34.8%) and “Manufacturing activities” (18.2%), in other branches the cluster share amounted to from 11.65% to 34.76%. Indices characterizing the mentioned clusters demonstrate the necessity of the expansion of the list of recorded indices (except the monthly average income of residents of the region; the power consumption index for each resident of the region; the specific indicator of the share of energy-intensive branches in GRP) because indices taken into account in the provided cluster analysis don’t take into account the influence of the foreign economic and innovative factor.
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I.e. it is long past time to form the ascertained index system which shall underlie the developed energy efficiency estimation methodology for Russian regions [8] while estimating the energy efficiency of the region extensively and completely. The mentioned indices shall be directed not only to the energy resource production, transportation and consumption process estimation but to the estimation of consequences of use of these resources subject to interests of future generations.
3 Results The developed and below provided methodology allows providing control over the realization of the state policy for the energy efficiency in regions for state and putting them in order according to the energy efficiency level. This approach increases the responsibility of regional branch ministries (departments) and the authorized body for the achievement of energy efficiency performance targets. The analysis of approaches provided above used to the typification of Russian regions has allowed providing the energy efficiency estimation methodology of Russian regions as follows (see Fig. 1): We shall examine the stepwise energy efficiency estimation methodology realization algorithm for Russian regions in detail. Step 1. Confirmation of the typology model of regions according to the energy intensity. The typology of regions is developed by Federal executive bodies every 5 years on the basis of the corresponding methodology and is fixed by the statutory instrument. In order to determine performance targets for every subtype Federal executive bodies calculate variation coefficients for the last reporting period. Also the inclusion of every subtype of indicative indices to the system is obligatory. The correction of indicative indices is made whenever required but at least every 5 years. Step 2. The “prototype object” creation for every subtype of regions. On the basis of data of the official statistics the Federal executive body determines the prototype object for every type and subtype of the region for the purpose of the estimation of directions to the energy efficiency increase. The prototype object in the work understood to be the subject having the best characteristics [9]. Step 3. Estimation and monitoring of energy efficiency performance targets. The detection of the energy efficiency increase performance targets on the basis of the detected difference with the prototype object which can be made by means of use of the following formula: RAPTr = RATP/n (1) where RATPr - the return against performance targets of the region; RATP - the return against performance targets; n - the number of performance targets. The conclusion of the development level within the energy saving policy in the region is made on the basis of the difference determination between indices of the Russian region and the prototype object. If values are equal the performance target for
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the Russian region is the index value which is calculated according to average annual growth increase or decrease for stimulants and de-stimulants for last 3 years accordingly. Received performance targets are non-regulatory and foresee their achievement both in the short and long term [10].
Fig. 2. Energy efficiency estimation methodology realization algorithm of Russian regions
Step 4. At the end of the supposed period the energy efficiency level of the Russian regional policy is estimated. The energy efficiency performance targets calculation and monitoring algorithm of Russian regions is provided in Fig. 2. At the same time the resulting energy efficiency index of the regional energy saving policy is provided on the basis of Table 1:
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T. Ksenofontova and A. Kabanov Table 1. Effectiveness level of the regional energy saving policy.
Position number
Value of the performance targets achievement level by the region
Effectiveness level of the regional energy saving policy
1
More than 0.66
High
2
0.33–0.66
Middle
3
Less than 0.33
Low
So the article describes the energy efficiency level estimation methodology and algorithm in the region, at the same time the special attention is paid to the issue of the region classification upon types according to the index “value of the performance target achievement level of the region” (Fig. 3).
Fig. 3. Energy efficiency performance targets calculation and monitoring algorithm of Russian regions
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4 Discussion Above on the basis of the argument study of domestic and foreign authors we have introduced such system indicator as the “Value of the performance targets achievement level by the region” for the purpose of realization of the developed energy efficiency level estimation methodology in the region. The estimation process of the mentioned system indicator level is introduced into the energy efficiency estimation methodology realization of Russian regions; at the same time the system indicator structure includes the range of indicators describing the influence of energy efficiency factors in the region which are provided in works of Titova T. [11], Maleeva T. [12], Selyutina L. [13]. At the same time it would like to note the fact ascertained in works of mentioned authors: the monitoring and calculation algorithm introduction practice of energy efficiency performance targets of Russian regions allowed making the conclusion that not always close geographical regions are similar according to analyzed energy efficiency indices and can be referred to one type. Therefore, during the formation and execution of the energy saving policy in regions the reasoned decision is the use of the differentiated approach. Also mentioned authors pay the special attention to principles and properties of the methodological estimation process of the regional energy efficiency. The integrity (operativeness) property which is acceptable for mention which is inherent to the offered energy efficiency estimation methodology says that the methodology developed by us shall be available for calculation for any category of citizens and the information which is necessary for the index calculation shall have the public access on official web pages. Data shall be true, regular and on-time. Also the indices shall be measurable. The indices not having the quantitative evaluation shall have the qualitative characteristics received on the basis of the expert assessment method. If it is necessary to apply to the methodological estimation principles of the regional energy efficiency then the parsimony clause recommended for the practical use which amends the subsetability principle of the complex energy efficiency level index is worth mentioning and it supposes that the number of special indices from which the complex index is formed shall not be overrated. During the research it was found that in order to be practically realized for the methodology it is necessary to compare received results in one period with analogue results in another period as well as with analogue indices of other countries, i.e. indices shall be equal to the comparison principle [14]. We shall note that unfortunately the energy efficiency estimation principles are not reflected nor in the legal base, nor in studies of modern authors till now. On the basis of the analysis of theoretical sources, energy saving policy principles offered in the literature.
5 Conclusion In the work in order to create and to realize the energy efficiency estimation methodology of the regional economy classification (typification) stages of regions and the estimation of regions upon the criterion “effectiveness level of the regional energy saving policy”
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were included into the methodology realization algorithm. The methodology approbation by the example of certain regions has showed that main policy objectives for the energy efficiency increase of Russian regions are [15]: – – – –
average population monetary income increase; cost volume increase for technological innovations; fixed assets value increase; GRP increase in per capita terms;
Consequently, the actuality of this work is that the methodology provided in the article will allow correcting program measures within the improvement of the energy efficiency level increase policy in regions referred to various types and subtypes upon the economy structure energy efficiency level.
References 1. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., et al.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser.: Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 2. Kim, K.K., Panychev, A.Y., Blazhko, L.S.: Dependence of the reactivity compensation degree of a synchronous compensator on its parameters. Russ. Electr. Eng. 88(10), 623–628 (2017). https://doi.org/10.3103/S1068371217100078 3. Yudenko, M.N., Chepachenko, N.V., Polovnikova, N.A., et al.: Innovative materials in construction and their role in improving the organizations efficiency. IOP Conf. Ser.: Mater. Sci. Eng. 698(7), 077024 (2019). https://doi.org/10.1088/1757-899X/698/7/077024 4. Bezdudnaya, A.G., Ksenofontova, T.Y., Rastova, Y.I., et al.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. 3, 76–80 (2018). https://doi.org/10.32861/jssr.spi3.76.80 5. Bachurinskaya, I.A., Vasilieva, N.V., Yudenko, M.N., et al.: “Green” technologies in housing: the experience of Russia. IOP Conf. Ser.: Mater. Sci. Eng. 913, 042071 (2020). https://doi. org/10.1088/1757-899X/913/4/042071 6. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 7. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 8. Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 9. Selyutina, L., Pesotskaya, E., Chernykh, A.: Principles and basic provisions for a system for assessing the ecological potential of the modern ecosystem. IOP Conf. Ser.: Mater. Sci. Eng. 962, 042029 (2020). https://doi.org/10.1088/1757-899X/962/4/042029 10. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 4302–4305 (2019). https://doi.org/10.35940/ijrte.B2821.078219
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11. Valinsky, O.S., Titova, T.S., Nikitin, V.V., et al.: Modeling onboard energy storage systems for hybrid traction drives. Russ. Electr. Eng. 91(10), 604–608 (2020). https://doi.org/10.3103/ S1068371220100119 12. Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser.: Mater. Sci. Eng. 687(4), 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002 13. Pesotskaya, E., Selyutina, L., Egorova, L.: Actual aspects of modeling method application in organization of construction management. IOP Conf. Ser.: Mater. Sci. Eng. 687(4), 044005 (2019). https://doi.org/10.1088/1757-899X/687/4/044005 14. Selyutina, L.G., Maleeva, T.V., Frolova, N.N.: Acceleration of regional housing development in Russia on the basis of industrial housing construction modernization. In: XXII International Scientific Conference “Construction the Formation of Living Environment” (FORM-2019), vol. 97, p. 06003 (2019). https://doi.org/10.1051/e3sconf/20199706003 15. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. MATEC Web Conf. 224, 02011 (2018). https://doi.org/10.1051/matecconf/201822402011
Examination of the Stress-Strain State of Service Tunnels at the Airport “Domodedovo” Alexandr Ledyaev , Vladimir Kavkazskiy , and Egor Davidenko(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. Within the construction of the new T2 “Domodedovo” terminal service tunnels were built for the technical maintenance of aircrafts on airport apron. These systems are intended to the technical maintenance of aircrafts on ramps namely for the connection of aircrafts to electric power, canalization, ventilation systems, drinking water and technical pipeline. The peculiarity of this construction is that the top of the panel of tunnel pavement is equal to the top of the apron. Specialists of the “Tunnels and undergrounds” department of the FSBEI HE PTU the series of tests of sections of service tunnels in situ was carried out. As the test load preliminarily stressed aerodrome slabs - AS were used. The pressure of slabs on the tunnel covering is transferred by means of gaskets of the bakelized plywood. The basis of tests in situ are “Special technical terms on the projecting “Reconstruction and development of Moscow Domodedovo Airport””. The test purpose was the alignment of the stress-strain state of tunnel sections and the determination of their actual bearing capacity. Keywords: Service tunnels · Platform IT systems · Geomechanical substantiation · Aerodrome
1 Introduction Because of the annual increase of passenger flows and freights the need of improvement of operational characteristics of large gateways relating to the safety of both passengers and the servicing personnel. Also, under present-day developments there is much concern about the issue of the environment poisoning. This article describes the test in situ of service tunnels on ramps [1] of the constructing T2 terminal of Moscow Domodedovo Airport (Fig. 1) intended to the placement of the moving-out PIT systems (Fig. 2) [2, 3]. These systems are intended to the technical maintenance of aircrafts on ramps namely for the connection of aircrafts to electric power, canalization, ventilation systems, drinking water and technical pipeline. They simplify the work and increase the efficiency [4] of aircraft service in airports essentially. Also they support the level decrease of the influence on the environment thanks to the minimization of the vehicle use [5] using the gasoil. And consequently, the ground vehicle number decrease leads to the decrease of the accident number in the airport territory [6]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 28–36, 2022. https://doi.org/10.1007/978-3-030-96380-4_4
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Fig. 1. BIM model of the T2 terminal constructing at Moscow Domodedovo Airport
Fig. 2. PIT system at Dortmund International Airport (red lines show side boards of the service tunnel)
In the domestic practice similar installations are using for the first time. The tunnel is made of the insitu reinforced concrete [7] and consists of sections (Fig. 3) separated by expansion joints. The peculiarity of this construction is that the top of the panel of tunnel pavement is equal to the top of the apron. The basis of tests in situ are “Special technical terms on the projecting “Reconstruction and development of Moscow Domodedovo Airport””. Special technical terms specify the requirements for the load determination and effects to the tunnel covering not containing in actual normative documents. The
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test purpose was the alignment of the stress-strain state [8] of tunnel sections and the determination of the actual bearing capacity of main structural elements by means of their full-sized loading.
Fig. 3. Scheme of the pas-through tunnel section loading
2 Methods According to technical requirements it is necessary to make the series of static loadings of tunnel sections simulating the loading of the landing gear leg of Airbus A-300-600R. In order to determine the point of test load application in the effective complex [9] the 3D mathematical model [10, 11] was built for the carriage of the calculation series (Figs. 4 and 5). For the analysis of the dependence of the stress-strain state of the construction on the point of load application the sections (L = 7.5 m) with different technological openings in the ceiling slab (Figs. 6, 7 and 8) were selected. In the broadside direction loads were applied in the middle of the bay and at the edge of the haunch. On the basis of calculation results they can say that the largest deformations and stresses are created in the middle of the bay at the edge of the section. The largest absolute deformations (S) were amounted to 3.1 mm (Fig. 6).
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Fig. 4. Analytical model
Fig. 5. Geotechnical cross-section
Fig. 6. Load application at the edge of the section in the middle of the bay (S = 3.1 mm)
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Fig. 7. Load application at the edge of the section at the edge of the haunch (S = 3 mm)
Fig. 8. Load application in the middle of the section in the middle of the bay (S = 2.8 mm)
As the test load preliminarily stressed aerodrome slabs - AS were used. The pressure of slabs on the tunnel covering is transferred by means of gaskets of the bakelized plywood (Fig. 9). The square of one gasket is equal to the image square of one wheel of Airbus A-300-600-R. 6 sections [12, 13] were tested (Fig. 10). Points of load application were selected according to results of static calculations made in the specialized program complex.
Fig. 9. Load modeling of the landing gear leg of Airbus A-300-600-R (gaskets of the bakelized plywood)
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Fig. 10. Location scheme of tested sections (plan)
3 Results Petersburg State Transport University specialists have developed the test methodology not conflicting with actual normative documents. On the inside of tunnels in the area of the tested sections below and on the top check points in three cross sections of the section were fastened. In order to determine covering slab bends the flexometer with the graduation mark of 0.01 mm with control measures by means of the levelling recording was used. In order to determine vertical deformations of the loaded tunnel section the levelling recording was used. The load of the tunnel section covering slabs was applied discretely (stepwise) in stages (shares). In every load stage from 3 to 5 reinforced concrete slabs were installed. After the application of every load share the covering slab was exposed for not less than 15 min under load. The number of load stages during the test amounts to five. The final load for one contact patch amounts to 30.15 tons. The total slab mass on the last page amounted to 120.6 tons (Fig. 11). After the application of each load share dial test indicator readings (slab bend values) as well as deformation values and the immersion of the whole section by means of the levelling recording were fixed. After the application of the maximum control load the covering slab under the specified load was exposed for not less than 30 min. Further final immersions and deformations of the tested section were determined. The load removal was made stepwise in stages (shares) in the procedure which is contrary to the load procedure (Fig. 12). As result of field tests on surfaces of tunnel section constructions the appearance of new defects is not fixed. Immersions [14, 15] and construction deformations don’t exceed acceptable ones (Su = 40 mm).
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Fig. 11. Exposure after the application of the maximum control load (120.6 tons)
Secon #1 loading-unloading diagram 0.7 0.62
Deflecon, mm
0.6
0.52
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0.3 0.2 0.1 0.07 0.01 0 0 0
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loading unloading
0.2
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Load , t Fig. 12. Graphics of the bend dependance in the middle of the bay of the tested section on the load
Examination of the Stress-Strain State of Service Tunnels
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4 Discussion So, within the construction of the new T2 terminal of Moscow Domodedovo Airport field tests of service tunnels intended to the technical maintenance of aircrafts were performed. The basis for the carriage of tests in situ was the Special technical term where requirements to the load and effect determination on the tunnel covering not containing in actual normative documents. According to the performance specification the static load which is equal to the load of the landing gear leg of Airbus A-300-600R was applied. In order to determine the best point of load application in the theoretical complex the 3D mathematical model for the series of static calculations was built. The series includes the calculation of all typical cross-sections from which sections broken by technological openings were selected. In typical cross-sections of these sections the calculation was made for the purpose of determination of the best points of load application specified in Special technical terms. As result of the series of calculations the extreme cross-section in the middle of the section bay was the most loaded. As result of the mathematical modeling sections taking part in tests are selected. As result 6 test cycles were carried out according to methodology developed by specialists of the “Tunnels and metropolitans” Department of the Petersburg State Transport University. In each test stage results of vertical movements and tunnel section deformations were fixed and the visual inspection was made for the purpose of detection of new defects of the construction concrete. Maximum vertical deformations were detected at the edge of the section in the middle of the covering slab passage and amounted to 0.62 mm which does not exceed acceptable values (S = 40 mm). Appearance of new defects is not fixed.
5 Conclusion According to results of field tests they can make the conclusion that constructions of service tunnel sections are equal to requirements to the operational reliability reflected in actual normative documents.
References 1. Li, X., Yuan, D., Jin, D., et al.: Twin neighboring tunnel construction under an operating airport runway. Tunn. Undergr. Space Technol. 81, 534–546 (2018). https://doi.org/10.1016/ j.tust.2018.08.024 2. Liu, M.-B., Liao, S.-M.: A case study on the underground rapid transport system (URTS) for the international airport hubs: Planning, application and lessons learnt. Tunn. Undergr. Space Technol. 80, 114–122 (2018). https://doi.org/10.1016/j.tust.2018.06.004 3. Cui, J., Broere, W., Lin, D.: Underground space utilisation for urban renewal. Tunn. Undergr. Space Technol. 108, 103726 (2021). https://doi.org/10.1016/j.tust.2020.103726 4. Özsoy, V.S., Örkcü, H.H.: Structural and operational management of Turkish airports: a bootstrap data envelopment analysis of efficiency. Utilities Policy 69, 101180 (2021). https:// doi.org/10.1016/j.jup.2021.101180
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5. Visser, J.G.S.N.: The development of underground freight transport: an overview. Tunn. Undergr. Space Technol. 80, 123–127 (2018). https://doi.org/10.1016/j.tust.2018.06.006 6. Bobylev, N.: Underground space as an urban indicator: measuring use of subsurface. Tunn. Undergr. Space Technol. 55, 40–51 (2016). https://doi.org/10.1016/j.tust.2015.10.024 7. Benin, A.V., Semenov, A.S., Semenov, S.G., et al.: Methods of identification of concrete elastic-plastic-damage models. Mag. Civil Eng. 76(8), 279–297 (2017). https://doi.org/10. 18720/MCE.76.24 8. Lediaev, A.P., Konkov, A.N., Novikov, A.L., et al.: Influence evaluation of buildings constructed in protected zone on St. Petersburg subway underground structures stress-strain state. Procedia Eng. 189, 492–499 (2017). https://doi.org/10.1016/j.proeng.2017.05.079 9. Benin, A.V., Gorodnova, E.V.: Geotechnical analysis of structural behaviour under complex geological engineering conditions. Procedia Eng. 189, 65–69 (2017). https://doi.org/10.1016/ j.proeng.2017.05.011 10. Ledyaev, A.P., Kavkazsky, V.N., Ivanes, T.V., et al.: Study in the structural behavior of precast lining of a large diameter multifunctional tunnel performed by means of finite elements analysis with respect to Saint-Petersburg geological conditions. Civil Environ. Eng. 15(2), 85–91 (2019). https://doi.org/10.2478/cee-2019-0012 11. Benin, A., Guzijan-Dilber, M., Diachenko, L., et al.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S Web Conf. 157, 06018 (2020). https://doi.org/10.1051/e3sconf/202015706018 12. Tanaka, F., Takezawa, K., Hashimoto, Y., et al.: Critical velocity and backlayering distance in tunnel fires with longitudinal ventilation taking thermal properties of wall materials into consideration. Tunn. Undergr. Space Technol. 75, 36–42 (2018). https://doi.org/10.1016/j. tust.2017.12.020 13. Makana, L.O., Jefferson, I., Hunt, D.V.L., et al.: Assessment of the future resilience of sustainable urban sub-surface environments. Tunn. Undergr. Space Technol. 55, 21–31 (2016). https://doi.org/10.1016/j.tust.2015.11.016 14. Meng, F., Chen, R., Kang, X.: Effects of tunnelingnduced soil disturbance on the postonstruction settlement in structured soft soils. Tunn. Undergr. Space Technol. 80, 53–63 (2018). https://doi.org/10.1016/j.tust.2018.06.007 15. Boldini, D., Losacco, N., Bertolin, S.: Finite Element modelling of tunnelling-induced displacements on framed structures. Tunn. Undergr. Space Technol. 80, 222–231 (2018). https:// doi.org/10.1016/j.tust.2018.06.019
Social Economic Development Control and Management in the Context of Integration Transformations Tatiana Satsuk1(B)
, Fatima Botasheva1
, Svetlana Rachek2
, and Maria Pak3
1 Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9,
190031 St. Petersburg, Russian Federation 2 Ural State University of Railway Transport, Kolmogorova Street, 66, 620034 Ekaterinburg,
Russian Federation 3 Siberian Transport University, Dusi Kovalchuk Street, 191, 630049 Novosibirsk,
Russian Federation
Abstract. This scientific article describes the actual complex of theoretical issues of control and management tools development both on the macro level and on the micro level. The main research purpose is the disclosure of peculiarities of the control influence realized on various social economic levels as well as the disclosure of fundamental reasons for the realization of the new control type in the context of the multilateral management - integrated control as well as the social control actualization. In connection therewith the acute need in the concept detection is detected on the basis of the general problem of such control types in the social economic area. Research methods. The generative study of control development problems both on the level of the separate economic subject and on the level of institutions in the social and economic relation system is carried out. Results and conclusions. Conclusions in the area of the control process development in social economic systems are summarized, the problem aspect is examined under conditions of instability of social economic events in the information integration society because the effective integrated control system is necessary for support of significant level of economic safety, moreover in the period of transformations and turbulence of processes. Received research results of this article can be used in the area of public relations management, in the teaching in universities, scientific research in the area of control as the social phenomenon. Keywords: Control tools · Social area factors · Economic safety · Management elements · Integrated control · Performance effectiveness
1 Introduction Under conditions of instability and uncertainty of social economic events the actual social economic system is the enough complex management system supposing the set of mutual management elements for various categories of economic subjects moving along the foreseen behavior trajectory. The system of any control type is not a certain © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 37–45, 2022. https://doi.org/10.1007/978-3-030-96380-4_5
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autonomous system, but it is the integral and the most important part of any system and process which uses reasonably for the regulation and direction of the economic subject work to achieve the established purposes. According to the study of scientists A.K. Kanaev, E.V. Oparin, E.V. Oparina, the rational management is achieved by means of the determination of fundamental requirements which are controlled, analyzed, and checked for the quality of criteria [1, 2]. Typical samples of fundamental requirements: 1) the complete and systematic regulation of tasks and methods of the entity activity plan. 2) the clear function delegation, the existence and the work of the talented monitoring and statement system. 3) existence of the organizational plan and the corporate culture; 4) the corresponding selection of processes and their cooperation and correlation. 5) adequacy of the management channel system. 6) preventive measures for the detection and fraud prevention (existence of the safety system, the rating system with different levels of confidentiality for the information use, the instruction of fraud risks). 7) a quick reaction system and correction actions if the error and incorrectness is detected. Such research scientists as T.Yu. Ksenofontova, R.V. Smirnov, O.V. Kadyrova, T.N. Kosheleva, O.V. Burgonov and N.A. Kudrova suppose that the set of control policies, rules, procedures and mechanisms which at all times include all types of activities for the purpose of its effective and safe functioning shall be directed to the efficiency and the effectiveness at first instance [3]. According to the point of view of scientists L.F. Kazanskaya and E.V. Shaykina the qualitative and effective management and control system functioning on the basis of certain rules and procedures is developed by the Executive Board for the achievement of the following purposes: company work effectiveness, the accessibleness of financial company results, the existence of “safety valves” (control points), the compliance of actual rules and principles which are used in the company (by the Executive Board according to corporate management principles) [4]. The existence of hard management systems has the significant positive effect on the business and economy of any country. Also, the absence of the hard corporate governance system does not allow developing the capital market.
2 Methods The generative study of control development problems both on the level of the separate economic subject and on the level of institutions is carried out. Potential directions of problem solution of the examined area are formed in groups. The persuasion and sequence of the explanation, conclusions, offers are due to research materials: with the use of sources from scientific magazines, thesis researches. The result character provides the use of different methods of the empiric data collection and the research result
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processing too. The proof conditions of the various significant influence of information, organizational and social economic area factors on the control and management system organization were the fixation of the problem knowledge level and the compliance of purposiveness, objectiveness, applied direction, regularity and consistency principles.
3 Results The control provides the reproduction of social cooperations and relations, its main task is the term formation for the support of the social stability, stability of the social system and the appearance of positive changes in the society [5]. For the long-term and the effective activity by means of the introduction of complex and structure changes directed to the achievement of the maximum achievable effectiveness as well as the rational optimization of their structure and the quick reaction on environmental changes it is necessary to organize the qualitative and the complex “exhaustive” control at the same time. It will allow realizing functions of the complete coordination and management, therefore the introduction of such a particular type of control as the integrated control is suggested. The peculiarity of the integrated control is supposed in the well-structured and exhaustive system of information data and events used for the active effective activity in the area of the coordination and supervision in the area of the turbulent developing social economic environment. By its specific nature the integrated control supposes the strategic approach to the management organization which is developed in relation to the “traditional” model, therefore the actuality is reflected in the interpretation of social economic environment changes in its interest, the prevention of appearance of different risks for the economic subject and the correction of the behavior model of the economic subject in relation to the mapped-out strategy permanently. The integrated control places a greater focus of controlling subjects on strategic results of regular actions systematically and in advance, consequently the system shall allow positioning economic subjects within time frames subject to the competitive space and the environment to detect any defects on time which can damage significantly while influencing on economic results as result. The integrated control can be examined multilaterally by nature. We shall determine three following leading foundation bases on which its appearance is based: 1) set of actions for the planned coordination aimed to the preliminary self-regulation and then a deep monitoring of the subject activity effectiveness in the system of social economic relations; 2) tools for registration procedures organized for the processing of information arrays putting their focus on the managerial solution making processes as well as the series of steps for the strategic planning and management; 3) information system created for the information detection collected and structured on the selective basis for the purpose of data cumulation which are intended for the administrative machine, subject to the correlation with corporate values.
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The control is variable and is able to be completely “existing” in any environment where the system exists which is intended to the operative execution of declared tasks and the achievement of certain purposes, in connection therewith it was and will be a significant managerial function along with the goal-setting. The control supports the successful operation and if control is absent in the activity of any subject the chaos begins. Indeed if the goal is not developed nothing is controlled, it is reasonable that this rule is valid both in the economic and the social environment. Therefore we put a focus on the social control, in the context of the influence on the social appearance aspect too. The social control purpose is to provide the compliance of rules and values and to prevent its violation by citizens. This purpose is achieved by means of social control institutions and mechanisms acting or preventively i.e. till the deviation of the individual from rules or repressively, after the appearance of the criminal behavior. Except used penalties (for example, forfeitures) should it be a formal or informal public control, there are rewards too, for example animation, award, recognition (for example, excellence, cup, applauses). The interaction of the individual and the society in relation to the control problem is internally contradictory, however all individuals as a person are unique but they cannot function operatively in the society not accepting specified norms, not adapting the behavior in the society according to them, in fact it will lead to the conflict with the society. However, if to get a new angle, then it is difficult for the individual to make the active, creative, socially useful activity under the influence of strictly determined social norms. So the control, its methods and tools have the direct connection with the susceptibility to the social influence on individuals and on the society as a whole. Now the social (formal or informal) control concept is used more and more seldom and as a rule is substituted by “social adaptation”, “integration” or “integration” concepts [6]. The social control is the influence method on preferences, beliefs, values, ideals and the behavior of individuals by means of the base determination to which its complete operation and appearance come: 1) social expectations. They are direct or indirect requirements. According to them the greater part of expectations of surrounding people is formed subject to those functions which the individual shall make, for example on the basis of his social status, social position or the social role; 2) social norms. They suppose the precise determination of some samples prescribing according to which individuals shall say, think, feel, do in certain situations. Such norms are usually expressed in the form of determined behavior models from the position both of the society as a whole and certain social groups. 3) social sanctions. They suppose the use of corrective actions as the most important social control method by means of which the behavior of the individual (people) is normalized in relation to the social group (society). Let’s get acquainted with components of the integrated control system and the influence of key properties of control on its complete functioning in detail in Fig. 1.
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Components of the integrated control system Control system objects setting top-priority milestones of control procedures and actions
Integration properties: Consistency Emergence
Fundamental basis and creation fundamental systems, principles of their organization Systems of mutual connections and relations between components as well as the interdependence
Integrated control properties
Control sub-systems Binding channels between control system elements subject to interdependent effects and synergistic effects of the mutual influence Control "supersystems" building from the variety of external and internal elements
Functional properties: Good organization Structural properties Stability Goal direction
Control system objects - bases of sub bases and principles of the economic agent
Fig. 1. Integrated control system components and influences of integrated control properties on its operation
According to Fig. 1 we can conclude that each element is the indispensable component part which is complementary in relation to all others and the use of the integrated approach allows identifying the management system as a whole. While having two groups of attributes (integrative and functional), the control has the complex effect on control objects. Results analysis. From the point of view of researchers, sociologists it is desirable to try avoiding the “unilateral” control appearance to the maximum. On the sample of the entity they can see that if agents are aimed at certain characteristics only for the purpose of the approval of the management, it can lead to that in future it will lead to the disregard of common corporate purposes being a more all-encompassing. In this case if to examine this situation, on the micro-level, competitive entities can become more active that will damage to the effectiveness, the productivity of the activity immediately. Concurrently they shall avoid the excess “pressing” control that can influence on the entity climate negatively too. Therefore, we can conclude that the control can be enough
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and really necessary for the successful operation of the certain agent according to the scope of its activities and the operational environment. So, the mentioned social control aspects “correlate” with each other to hedge individuals from the participation in criminal activities [7].
4 Discussion In order to understand the social control sense in-depth, we put a focus on the social control theory describing internal means and tools of this control type. The social control theory is used to help us understanding and reducing the level of the criminal activity. It is based on the idea that the basic system of beliefs, values, the moral, liabilities and human relations support the creation of the friendly environment. Persons having these beliefs and liabilities have often the self-control level for their actions or in other words “control” their life - they are ready to remain on the right legal part accordingly. Also the social control theory studies how the society influences on the criminal behavior. This emphasizes the idea too that when people are engaged and communicate with the community they make criminal actions less likely. In this case internal control means such as the personal consciousness, ego and feelings relating to the correctness and disarrangement are powerful in the mitigation of the deviation probability from social norms. This contradicts with external control means in which people obey because the heavyweight person (for example, the state) threatens sanctions in case of the personal defiance. The social control theory aims to understand how to reduce deviations. The moral is created within the public order by means of cost distribution and consequences for certain actions which are marked as illegal or deviant. For the social control theory the criminal and offensive behavior is the result of human nature - the crime provides quick and simple ways of achievement of its desires. In the social control theory a focus is maintained by forces keeping people from crimes or by our social relations. The affection for parents and other persons, the adherence to accepted goals, the participation in accepted types of activities and the belief in the moral legal justification are four types of connections giving people the interest in the compliance, but it can be lost as result of the crime immediately. Preventive strategies directed to the increase of interest of young people in the compliance provision especially in the early childhood are the most suggestive from the point of view of the social control theory. The support of capabilities of parents to socialize children effectively and the extension of participation of young people in social groups can have serious long-term consequences for the criminality level. Now sociologists put a focus on the control phenomenon as the way of the individual behavior management and correction much less often than economists and psychologists. Nevertheless the control is considered as one of main concepts in many areas of the applied economics including the behavior economics or the work economics [8] more often. The control performance plays a key role in making many resolutions of the investment into the human capital that requires attention from researchers. The informal social control is the exotic reaction of certain individuals or social groups which is conformed to norms and laws including different factors, for example pressure of the society, the interference of the eye-witness to the crime and collective
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actions [9, 10]. We shall remember that three social control forms exist: the formal social control, the informal social control and the self-control. The formal social control is the legal control performed by the state and authorized bodies (for example, law machinery) and aligns with the suppression and punishment. Punishments are determined by the law certainly for each case of rule violation. The formal social control is used in case of violation of fundamental values and rules of public life (for example, the homicide, the theft, the imprisonment) [11]. The informal social control is the non-institutionalised control performed in case of deviations from group behavior standards. Comments of relatives, the critics from relatives, antics and gestures are some examples of the informal social control because they express the approval or disapproval of actions. The informal social control is used mainly in case of violations of less fundamental behavior rules. Social control forms include the self-control, the internal control of a person. It is the adoption of values and behavior rules which is achieved during the early personal socialization. Each individual assesses possible consequences of his actions before each action. These consequences stimulate or hinder him to act according to the stage of the social value adoption. For example, our desire to appropriate material benefits contradicts with the accepted social standard of theft. We shall put a focus on the definition often used by psychologists such as the “locus of the control” whose existence researchers connect with positive and indispensable qualities in the work market often too. Employees with the positive basic self-appraisal, i.e. with the internal locus of the control do not fear difficulties in the professional area and they have a high productivity accordingly. Such employees amend professional advantages with a good education and important work experience knowingly. The need of control over any economic unit is based on the imperfection of human nature, in fact errors and fraud are properties of any person [12]. This is actual especially in the period of instability of political, economic, social processes as well as the active transition to the digitalization of all life areas in a new information society [13].
5 Conclusion The control as the mechanism of the social order provision provides the reproduction of social cooperations and relations, its main task is the term formation for the support of the social stability, stability of the social system and the appearance of positive changes in the society [14]. The acceptance of suitable behavior standards and the compliance of society members with rules regulating social relations have the crucial importance for the closeness and the continuous operation of the society. However, the systematic use of rules is not obligatory and deviations from accepted behavior standards can appear. Accordingly, the social control is performed when values and behavior rules were not adopted by society members effectively and deviations exist. The social control is the set of mechanisms used by the society for the acceptance of its values and the provision of compliance of rules by its members. Initially the social control concept was firstly introduced by sociologists during the study of criminality.
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We shall put a focus on that it is necessary to detect significant changes, positive or negative during the performance of control functions regularly too. For this purpose the following steps are performed stepwise: 1. Determination of clear borders of the control environment, i.e. any and all possible controlled agents and objects inside the certain social economic system. 2. Search of “locations” of all potential risks relating to the control environment. 3. Determination of priorities according to the importance and danger of risks. 4. Compliance of the most unfavourable risks with the priority ranking of selection of control measures which shall be taken on the managerial level. The social economic aspect in this case relates to the provision and strengthening of certain fundamental principles and values such as the equality, social relations, solidarity and the social and territorial unity and is transformed to certain actions and politics mainly of the redistributive character. Any type of control requires the well-managed temporary regulation according to the character of events in the certain social economic environment subject to costs for the control tool effectiveness indicator measurement. The temporary regulation supposes the determination of optimum time frames between measurements of the control influence in this interval to prevent extreme situations, much often negative ones because of possible undesirable deviations [15]. We shall note that one of the most valuable control properties is the flexibility namely thanks to which control tools “make” the correction of the compliance of the events in the external and internal environment mildly. Maybe an unclear quality can seem that the control shall be appear as more simple and economically viable, however it is one of the most valuable control appearance qualities.
References 1. Kanaev, A.K., Oparin, E.V., Oparina, E.V.: Model of the synchronization network functioning process in the context of intellectualization of network control functions. Web Conf. 224, 217–224 (2020). https://doi.org/10.1051/e3sconf/202022401028 2. Saharova, M.A., Prisyazhniuk, S.P., Kanaev, A.K., et al.: Model of the technical diagnostics process and control of the functional subsystem of the telecommunications network. In: Wave Electronics and its Application in Information and Telecommunication Systems (2020). https://doi.org/10.1109/WECONF48837.2020.9131534 3. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 441–447 (2019). https://doi.org/10.35940/ijrte.B2821.078219 4. Kazanskaya, L., Shaykina, E.: Management and economic efficiency criteria in the organization of safe rail transportation. Web Conf. 157, 149–157 (2020). https://doi.org/10.1051/e3s conf/202015705007 5. Takhumova, O., Ryakhovsky, D., Satsuk, T., et al.: Ways to assess and improve the financial sustainability of Russian organizations development ways to assess and improve the financial sustainability of Russian organizations development. Int. J. Eng. Adv. Technol. 9(1), 1568– 1571 (2019). https://doi.org/10.35940/ijeat.A1360.109119
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6. Pabayo, R., Grinshteyn, E., Molnar, B.E.: Relation between neighborhood socio-economic characteristics and social cohesion, social control, and collective efficacy: findings from the Boston Neighborhood Study. SSM Popul. Health 10, 150–157 (2020). https://doi.org/10. 1016/j.ssmph.2020.100552 7. Darda, K.M., Butler, E.E., Ramsey, R.: Individual differences in social and non-social cognitive control. Cognition 202, 112–119 (2020). https://doi.org/10.1016/j.cognition.2020. 104317 8. Alexandra, V.: The role of social worldviews and self-control in moral disengagement. Personality Individ. Differ. 143, 74–79 (2019). https://doi.org/10.1016/j.paid.2019.02.012 9. De la Rosa, S., Meilinger, T., Cañal-Brulan, R., et al.: Visual appearance modulates motor control in social interactions. Acta Physiol. 210, 111–121 (2020). https://doi.org/10.1016/j. actpsy.2020.103168 10. Henri, J.-F., Wouters, M.: Interdependence of management control practices for product innovation: The influence of environmental unpredictability. Acc. Organ. Soc. 86, 452–458 (2020). https://doi.org/10.1016/j.aos.2019.101073 11. Leiby, J.: The role of consultants and management prestige in management control system adoption. Acc. Organ. Soc. 6, 1–13 (2018). https://doi.org/10.1016/j.aos.2018.03.003 12. Samagaio, A., Fernandes, N., Rodrigues, C.R.: Management control systems in high-tech start-ups: an empirical investigation. J. Bus. Res. 89, 351–360 (2018). https://doi.org/10. 1016/j.jbusres.2017.12.028 13. Edholm, C.J., Tenhumberg, B., Rebarber, R.: Management of invasive insect species using optimal control theory. Ecol. Model. 381, 36–45 (2018). https://doi.org/10.1016/j.ecolmodel. 2018.04.011 14. Greve, J., Ax, C., Willert, J.: The impact of society on management control systems. Scand. J. Manag. 33(4), 253–266 (2017). https://doi.org/10.1016/j.scaman.2017.08.002 15. Kivilä, J., Martinsuo, M., Vuorinen, L.: Sustainable project management through project control in infrastructure projects. Int. J. Project Manag. 35(6), 1167–1183 (2017). https://doi. org/10.1016/j.ijproman.2017.02.009
Reversion Assessment Methods During the Determination of the Market Value of the Immovable Property Sergey Kolankov1(B)
and Natalia Pichkurova2
1 Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9,
190031 St. Petersburg, Russian Federation 2 Siberian Transport University, 191 Dusi Kovalchuk Street, 191, 630049 Novosibirsk,
Russian Federation
Abstract. The article considers questions of the assessment of one of the pricing indicators used in the income approach to the market value assessment of the immovable property - reversion. It is specified that in modern publications for the market value assessment of the immovable property ample attention is not paid for calculation methods of this indicator. It is noted that the reversion as the income indicator is taken into account in two income approach methods - the cash flow discounting method and the mortgage and investment analysis method. Four reversion assessment methods are specified, recommendations on the use of each ones are given. Terms of use of the post-forecast net operational income capitalization method, the proportional assessment method, peculiarities of use of the cost reversion assessment method are formulated. Analytic models and design formulae are indicated. In the conclusion it is noted that reversion assessment methods allow obtaining results differing in the degree of confidence, reliability. It is underlined that the main selection term for one or another method is the existence of information which is necessary for its use. Keywords: Immovable property · Market value assessment · Reversion · Income approach · Cost approach · Comparative approach · Assessment methods · Direct capitalization · Mortgage and investment analysis method
1 Introduction The market value of the immovable property is used in the practice of income generating activities in different economic situations. Especially except conclusion of sale transactions, leasing, mortgage the market value is used as one of factors for purposes of corporate cost management in the construction [1], in the management of supply chains [2], during the determination of railway tariff level [3], for the market research and trend building in the construction [4], the rating assessment of terminal and logistic complexes [5], in the housing construction and housing reconstruction [6], investment project effectiveness assessment according to the Methodological recommendations on the investment project effectiveness assessment (the second edition, corrected © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 46–54, 2022. https://doi.org/10.1007/978-3-030-96380-4_6
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and amended, confirmed by The Ministry of Economic Development of the Russian Federation, the Finance Ministry of the Russian Federation and the State Committee for Construction of June 21, 199 No. VK 477), taxation optimization and accounting data correction that is foreseen by Art. 6 of the Federal Law of the Russian Federation of 29.07.1998 No. 1365-FZ (edited of 31.07.2020) “On the assessment activities in the Russian Federation” whose Article 8 specifies cases of obligation of the object assessment performance. One of approaches used during the market value assessment of the immovable property is the income approach [7–11]. In his popular work Income Property Appraisal and Analysis Jack Friedman and Nicholas Ordway have noted that this approach is main one during the assessment of the income-generating immovable property. In two of methods of this approach - the cash flow discounting and the mortgage and investment analysis - it is necessary to determine the sale value of the assessed object at the end of the accounting period which is designated a reversion (Rev - reversion). The reversion registration allows assessing the income flow which will be generate the immovable property after the end of the reporting period or in other words taking into account the circumstance that at the end of the accounting period the object will not lose its value and it can be resold. At the same time this sale will be maybe conditional. In published works for the immovable property assessment [7–17] it is not ascertained how the reversion value shall be calculated, therefore in this article main attention is paid for the counting technique and arising questions.
2 Methods Now in the practice of the valuation activities the Rev value determination is made by four methods: By the expert assessment method; By the direct capitalization of post-forecast net operational income (NOI); In the percent of the market immovable property value; By the cost method. 1. The method of expert assessment of the sale value at the end of the reporting period is based on the study of market trends i.e. on the research of the actual market state and eventual changes in future, opinions of market professionals, analytical materials published in specialized issues. The expert assessment method refers to the comparative approach. This way has got a low reliability because of the market situation uncertainty in the enough long-term future (5–10 years and more). Because such forecast is less authentic in comparison with the actual value assessment and influencing pricing factors it is reasonable to use the increased discount value in case of the Rev discounting. 2. By means of the direct capitalization of post-forecast NOI that is the income approach to the assessment of the immovable property market value.
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3 Results During the use of this method some variants are possible (Fig. 1): – firstly, when it is supposed that it will not be encumbered by the credit in the postforecast period. It is possible in two cases: or the object as of the evaluation date did not already have outstanding loans and, – secondly, if the object as of the evaluation date was encumbered by the credit but it will be paid till the end of the accounting period. This case in Fig. 1 is designated as the correlation (T cr ≤ T calc. + T prev.).
Fig. 1. Variants of the Rev assessment method by means of the direct capitalization of postforecast NOI
– thirdly, when as of the end date of the accounting period the credit balance is outstanding, i.e. when the credit agreement duration is more than the sum (T cr > T calc. + T prev.). In the first and the second case the supposed sale price of the object will be equal to the capitalized value of post-forecast NOI provided that the capitalization coefficient will be equal to the discount norm for the post-forecast period (E const.): Rev = NOIconst /Econst
(1)
where 〖NOIconst is the annual NOI value for the first year of the post-forecast period, rubles annually. In the third case the received Rev value shall be decreased by the discounting value of annual payments for the credit repayment to the end date of the forecast period. In this case the formula (1) will be the following: (2) where RMT is the annual payment for the credit repayment in the post-forecast is the multiplier of the fifth function of compound interperiod, rubles annually; est (PV/RMT) calculated if E const and the T final is equal to the duration in years from
Reversion Assessment Methods During the Determination of the Market Value
49
the end date of the accounting period till the end date of the credit repayment. This period can be determined as: Tfinal = Tcredit − Tprel. + Tcalc. (3) where Tfinal is the period of the final credit repayment after the end of the accounting period, years; In each of specified cases the NOI permanence can be foreseen for the post-forecast period or vice versa its change by some permanent speed. Expressions mentioned above (1, 2) are used if the permanence of the net operational income is planned. If the assumption of the possible NOI change for the post-forecast period is made then the Gordon growth can be used where the nominator of formulae (1, 2) is reduced by p value characterizing the NOI speed change (increase or decrease). So, for example, according to the Gordon growth formula (1) will be the following: Rev =
NOIconst E−p
(4)
where p is the forecast speed of NOI change for the post-forecast period, % p.a. 3. The reversion value can be determined in percent of the evaluated market value of the immovable property. This Rev assessment way can be designated as the proportional method. For example, if it is supposed that for the accounting period the object value will increase in comparison to the current value by 25% then the sale price is provided as: Rev = (1 + Δ) · CDP = 1, 25 · CDP
(5)
where CDP is the market value of the object which shall be assessed as of the certain date, rubles; is the forecast change of the assessed object value for the accounting period, unit shares. In this case the design formula of the cash flow discounting method or the traditional technology of the mortgage investment analysis method will contain one unknown variable - CDP which is met twice in the design equation. It can be illustrated by means of the design plan specified in Fig. 2, for example, for cases when T cr > T calc. + T prev. The design formula for the variant specified in Fig. 2 will have the following form: (6) After some algebraic transformations we receive the expression for the evaluation of the market value of the object: (7) Conspicuous is the fact that the parameter is in the nominator of expression (7). We can suppose the creation of the situation when the nominator will be equal to zero.
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Fig. 2. The design plan of the traditional mortgage and investment analysis technology if T cr > T calc. + T prev.
Consequently the function will have the dissolution by a some value of where the nominator of expression (7) is close to zero and the CDP market value amount is equal to plus/minus perpetuity. The mentioned value can be designated as the critical value of this parameter - critical. From the graph (Fig. 3) we can see that as the critical value a such one can be designated when the evaluation result changes its sign from positive to negative. From the graph (Fig. 3) it is possible to determine the area of use of the proportional sale price determination method of the object at the end of the accounting period: −∞ < Δ < Δcrit
(8)
At the same time for the S dp market value amount correlations are fair: lim
Δ→Δcrit −0
C(Δ) = +∞;
lim
Δ→Δcrit +0
C(Δ) = −∞
(9)
So during the use of the proportional revision assessment method we shall control the area of its use. 4. By the cost method supposing the value adjustment of the land plot (cadastre value) and the remaining value of improvements (determined according to consolidated indices or the accounting data) minus the deterioration (amortization) added for the accounting period and indexed as of the end date of the accounting period. As well as the cost method used for the market value assessment of the immovable property its modification supposes the separate registration of the market value of the land plot and its improvements: Rev = Vlp × Iappr. l + (Vic − I ) × Iconstr.cost
(10)
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51
Market value of real estate, RUB.
150
-2
100 50 -1
0
0
1
∆
2
3
4
-50 -100 Value ∆ Fig. 3. Area of use of the proportional Rev determination method
where Vlp is the market value of the land plot, rubles; Iappr. l is the index of the forecast rise cost of land plots from the evaluation date of the immovable property till the end date of the accounting period, unit shares; I is the forecast value of the accumulated depreciation by means of improvements as of the end date of the accounting period, rub. Iconstr.cost is the index of the forecast rise cost of the construction from the evaluation date of the immovable property till the end date of the accounting period, unit shares. Vic is the value of investor costs, rub. The value of investor costs is determinated as the sum of the planned value of the immovable property (V_planned) and indirect investor costs (IIC): VVic = Vplanned + IIC
(11)
As the V lp the cadastre value of the land plot can be used which in the opinion of many immovable property market participants is now comparable with the land market value and in some cases it even exceeds. In case of information availability the market value of the land plot can be determined by one of known methods. In the expression (10) two indices of the rise cost is taken into account in the assumption that the market value of land plots and the planned value of their improvement will change differently. It can be determined according to change trends on the land market and the construction market. During the depreciation evaluation we shall proceed on the basis that in many cases it is determined in percent and then this standard is used to the investor cost value. However before this it is necessary to ascertain that all indirect charges are depreciable. Some indirect charges can be wear-free and in this case they shall be excluded from the depreciation calculation base. So, wear-free indirect charges are taken into account during the calculation of the investor cost value without the depreciation.
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4 Discussion The article presents methods for determining the amount of reversion as one of the priceforming indicators used in the income approach of assessing the market value of real estate. The conditions for the application of two methods of Rev estimation are formulated: the method of capitalization of post-forecast net operating income and the proportional method. In addition to the three methods of assessing reversion used in the practice of evaluation activities, the features of the application of the costly Rev evaluation method are formulated. Methodological provisions are illustrated by calculation schemes and formulas. It can be noted that the methods of estimating reversion have varying degrees of reliability. Therefore, the appraiser is required to justify the choice of the Rev evaluation method, which is largely determined by the availability of the information necessary for its application. All other things being equal, preference should be given to the method of direct capitalization of post-forecast NOIS and the proportional valuation method. When using the costly method of estimating reversion, a certain problem is the estimation of the estimated value of real estate, which can be done in the following ways: – According to accounting data subject to its adjustment from the date of the initial registration in the entity till the evaluation date of the market value of the object; – On the basis of existing estimation costs for the object construction in case of their safety as of the evaluation date of the market value of the object. It will require the execution of some operations: the expertise of estimation costs in the area of conformation of building elements to their actual existence, the adjustment of the estimated cost of prices from the date of creation of estimation costs till the evaluation date of the market value of the object, the check of conformation of standards of limited costs and taxes contained in estimation costs to their modern amount. – By means of the expert evaluation on the basis of the professional experience of construction and immovable property market participants: contractors, developers, designers, evaluators, project managers-developers. As a rule, in this case the unitary construction cost of 1 square meter or 1 cubic meter of the object with the following multiplying by the power of the evaluated object. – On the basis of enlarged indicators of the evaluation cost among which collected books developed on the level of different years - from 1969 to 2020 exist that requires the corresponding adjustment to the price level as of the evaluation date of the market value of the immovable property. For the purpose of simplification of the counting method the accounting evaluation method may be used instead of the cost method of the Rev evaluation. In this case we shall take into account the peculiarities of Russian accounting standards according to which the land plot and the building are taken into account separately, the depreciation can be added by different ways and its norm depends on the group of key assets, the value added tax is taken into account apart from the building.
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5 Conclusion The Rev assessment is an important element of the immovable property market value evaluation for the purpose of obtaining of the most precise result. Used methods of its evaluation have the different stage of authenticity and information richness. Because of the non-transparency of the immovable property market namely the existence of the necessary information for calculations is a main condition of selection of one or another calculation method. The expert assessment method is the least precise, but it is used in terms of information absence for the use of other methods specified in this article by force. The cost evaluation method or its modification - the balance evaluation method takes into account immovable property market conditions (the correlation of the supply and demand on the market which will be formed as of the end date of the accounting period) not enough precise. The most preferable for the Rev assessment is the use of income approach methods: the direct capitalization method and the proportional method. At the same time, it is necessary to control the area of use of the proportional reversion assessment method.
References 1. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., et al.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser.: Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 2. Malyshev, N.V., Koroviakovskii, E.K., Rostovceva, S.A., et al.: Robotic automatic of inland container terminals. Sci. J. Maritime Univ. Szczecin (2020). https://doi.org/10.17402/441 3. Egorov, Y., Zhuravleva, N., Poliak, M.: The level of railway rates as a factor of sustainable development of territories. E3S Web Conf. 208, 04010 (2020). https://doi.org/10.1051/e3s conf/202020804010 4. Asaul, A.N., Asaul, M.A., Liulin, P.B., et al.: Housing construction in Russia: trends and medium-range forecasts. Stud. Russ. Econ. Dev. 30(3), 313–318 (2019). https://doi.org/10. 1134/S1075700719030055 5. Pokrovskaya, O., Fedorenko, R.: Methods of rating assessment for terminal and logistic complexes. IOP Conf. Ser.: Earth Environ. Sci. 403(1), 012199 (2019). https://doi.org/10. 1088/1755-1315/403/1/012199 6. Selyutina, L.G., Pesotskaya, E.V., Maleeva, T.V.: Management of housing construction and reconstruction of the housing stock based on the modern concept of forming marketing investment decisions. IOP Conf. Ser.: Mater. Sci. Eng. 698(7), 077030 (2019). https://doi.org/10. 1088/1757-899X/698/7/077030 7. Battisti, F., Campo, O.: A model for determining a discount rate in market value assessment of buildable areas subject to restrictions. In: Morano, P., Oppio, A., Rosato, P., Sdino, L., Tajani, F. (eds.) Appraisal and Valuation. GET, pp. 303–314. Springer, Cham (2021). https:// doi.org/10.1007/978-3-030-49579-4_20 8. Özdilek, Ü.: Scientific basis of value and valuation. J. Revenue Pricing Manag. 18(3), 266–277 (2019). https://doi.org/10.1057/s41272-018-00169-z 9. Renigier-Biłozor, M., D’Amato, M.: The valuation of hope value for real estate development. Real Estate Manag. Valuation 25(2), 91–101 (2017). https://doi.org/10.1515/remav-20170016
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Module Concept of the Training and Certification of the Personnel for the Non-destructive Testing for the Railway Transport Vera Konshina(B)
and Andrey Davydkin
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. The personnel training for the non-destructive testing for the railway transport is carried out in the separate direction by means of the consequential attainment of necessary competencies during the transition from one training level to another one. Changes of work market conditions (the introduction of professional standards containing both requirements for the education level and precise formulations of work functions), the development of the non-destructive testing system of railway products during the operation and the maintenance have required to develop a new concept of the personnel training in the area of the non-destructive testing with the detaillization of solved tasks in respect to different railway transport control objects. The proposed concept includes all forms of personnel training in non-destructive testing and provides for the inclusion in the educational process of all specialties that are associated with ensuring the safe operation of railway infrastructure and rolling stock. At the same time, there is a division of specialists in the fields of application of non-destructive testing methods, but knowledge in the field of the basics of non-destructive testing remains common for all areas. Keywords: Non-destructive testing · Railway transport · Personnel training · Personnel certification · Non-destructive testing
1 Introduction The non-destructive testing is the science and technics branch accompanying products at all stages of its life cycle (production and operation (including the technical maintenance and repair)). Despite of the universalism of physical laws, events and principles underlying all applied non-destructive testing types and methods (ISO/TS 25107:2019) the variety of controlled products (control objects) leads to the need of the development of special technologies within each non-destructive testing type and method for certain products subject to the specifics of control objects (goal, material, surface state, form, control performance conditions, applied devices, quality requirements and many other factors). We shall note that many existing non-destructive testing technologies, even those which are realized by means of automated systems cannot be realized without the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 55–63, 2022. https://doi.org/10.1007/978-3-030-96380-4_7
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participation of a person making the final decision of the control object quality and its suitability to the operation. The personnel reliability making the testing influences on the reliability of the nondestructive testing as a whole. The personnel experience, qualification influence on the non-destructive testing reliability not only is studied and proved in works of many Russian and foreign scientists [1–3] but is separated in requirements for the verification program of the non-destructive testing methodology [4]. Therefore, the competent personnel training both for the development of non-destructive testing technologies and the corresponding apparatus and the realization of these technologies was and remains the actual task. For the guarantee of testing by the qualified personnel (the performance is understood the development of non-destructive testing technologies themselves) in the global practice operates the personnel certification non-destructive testing system over the years. Main principles of the personnel certification non-destructive testing system are the independence and the competency and these principles are realized in the international standard ISO 9712. In Russia the first steps for the certification application as the instrument of the independent personnel qualification evaluation in the area of the non-destructive testing were taken in the end of 80s of the 20th century [5] and already then certification tasks were suggested to be considered within the uniform personnel training and certification. Then in a Russian language the “personnel certification” term is not used and the “attestation” term was used, the separation of these terms was made significantly later. The National Attestation Committee for the non-destructive testing with the headquarter at the Petersburg State Transport University (PSTU) presided by the Head of the Nondestructive testing methods and instruments Department of the PSTU of the Professor A.K. Gurvich and the standard project unified with projects of ISO 9712 and EN 473 is developed. The PSTU selection as the headquarter of the National Attestation Committee is determined both by the authority and known researches of A.K. Gurvich in the area of the personnel non-destructive testing reliability which were made after in [1] and that namely at the PSTU in 1977 the first Soviet non-destructive testing department was established and the personnel non-destructive testing training with higher education begins. The personnel training in the area of the non-destructive testing was opened at the PSTU where works for the application of the non-destructive testing in the railway transport begin in the 50s of the 20th century because the creation and the development of the non-destructive testing system of railway transport objects requires the qualified personnel. In case of the organization of such training it was necessary to solve within which specialty the non-destructive testing training will be carried out. The selection from existing specialties was determined by products subject to verification and by the stage of its life cycle. We shall note that ISO 9712 determines the railway transport as the industrial sector during the operation only. Non-destructive testing objects in the railway transport during the operation are divided into two main groups: infrastructure objects and the railway equipment but among infrastructure objects of the non-destructive testing the following can be additionally separated: • infrastructure objects - the rail track (rails and turnouts) [6, 7], • infrastructure objects - energetic systems [8, 9];
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• infrastructure objects - artificial features (buildings, bridges) [10, 11]; • the railway equipment (locomotives, cars, the special railway equipment, the multiple unit) [12, 13]. Subject to peculiarities of organization of the non-destructive testing of energetic objects and artificial features, the close connection of diagnostic and operational characteristics, the separation of the quality control and works for their service is absent, therefore certain non-destructive testing tasks in the railway transport were and remain the rail control and turnouts, parts and assemblies of the railway equipment. Then two personnel training opportunities exist: – matters of the non-destructive testing of certain objects are introduced into all specialties relating to the rail track and the railway equipment, it will not allow realizing requirements of ISO 9712 for specialists of the 3rd (the highest) qualification level of the necessity of the possession of four types of the non-destructive testing except the main one. The study of these additional types and technologies of the non-destructive testing will add complexity to the personnel training for certain specialties, for example “Railway equipment”, “Construction of railways, bridges and transport tunnels”; – the non-destructive testing is separated into the separate training direction which allows overtaking not only the non-destructive testing in the operation but during the manufacturing of railway transport objects (transport engineering) because these results will influence on the quality of products supplied to the railway transport. Subject to above-mentioned the decision of the personnel training in the area of the non-destructive testing in the beginning for the separate specialization and then the specialty “Quality and diagnostics testing instruments and methods” was made. The further development of the Russian higher education system, the solution of the academic mobility tasks have led to the personnel training termination in the area of the non-destructive testing in the specialty “Quality and diagnostics testing instruments and methods” and the training opening for the two-stage system Baccalaureate - magistrature within the direction “Professional equipment”. We shall note that in the European practice the bachelor’s training in the area of the non-destructive testing does not lead and during the training to the master program in the area of the non-destructive testing peculiarities of the non-destructive testing in the railway transport are studied within additional courses carried out by non-destructive testing societies [14]. Despite that during the personnel training with the higher education in Russia Federal state educational standards are used taking into account requirements of the corresponding professional standards, for the personnel in the area of the non-destructive testing the voluntary certification under ISO 9712 is a necessary condition for the work performance often. Therefore the accounting of ISO 9712 requirements for the personnel of the non-destructive testing during their training is necessary both for the provision of the possibility of the further certification of graduates and the increase of their competitive ability in the work market. Another opportunity which allows applying ISO 9712 requirements for the personnel qualification in the area of the non-destructive testing during the training for educational entities more effectively - it is the registration of
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requirements of the international standard of ISO/TS 25107 which now is performing the procedure of acceptance as the national standard in Russia. The goal of this work is: the analysis of the existing personnel training system in the area of the non-destructive testing of railway transport objects and its improvement subject to the experience of application of professional standards and tasks of the further certification of graduates and workers of non-destructive testing sub-divisions.
2 Methods The whole personnel making the non-destructive testing of products including in the railway transport according to solved tasks is divided into three groups: workers for the non-destructive testing; non-destructive testing specialists; enterprise and enterprise sub-division directors. To tasks solved by the personnel during the non-destructive testing the following refers: 1. preparation of the non-destructive testing instruments, the performance of the nondestructive testing and the registration of their results; 2. the development of technological (operational) charts for the non-destructive testing containing the description of the technological operation sequence and content performed during the testing and the product quality evaluation upon results; 3. the development of standardized documents (standards, interstate standardization rules, technical rules) and technological instructions for the non-destructive testing of objects by certain non-destructive testing methods and means; 4. the non-destructive testing organization. The restructuring and the development of the non-destructive testing system in the railway transport beginning in the beginning of 2000s continues till now - a new standard version of the “Russian Railways” OJSC (“RZD” OJSC) of the non-destructive testing system is commissioned from 01.04.2021, the transfer of the non-destructive testing function and the track diagnostics is made to diagnostic and infrastructure object monitoring centers. Some production functions of the non-destructive testing system created in the RZD OJSC is transferred to third entities whose production activities includes the work performance for the non-destructive testing during the operation (including the technical maintenance, repair) and the production of rails, turnouts, the railway equipment, therefore the precise evaluation of the personnel number carrying out the non-destructive testing in the railway transport, is difficult. As aforesaid the personnel training system with the higher education in the area of the non-destructive testing is based on Federal state educational standards (further the educational standard), but shall take into account requirements of professional standards and personnel certification standards (Fig. 1).
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The acquisition of necessary competencies in the area of the non-destructive testing during the master training is an acceptable practice and the structure of this training is similar in different countries.
Training in the NDT: Federal State Educaonal Standard Professional standards ISO 9712, ISO 24107
Professional acvity in NDT Labor funcons (professional standard) Addional professional educaon Cerficaon (ISO 9712)
Fig. 1. Structure of achievement of necessary competencies in the area of the Non-destructive testing (NDT)
We shall note that peculiarities of the non-destructive testing of railway transport objects are not a subject of the examined master program at the Dresden International University (DIU) [14]. The additional training within the industrial sector the railway transport is carried out by the German society for the non-destructive testing at the Training center in Wittenberg (the maximum training duration for the non-destructive testing of rails and turnouts amounts to 65 days, of parts and elements of the railway equipment amounts to 37 days). The certification existence under ISO 9712 for this additional training is obligatory. So, taking into account all opportunities of the acquisition of necessary competencies for the non-destructive testing (the basic training for the non-destructive testing (bachelor or master programs), the additional professional education (retraining, advanced training)) and the certification necessity, the currently existing personnel training program for the non-destructive testing with the higher education based on above formulated tasks (Fig. 2) can be formed: • module 1 - preparation, performance of the non-destructive testing, development of technological charts (bachelor’s program in the non-destructive testing, additional professional training (retraining)); • module 2 - additionally to module 1: development of the standardized documentation and technological instructions, the non-destructive testing organization (master program in the non-destructive testing, additional professional training (retraining)); • module 3 - according to tasks solved at the work place (additional professional education (advanced training).
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The red and blue color in Fig. 2 are equal to the 2nd and the 3rd qualification level subject tp requirements of section 6 of ISO 9712.
3 Discussion The module concept of the personnel training in the area of the non-destructive testing for the railway transport realized at the PSTU is based on the sequential increase of competencies from the performance of the non-destructive testing till the development of the standardized documentation according to qualification levels under ISO 9712, naturally in the volume of all types of the non-destructive testing applied in the railway transport: acoustic, eddy-current, magnetic; optical; penetrating substances, radiation, thermal one [ISO/TS 25107, 5, 15]. The introduction of professional standards establishing requirements for the education level and work functions, the development of non-destructive testing methods and means of railway transport objects [15] leads to the necessity of its transformation.
Fig. 2. Realized module concept of the personnel training with the higher education in the area of the non-destructive testing of railway transport objects
For the personnel with the higher education working in the railway transport professional standards establish the minimum education level - specialists that means the absence of the need in bachelors on the corresponding work market. Educational standards are confirmed, for example “Railway equipment of railways” foreseeing the acquisition of professional competencies according to the professional standard “Specialist for the non-destructive testing” where all types of the non-destructive testing and the certification necessity under ISO 9712 are specified. The analysis of study plans of the “Railway equipment of railways” specializations has shown the impossibility of this training for the non-destructive testing within the specializations specified by the educational standard.
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After the confirmation of the professional standard where required directions and training specialties are specified the official proceedings of change entry to the corresponding educational standards exists. Till now, despite of the existence of the professional standard “Specialist of the rail diagnostics and elements of turnouts of the railway track” the corresponding changes are not made to the educational standard “Construction of railways, bridges and transport tunnels”. Subject to aforesaid the module concept of the personnel training with the higher education in the area of the non-destructive testing of railway transport objects shall be transformed in a part of module 1. The training organization within the specialist program with specializations in the area of the non-destructive testing in modules not for achieved competencies but testing objects will allow solving the corresponding professional activity tasks without the additional retraining. In this case the module training concept can be transformed into the model specified in Table 1 where except the non-destructive testing diagnostic tasks are taken into account too. Table 1. Module personnel training concept for the non-destructive testing and the diagnostics depending on railway products Module 1
Module 2
Module 3
Physical fundamentals and non-destructive testing methods, principles of the apparatus creation
2.1 Devices, technologies and organization of the non-destructive testing and diagnostics of rails and elements of turnouts
Advanced training
2.2 the non-destructive testing and diagnostics organization
Advanced training
2.3*) ….
Advanced training
According to the development of non-destructive testing and diagnostics methods and means, appearance of new opportunities, the list of sub-modules is added.
4 Results The considered module personnel training concept for the non-destructive testing of railway transport objects has worked effectively for many years providing the railway transport with the qualified non-destructive testing personnel whose qualification was confirmed by the independent certification under ISO 9712. The system development of professional qualifications and methods, principles, means of the non-destructive testing in the railway transport [16] the application of professional standards have required the entry of changes to the specified concept based on the sequential acquisition of competencies for the opportunity of performance of the corresponding professional tasks and certification to the 2nd or the 3rd qualification level under ISO 9712 and its transformation into the model based on the separation of competencies upon types of controlled products. Nevertheless, subject to ISO/TS 25107 requirements it is possible to
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form module 1 (Table 1) realizing the most common competencies (physical processes, non-destructive testing methods, apparatus creation principles) for applied types of the non-destructive testing without the connection with the certain type of activities (control objects and stages of their life cycle) but allows realizing the necessary training, uniforming it if possible and minimizing time and material costs. For the realization of the module personnel training concept for the non-destructive testing in the railway transport it is necessary to make changes to educational standards and to develop educational programs.
5 Conclusion The non-destructive testing is one of instruments of the traffic safety provision in the railway transport. The specifics of the organization and performance of the non-destructive testing of such infrastructure elements as rails and turnouts as well as parts and elements of the railway equipment during the operation and the technical maintenance has allowed forming and effectively applying the module personnel training concept with the higher education for the non-destructive testing for the railway transport within the separate training direction including the main educational program training, the retraining and the advanced training. The additional requirement for the personnel performing the non-destructive testing is its certification that is taken into account during the training too. The non-destructive testing system improvement, the development of new control technologies, the application of the most complex automated control systems and innovation control devices, the development of the professional qualification system increase requirements for the personnel operating these systems and devices that leads to the necessity of the module personnel training concept transformation. In the suggested module concept the creation of the common module not depending on the control object and parallel modules and sub-modules directed to the acquisition of competencies for the non-destructive testing and the diagnostics of certain objects of the railway transport is foreseen.
References 1. Dymkin, G.Ya., Konshina, V.N., Nockemann, C., et al.: Using confidence ratings in validation of nondestructive techniques. Russ. J. Nondestr. Test. 36(3), 218–226 (2000). https://doi.org/ 10.1007/BF02759333 2. McGrath, B., Holstein, R., Bertovic, M.: How NDT companies can benefit from human factors knowledge. In: 19th World Conference on Non-Destructive Testing (WCNDT 2016), Munich, 13–17 June 2016 (2016) 3. Dominguez, N., Rodat, D., Guibert, F., et al.: POD evaluation using simulation: progress and perspectives regarding human factors. In: 19th World Conference on Non-Destructive Testing (WCNDT 2016), Munich, 13–17 June 2016 (2016) 4. Dymkin, G.Ya., Konshina, V.N.: Main provisions of GOST (intergovernmental standard) 33514–2015 “railway-purpose production. Verification of nondestructive testing procedures. Russ. J. Nondestr. Test. 53(7), 539–543 (2017). https://doi.org/10.1134/S1061830917070063 5. Mullin, A.: ICNDT on qualification and certification – efforts on global harmonization of the process of personnel certification. In: 19th World Conference on Non-Destructive Testing (WCNDT 2016), Munich, 13–17 June 2016 (2016)
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6. Brkic, R., Adamovic, Z.: Research of defects that are related with reliability and safety of railway transport system. Russ. J. Nondestr. Test. 49(6), 76–88 (2011). https://doi.org/10. 1134/S1061830911060040 7. Khoroshev, V., Osadchy, G., Efanov, D., et al.: Actual state monitoring of railway switch point blades based on RFID technology. In: 2017 IEEE East-West Design & Test Symposium (EWDTS), Institute of Electrical and Electronics Engineers, Novi Sad, 29 September–2 October 2017 (2017). https://doi.org/10.1109/EWDTS.2017.8110084 8. Efanov, D., Osadtchy, G., Sedykh, D.: Development of rail roads health monitoring technology regarding stressing of contact-wire catenary system. In: 2016 2nd International Conference on Industrial Engineering, Applications and Manufacturing (ICIEAM), Institute of Electrical and Electronics Engineers, Chelyabinsk, 19–20 May 2016 (2016). https://doi.org/10.1109/ ICIEAM.2016.7911431 9. Efanov, D., Sedykh, D., Osadchy, G., et al.: Permanent monitoring of railway overhead catenary poles inclination. In: 2017 IEEE East-West Design & Test Symposium (EWDTS), Institute of Electrical and Electronics Engineers, Novi Sad, 29 September–2 October 2017 (2017). https://doi.org/10.1109/EWDTS.2017.8110142 10. Bubnov, V.P., Sergeev, S.A.: Non-stationary models of a local server of the automated system for monitoring artificial structures. SPIIRAS Proc. 2(45), 102–115 (2016). https://doi.org/10. 15622/SP.45.6 11. Sorvacheva, Y., Petrova, T.: Development and standardization of methods of internal corrosion identification in ferroconcrete transport structures. Transp. Res. Procedia 20, 635–642 (2017). https://doi.org/10.1016/j.trpro.2017.01.103 12. Dymkin, G.Ya., Kurkov, A.V., Smorodinskii, Y.G., et al.: On the sensitivity of eddy current testing of parts of railway rolling stock. Russ. J. Nondestr. Test. 55(8), 610–616 (2019). https:// doi.org/10.1134/S1061830919080059 13. Boronenko, Y.P., Povolotskaia, G.A., Rahimov, R.V., Zhitkov, Y.B.: Diagnostics of freight cars using on-track measurements. In: Klomp, M., Bruzelius, F., Nielsen, J., Hillemyr, A. (eds.) IAVSD 2019. LNME, pp. 164–169. Springer, Cham (2020). https://doi.org/10.1007/ 978-3-030-38077-9_20 14. Boller, C.: International academic education in NDT at master level. In: 19th World Conference on Non-Destructive Testing (WCNDT 2016), Munich, 13–17 June 2016 (2016) 15. Dymkin, G.Ya.: Regulations and requirements for nondestructive testing at Russian Railroads. In: 11th European Conference on Non-Destructive Testing (ECNDT 2014), Prague, 6–10 October 2014 (2014)
Method of the Fatigue Failure Control Point Determination of Structural Sections of Tunnel Escalators Maksim Kharlov(B)
and Alexander Vorobev
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy pr, 9, 190031 St. Petersburg, Russian Federation
Abstract. During the operation of tunnel escalators risks of passenger injury are large. To a great extent it is connected with the unduly technical state of the escalator itself. The technical state proceedings is often complicated by the control necessity of latent defects. Especially it is actual for the fatigue damage control of structural sections. Now scientists have a large data volume of this control by means of the coercive force meter in respect of metal structures of tunnel escalators installed in underground station of Saint Petersburg city. During the realization of the control procedure scientists have faced to the necessity of the foundation of control points of fatigue damages of metal structures of the escalator because the traditional approach based on the subjective experience can be not enough precise. Therefore it was suggested to determine such points on the basis of 3D modeling in the automated projecting system. In this work such modeling was realized that has allowed determining a new set of control points. Further control results of fatigue damages of metal structures of one of tunnel escalators at points installed on the basis of the traditional approach and by means of 3D modeling were compared between each other. It enabled to suppose that the suggested method can be effective. The mathematical processing of received data has allowed determining the volume of preliminary research for the adequacy evaluation of the 3D modeling for needs of this method. Keywords: Technical certification · Tunnel escalators · Structural sections · Stress-strain behavior · Fatigue damages · Magnetic control · Coercive force meter
1 Introduction The safe operation of tunnel escalators is the important task of any transport system [1]. It refers to large cities especially. The operational process can be inherent in essential risks for the life and health of passengers. News portals publish the information of some or other incidents in the escalator often. Provided that traumas are received by people on small, floor-by-floor machines with the length of up to 20 m. And risks relating to the operation of large tunnel escalators whose length amounts to 50 and more meters are increased many times [2–4]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 64–73, 2022. https://doi.org/10.1007/978-3-030-96380-4_8
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In Russia a whole measure system for the provision of safe operation of tunnel escalators is valid [5]. And its important component is the timely and qualitative technical certification of all escalator sub-systems including structural sections. During the analysis of these structural sections during the technical certification visible and latent defects of parts appear. Taking into account the accuracy and completeness of measures for the prevention of escalator failures by standby forces of operating underground services visible defects during the technical certification are detected by third specialists seldom. Therefore namely latent defects which are most dangerous are main attention objects [5–8]. To the number of such defects fatigue damages of the metal structure are referred too. The control task of fatigue metal damages is still heavy complicated currently. It is connected with the necessity of the controlled object destruction for the qualitative volume determination of internal material defects that leads to the unavoidable reduction of operational characteristics of the controlled construction. The application of nondestructive control means requires the special methodology and a high diagnostic qualification which is available not always [9]. Therefore, the development of instruments which allows smoothening these complex things is a highly relevant matter.
2 Methods Scientists of the Department of Mechanical Handling and Road Building Machines of the Emperor Alexander I St. Petersburg State Transport University have a great experience in the area of the technical certification of tunnel escalators [5]. So for a long time, it is a period of 10 years, they have performed works for the expertise of the industrial safety of tunnel escalators of the Petersburg Underground. As expertise objects escalators of different types are discussed: LT-1, LT-2, LT-3, ET-2, ET-2M, ET-4BS, ET-5M, ET-12, ET-12P. More than 100 machines are totally studied. For the evaluation of fatigue damages (deformation) of the metal structure the value of the coercive force of Ns having the direct dependence on the value of the residual plastic deformation is used. In this case for the metal of structural constructions of escalators value ranges Ns are determined for three operation modes: reliable, controlled and critical. In case of the reliable operational mode the metal works in the elastic range of loading and maximum stresses are less than the elastic strength. The controlled operational mode happens when separate structural section elements work in the elasto-plastic area of the loading diagram and maximum residual stresses achieve the physical yield tensile strength. The critical mode is fair for situations when structural sections work in the elasto-plastic area of the loading diagram and maximum residual stresses achieve the physical yield tensile strength. Before the beginning of works simplified 3D models of structural section areas of the escalator were built where measurement points were marked. Control points were determined on the basis of the condition of the scope adequacy of vulnerable spots. In Fig. 1 below the simplified 3D model and control points on the sample of constructions of the escalator ET-2 are specified. Measurements of the Ns parameter were performed by the coercive force meter KRM-CK-2M on the basis of the RD ECC “CRANE”-007-97/02 “Magnetic control of
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the stress-strain behavior and the residual resource of lifting devices during their examination and the technical diagnostics (the industrial safety expertise)” and the “Methodological recommendations for the performance of the magnetic control of the stress-strain behavior and calculations of the residual resource of metal constructions of escalators of Petersburg Underground”.
Fig. 1. Location plan of magnetic control points of fatigue damages of metal constructions of the escalator ET-2 in the area B.
We shall note that the determination of control points by means of the coercive force meter of the N s parameter was performed on the basis of the personal engineering examiner’s experience only. In this case for the sake of competencies the measurement in 10…20 points of one section of the metal construction of the escalator was required and the general number of control points could be reached 500 and more. And it is for constructions of one escalator type only. In the current environment the task of the practical application of the coercive force meter is complicated highly. Except this metal constructions of escalators have a complex form for which control places of fatigue damages from the point of view of the engineer subjective assumption are not always clear and precise. In connection therewith the preliminary construction of precise models of metal constructions in the area of the automated design system, the analysis of these models in the automated design system (ADS) in terms of the influence of operational stresses and detection of stress concentration centers in the body of metal constructions appear actual. The similar approach is used in the research practice already actively [10–14]. For this purpose in the SolidWorks ADS environment on the basis of drawings the precise 3D model of the section of the longest area (area B) of the metal construction of the tunnel escalator of the type ET-2 was made. Then in the SolidWorks Simulation program the modeling of the static operational loading on construction elements is
Method of the Fatigue Failure Control Point Determination
67
performed. In this case the following is taken into account: the standardized operational loading on track steps, the weight of track elements, the own weight loading of metal construction elements, the loading from parapet constructions and the grab device. As the construction material the steel of the mark S235J2G3-1.0116 according to EN 10025-2 was selected which is similar to one used in real objects - steel of the mark St3ps under the GOST 380-2005. As result of the modeling stress concentration centers were determined - Fig. 2. Namely these construction elements probably will be subject to the largest fatigue damages accordingly and the attention of the diagnostician shall be focused on them firstly during the control procedure.
Fig. 2. Stress concentration areas of the examined model.
3 Results For the evaluation of the modeling adequacy measurements of the coercive force value (Ns) on analogue metal constructions installed at the underground station Proletarskaya of Petersburg Underground were performed. Measurements were made in two stages. Initially measurements were made in points which usually are considered during the technical certification - Fig. 1. Then data of the measured value in points determined during the modeling in ADS are received - Fig. 3.
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Fig. 3. Location plan of magnetic control points of fatigue damages of metal constructions of the escalator ET-2 in the area B on the basis of 3D modeling data.
4 Discussion As shown in Fig. 4 the average value of the coercive force received during the usual measurement for all considered metal construction sections has the less value than during the measurement on the basis of the 3D model. The difference of average values amounts around 8%. It can speak to the fact that measurements were really performed in stress concentration centers and the considered model is adequate.
5 The average value of Hc in the usual order of measurement, A / cm
4.5 4 3.5
The average value of Hc based on the 3D model, A / cm
3 2.5 1
3
5
7
9 11 13 15 17 19
Fig. 4. Graphs of the average value of the coercive force in different measurement stages.
Method of the Fatigue Failure Control Point Determination
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We shall say that the 3D model adequacy shall be determined every time during the consideration of a new metal construction. For this purpose it is necessary to compare the average value of the coercive force (Ns) in control points of the real construction which are determined on the basis of the specialist’s assumption and the ADS modeling. In this case the following relationship is fair: Hcex ≤ Hc3d
(1)
where Hcex is the average value of the coercive force in control points which are determined on the basis of the specialist’s assumption; Hc3d where is the average value of the coercive force in control points which are determined on the basis of the ADS modeling. The consideration volume of some parameters of Hcex and Hc3d shall be precised by means of the mathematical statistics theory. In this case the research subject will be a dif range of values of Hc i : dif
Hc
i
= Hc3d i − Hcex i
(2)
where i = {1; 2; . . . ; n} is a numerical order of the metal construction which is similar to the examined one. For the calculation of the minimum value of n number some scientifically grounded approaches to the determination of the minimum number of tests in the experiment [15] can be taken into account. In this case we shall determine the precision value according to the equation initially: dif
ε = Hc γ
(3)
dif
where Hc is an average value of the difference between parameter Hcex and Hc3d values detected during preliminary measurements; γ is the operational margin of measurements. Further the relative error is calculated according to the formula: q=
ε σ
(4) dif
where σ is a root-mean-square deviation of some values of Hc .
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The root-mean-square deviation of some values of Hc will be determined according to the formula in its turn: 1 m dif dif σ = (Hc k − Hc )2 (5) k=1 m−1 where m is a number of metal constructions considered during the preliminary measurement. Table 1. The dependence between the number of tests, the reliability and the relative error of measurements. Number of experiments, n
Reliability, α, % 70
80
90
95
2
1.388
–
–
–
3
0.771
0.819
–
–
4
0.625
0.819
1.176
–
5
0.532
0.686
0.953
–
6
0.472
0.603
0.823
1.050
7
0.429
0.544
0.734
0.925
8
0.396
0.500
0.670
0.836
10
0.348
0.437
0.580
0.715
12
0.314
0.393
0.518
0.635
14
0.288
0.361
0.473
0.577
In the next step the q value is compared to data of Table 1 and the n number is determined. On the basis of above-mentioned dependencies calculations were made. As result of calculations in case of the operational margin in the amount of 5% and the reliability index in the amount of 95% the following results were received: ε = 0, 0168; σ = 0253; q = 0, 666; n = 12 As a whole the determination process of control points of fatigue damages of metal constructions of tunnel escalators is provided in Fig. 5.
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71
The creation of the precise 3D model of the metal construction section in the ADS environment on the basis of drawings
Loading modeling in the ADS application and the point determination on the metal construction with the largest stress-strain behavior
Measurements on 12 similar metal constructions in control points specified by the specialist and in points determined on the basis of the 3D modeling
Yes
Check of the condition ≤
3
No Control points determined on the basis of the 3D modeling can be entered into the technological control chart and used in practice
Precision of the 3D metal construction model and repeat of the measurement procedure in points determined on the basis of 3D modeling
Fig. 5. Determination sequence of control points of fatigue damages of metal constructions of tunnel escalators.
5 Conclusion As a whole the method specified in the work allows detecting and engaging points of maximum fatigue damages of the examined metal construction to the work. In this case this information will be useful not only for needs of the magnetic control but for any another non-destructive testing performed for the purpose of the technical certification of tunnel escalators. Results shown in the work confirm the effectiveness of this method because it allows determining the picture of fatigue damages of metal constructions more precisely. In the above-mentioned research the number of control points of fatigue damages determined on the basis of 3D modeling is less by 40% than the number of points determined on the basis of the specialist’s assumption. It speaks to the method effectiveness too. However such picture is possible not always. In this case the precision and the adequacy of received results will justify higher work efforts for the performance of measurements definitely.
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To the number of advantages of this method the opportunity of engagement of the lowlevel personnel during the performance of measurements without the quality reduction of the performed research can be referred too. This method can be useful not only for the technical certification of tunnel escalators but for the technical evaluation of other machines and mechanisms definitely too.
References 1. Shestakova, E.B., Ermilova, A.V.: Safe operation of escalators: State of the art and the way forward. Occup. Saf. Ind. (8), 86–93 (2020). https://doi.org/10.24000/0409-2961-2020-886-93 2. Xing, Y., Dissanayake, S., Lu, J., et al.: An analysis of escalator-related injuries in metro stations in China, 2013–2015. Accid. Anal. Prev. 122, 332–341 (2019). https://doi.org/10. 1016/j.aap.2017.10.007 3. Chi, C.-F., Chang, T.-C., Tsou, C.-L.: In-depth investigation of escalator riding accidents in heavy capacity MRT stations. Accid. Anal. Prev. 38(4), 662–670 (2006). https://doi.org/10. 1016/j.aap.2005.12.010 4. Yang, J.-T.: Safety risk analysis and countermeasures study on regular mass passenger flow of China’s urban subway. Procedia Eng. 135, 175–179 (2016). https://doi.org/10.1016/j.pro eng.2016.01.104 5. Bardyshev, O., Popov, V., Druzhinin, P., et al.: Expert review of metro escalators safety. Transp. Res. Procedia 20, 31–35 (2017). https://doi.org/10.1016/j.trpro.2017.01.007 6. Bardyshev, O.A., Popov, V.A., Korovin, S.K., et al.: Monitoring of technical condition of technical devices at hazardous production facilities. Occup. Saf. Ind. (1), 52–56 (2020). https:// doi.org/10.24000/0409-2961-2020-1-52-56 7. Bardishev, O.A., Druginin, P.V., Repin, S.: Method of safety control of transport and technological machines in the initial period of operation (on the example of tunnel escalators). Bull. Civil Eng. 6(71), 129–134 (2018). https://doi.org/10.23968/1999-5571-2018-15-6-129-134 8. Bardyshev, O., Gordienko, V.: Some aspects of maintaining inclined tunnel escalators in St Petersburg. Appl. Mech. Mater. 725–726, 202–207 (2015). https://doi.org/10.4028/www.sci entific.net/AMM.725-726.202 9. Bardyshev, O.A.: About diagnostics of technical devices. Occup. Saf. Ind. (7), 44–48 (2019). https://doi.org/10.24000/0409-2961-2019-7-44-48 10. Vatulin, Y.S., Potakhov, D.A.: Stability control of a self-propelled crane in dynamic loading. Russ. Eng. Res. 40(7), 545–550 (2020). https://doi.org/10.3103/S1068798X20070254 11. Vorobev, A.A., Krutko, A.A., Shadrina, N.U., et al.: Study of the stress-strain state of the wheel pair of a freight car during braking. J. Phys: Conf. Ser. 1260(7), 072019 (2019). https:// doi.org/10.1088/1742-6596/1260/7/072019 12. Sahirov, Y., Artiukh, V., Mazur, V., et al.: Analysis of stress-strain states of casting crane traverse. In: Kalinina, O. (ed.) International Science Conference SPbWOSCE-2018 “Business Technologies for Sustainable Urban Development”, St. Petersburg, 10–12 December 2018. E3S Web Conf. 110, 01049 (2019). https://doi.org/10.1051/e3sconf/201911001049 13. Lagunova, Y.A., Mayorov, S.A., Boyarskih, G.A.: Statistical analysis of stress-strain state of bearing jaw crusher. News Ural State Mining Univ. 1(2), 159–171 (2020)
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14. Mescheulov, N., Barashkov, V.: Numerical modeling of stress-strain state of a deep beam. In: Fomin, V., Placidi, L. (eds.) XXVI Conference on Numerical Methods for Solving Problems in the Theory of Elasticity and Plasticity (EPPS-2019), Tomsk, 24–28 June 2019. EPJ Web Conf. 221, 01032 (2019). https://doi.org/10.1051/epjconf/201922101032 15. Boiko, A.F., Voronkova, M.N.: Reliable method ensuring required accuracy of an experiment in mechanical engineering. News Irkutsk State Tech. Univ. 20(9), 10–16 (2016). https://doi. org/10.21285/1814-3520-2016-9-10-16
Determination of the Need in the Performance of Organization Changes Lesya Bozhko(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. The performance of organizational changes is the cost-based event for the company, therefore it shall be relevant. From the timely determination of the need in changes depends their success while the delay of the decision-making of the beginning of changes reduces their effectiveness. The research purpose is the determination of reasons causing the need for performance of changes in the entity. On the basis of theoretical studies, the best practice and observations the list of reasons of organizational changes was made. During the empiric examination of regional entities by means of poll it was detected that the essential and increasing influence on the entity is made by external change reasons. The character of the external environment influence is born upon the change frequency and is able to sort out priorities of the top management otherwise. The analysis of external reasons along with internal influence factors allows determining the need in the change performance and serves the basis for the change program development. Factors determining the need for changes are dynamic. It is specified that the influence of external factors is able to change top management plans, to sort out priorities during the change performance otherwise. Organizations shall not ignore external changes for the timely reaction. The work performed permanently for the determination of the need for the performance of organizational changes allows formulating purposes, selecting directions and methods of the change performance for the surviving and the provision of the organization success in future. Keywords: Change management · Organizational changes · Change reasons · Change planning · Organization adaptation · Change execution · Implementing changes
1 Introduction The performance of organizational changes is the painful event for the company requiring resources and time. In practice always during the performance of organizational changes they face the opposition of the technical and social system. Even subject to positive profits for the personnel its opposition to changes is unavoidable. At the same time the creation of communications by the top management during the performance of changes contributes to the successful solution of industrial problems and the social interaction [1]. For the opposition reduction it is required to combine forces of the linear management and employees that will lead to the increase of the change effectiveness [2]. Because © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 74–82, 2022. https://doi.org/10.1007/978-3-030-96380-4_9
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organizational changes are imposed on the current activity they require the force strength and attention of employees and management. Research have detected a range of factors of successful organizational changes, effective methodologies are developed for their realization. The business environment characterizing by quick technological changes requires the innovation speed and quality increase from the entity [3]. The integration of flexible processes into organizational structures makes entities more flexible and capable to accept and to realize changes in future easier [4]. It is stated that the human capital, dynamic marketing opportunities and the market dynamics bear on competitive advantages of companies [5]. The detection and the use of market opportunities along with the asset reconfiguration, the top management team consensus assures the realization of such a massive development strategy as the internation firm expansion [6]. The reengineering development is based on the organization, information technologies and engineering [7] that indicates on used methods of organizational changes. The reconstruction of the organizational design which is a change itself is able to impact on the receipt, the processing and the transfer of the external political information inside the company that bears on company valuables positively [8]. In case of significant changes on goods markets the establishment of the intersectoral balance becomes actual. Then changes are made by some entities and organizations of the related industry. The example is the intersectoral balance used for the forecasting of the demand on railway services [9]. The activity of non-commercial entities under current conditions terminates to be stable too. On the sample of state services problems of change acceptance, the influence of organizational changes on the innovative work behavior (IWB) of employees are studied [10]. The change of the organizational culture in public enterprises is a priority direction of changes for other strategic achievements sometimes [11]. The research purpose is the determination of reasons causing the need for the performance of changes in the entity. Organizational changes are the complex of measures for the entity reaction on some internal and external reasons. The organizational change program depends on causing reasons. It shall save the entity a lot of existing problems or prevent their appearance and is a serious problem for the company top management itself. The need for the external environment study exists in all companies. But in different countries it is satisfied differently. The company can carry out its own studies and can refer to external sources. On the market of information services in emerging countries some problems exist which hinders its development and limits entrepreneurs during the decision-making [12, p. 2]. However this circumstance shall not stop making the system of determination of the need in changes which are valid constantly, subject to the importance of this system. The follow-up of the external environment and the detection of external opportunities (for example, a conto investors) allows realizing innovative projects and so increasing the technological company level [13, p. 238]. Internal problems bear on the company development, but if these problems are connected with the customer service then their influence is more appreciated. For example, ineffective supply chains lead to the reduction of sale volumes of some manufacturers [14, p. 384].
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2 Methods The research is made in two stages. In the first stage theoretical studies were carried out. On the basis of publications of the change management, observations and the work experience of the author in entities by means of general scientific methods the list of possible signs indicating on the necessity of performance of changes in the entity is made. In the second stage empiric studies were carried out. Most often appearing reasons of the change performance were selected and detected. The face-to-face poll was used for this purpose. The selection of this data selection method is explained by his advantages: the opportunity to explain the matter content to respondents exists, to control the answer completeness and the return of forms with answers. The data collection instrument is a questionnaire whose questions were equal to research tasks: 1) to determine the frequency of change performance; 2) to establish reasons of organizational changes. General totality objects are firms of different branches, activity scopes and non-commercial entities. The nonprobabilistic sampling analysis was used, the selection form is the nested sampling. The nested sampling gives the less confidence limit than the random sampling in case of the same reliability level. The spatial reach of the study is Tver region, Russian Federation. The performed study is regional, it was carried out in entities of Tver region for 2018–2020.
3 Results The determination of the need for organizational changes is caused by many reasons. The theoretical study of change reasons allows classifying them according to many signs. The most suitable for the further empiric study is the division of change reasons according to the appearance source: reasons caused by internal factors exist and reasons caused by the impact externally exist. To internal reasons we refer the following: • the need for growth; • the need for the achievement of new organizational purposes; • the review of goals and plans of the entity, the performance of management functions upon the influence of owners, shareholders, because of the change of the company management; • the need for the transition to the certain life cycle stage or for its extension; • the necessity of negotiation of organizational pathologies, contradictions and conflicts; • the need for the assurance of the business process continuity, the prevention of internal fluctuations; • the balance dislocation between the strategic and operative management; • the absence of regular algorithms, management procedures and other reasons. Usually external reasons are the well-known content of factors of the external entity environment: economic, political ones, the state regulation of the economy, social, technical and economic ones.
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Special attention shall be taken to the assessment of direct impact factors because through these factors the impact of indirect impact factors is specialized. The reaction on the change of external organizational conditions is carried out under the influence of microenvironment factors. Among these factors expectations and actions of customers, suppliers, competitors, partners as well as the impact of financial and state entities, mass media, residents, the public and others are. For the detection of factors determining the need for the performance of changes the empiric study among commercial and non-commercial entities was carried out. For information only (data of the Federal State Statistic Service for the Tver Region, Russia): the number of enterprises, entities and their branch offices of economic subjects in Tver region in 2020 amounted to 30161 (without individual entrepreneurs). In the description of study results respondents are entities whose representatives have taken part at the survey. The structure of respondents taking part at the study in respect of missions is provided in Table 1. Table 1. Structure of respondents according to the entity mission The year
Number of respondents in total, units
Among them Units
Share, %
Units
Share, %
2018
168
150
89.29%
18
10.71%
2019
165
151
91.52%
14
8.48%
2020
170
148
87.06%
22
12.94%
Commercial
Non-commercial
Mainly at the survey small business entities took part (73.3–76%). According to Russian laws to the small business entities are referred whose income amounts not more than 800 mln rubles (approximately 10.7 mln USD) annually along with other criteria. The least share among respondents middle enterprises have had (around 10%), large entities amounted around 15% (large entities have the income exceeding 2 bln rubles or around 26.8 mln USD annually). For the task solution with the determination of the change fact and frequency the corresponding question was asked. The information processing was carried out for commercial and non-commercial entities separately. The number of entities where changes are “not carried out generally” is small among commercial ones (Fig. 1).
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Share of organizations, %
50.00
43.92
45.00
37.75
40.00 35.00
25.68 30.00
30.00 25.00 20.00 15.00 10.00 5.00
25.83 24.67 23.65
23.18 20.00
2019
15.33 7.28
10.00 5.96
2018 2020
5.41
1.35
0.00 Not held at all
Rarely (1-4 Sometimes (5-8 Often (9-12 Very often (13 times a year) times a year) times a year) or more times a year)
Fig. 1. Answer distribution of the frequency of change performance (commercial entities)
The share of negative answers and the number of answers of the rare (1–4 times annually) change performance is reduced. The most relative density the answer of the often change performance (9–12 times annually) has. Among non-commercial entities such entities are present where changes are not carried out generally (Fig. 2). Moreover their share is not higher than in case of commercial entities. It dispels a myth that in commercial entities the absence of changes is much often than in commercial ones (though many things depend on the activity area).
Share of organizations,
70.00 57.14 55.56
60.00
63.64
50.00 40.00
2018
30.00
22.22 21.43
10.00
7.14 5.56
4.55 0.00
2019
18.18
20.00 11.11
13.64 7.14
7.14
2020
5.56
0.00 Not held at all
Rarely (1-4 Sometimes (5-8 Often (9-12 Very often (13 times a year) times a year) times a year) or more times a year)
Fig. 2. Answer distribution of the frequency of change performance (non-commercial entities)
Among non-commercial entities the share of those where changes are carried out seldom is higher. The main relative density is for entities carrying out changes sometimes. Remaining answer groups differ a little. In the activity of commercial entities changes are carried out mainly often while in non-commercial ones it happens seldom. The general trend to the frequency and intensity
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increase of organizational changes both for commercial and non-commercial entities is observed. During the determination of reasons of organizational changes the assessment was made for those entities only whose representatives have recognized the fact of change performance and for commercial entities only. The choice of commercial entities was conditioned by the enough sampling of such entities for the receipt of adequate data and the larger exposure of market factors than non-commercial entities. During the questionnaire filling they could choose some answer variants. As result of the answer processing (Fig. 3) we can see that the most remarkable internal reason of organizational changes is the aim to save the entity. This reason became specially actual in 2020 - and here we see that on the strengthening of internal reasons external ones (changes of the environment because of the pandemics) can impact.
other internal causes
12.61 % 17.22 % 18.67 %
striving to preserve the organization
Reasons for organizational changes
lack of the coordinated work of divisions striving to develop the organization the influence of owners subjective desires and ambitions of the leadership other reasons outside the organization
55.63 % 58.00 % 27.70% 33.77 % 32.67 % 27.70 % 54.30 % 50.00 % 21.62 % 13.91 % 12.67 % 10.14 % 21.19 % 18.00 % 11.92 % 14.00 % 19.87 % 18.67 %
innovations by the state
17.88 % 22.67 %
vendors` actions competitors` actions customers` requests 0.00%
2020 2019
94.59 %
2018 82.43 %
scientific and technological progress
actions of local authorities
81.08 %
11.92 % 10.67 %
95.27 % 93.24 %
35.14 % 29.14 % 28.00 % 16.22 % 21.19 % 22.67 % 43.24 % 51.66 % 48.67 %
50.00%
100.00%
150.00%
Percentage of respondents, % Fig. 3. Change reasons in commercial entities
We shall note the shift of significance from the internal factors to external ones in unusual conditions of 2020. The necessity of the cooperation construction, subjective
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management wishes, even the aim to develop the entity became less significant. Moreover the significance of external reasons has strengthened: it is the scientific technical progress, innovations from the state, actions of local authorities, other reasons out of entities. In fact another reason out of the entity is the coronavirus infection and already because of it innovations in the law were introduced, the limitations were made by local authorities, the necessity of the development of distant technologies, the use of new connection channels during the pandemics appear. Customer requests are the important reason for organizational changes, in 2020 it has lost the relative density a little (maybe because of the termination or the re-orientation of entity activities).
4 Discussion The fact recognition and the determination of the performance frequency of organizational changes is much determined what the entity representative filling up the questionnaire thinks as changes. Probably the performance of many evolution changes subject to their slow history is made not so distinctly as radical and drastic changes that influences on answers during the questionnaire filling. During the solution of this research task the main fact is that the change realization becomes an usual process of modern entities. The recognition of the necessity of performance of internal changes is a regular solution both for commercial and non-commercial entities. The share increase of those who carries out the change often and the share reduction of those who carries out seldom can be explained by the understanding of the change phenomenon by the management. Organizational changes terminate be accepted as the exclusive event and become an usual event. In 2020 the number of entities where changes are made “very often” is enough large. It says of the serious external impact on changes and the acute necessity to reconstruct the company work during the pandemics. The necessity of performance of organizational changes in non-commercial entities is determined according to the foundation goal of this non-commercial entity. The performance of the separate study of non-commercial entities with the preliminary grouping for goals and activity areas will allow obtaining the certain result. The existence, the frequency and directions of changes in non-commercial entities require the special study with the much sampling because many things depend on the type of activity of such entities. Non-commercial entities depend on the environment, the market, but their dependence is determined by the type of activity too. If in our studies in the relatively stable period for 2013 it was stated that main reasons of changes in commercial entities were customer requests, the aim to save and to develop the entity then in the year of pandemics the management orientation during the performance of changes shifted to the saving of the entity, the reaction on innovations from the state and actions of local authorities. This allows confirming that external change reasons have a greater value for the working life and development of the entity - sometimes a greater than internal reasons and for the instable period when a less attention is taken on customer needs. But depending on the situation in the external environment influence significance of its elements can be redistributed.
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5 Conclusion Entities (commercial and non-commercial) have the need for the performance of changes while governing many reasons. The extended imagination of possible points of change initiation and the sequential analysis of influence factors by means of special study methods of the internal and external environment allow determining the necessity of changes timely and developing the program of their performance. In its turn it will contribute to the actual problem of strengthening of the work potential and the digitalization development [15] because in case of the favorable solution of the question of the company activity stability we can suggest the further company development. Along with internal reasons (including problems, development goals) entities have to carry out changes because of external reasons. External change reasons become more preferential than internal ones, therefore they shall be followed for the timely reaction permanently. The influence of external factors is able to change management plans while sorting out the priorities during the performance of changes. A clear example became conditions of 2020 when both in commercial and in non-commercial entities the need for the performance of changes increased. Entities shall not ignore external changes for the timely reaction anyway. The attention of the management at internal company problems in prejudice of the examination of its environment shall not be concentrated. According to the situation in the external environment the significance of influence of its factors can be redistributed but remains essential during the posing of the question of the entity savings in the market. Therefore entities shall carry out the work on the detection of the necessity of performance of changes always (both in stable and in unstable economic development periods) and be ready for them.
References 1. Ophilia, A., Hidayat, Z.: Leadership communication during organizational change: internal communication strategy: a case study in multinational company operating in Indonesia. Acad. J. Interdiscip. Stud. 10(2), 24–34 (2021). https://doi.org/10.36941/ajis-2021-0035 2. Budhiraja, S.: Change-efficacy: the glue that connects organizational change with employees’ actions. Dev. Learn. Organ. 35(2), 28–30 (2020). https://doi.org/10.1108/DLO-02-2020-0033 3. Ahmed, W., Najmi, A., Ikram, M.: Steering firm performance through innovative capabilities: a contingency approach to innovation management. Technol. Soc. 63, 101385 (2020). https:// doi.org/10.1016/j.techsoc.2020.101385 4. Csar, M.: Agility as a goal of change management?: about sense and nonsense in the introduction of agility in organizations. Gruppe. Interaktion. Organisation. Zeitschrift fur Angewandte Organisationspsychologie (GIO) 51(4), 391–401 (2020). https://doi.org/10.1007/s11 612-020-00539-5 5. Elsharnouby, T.H., Elbanna, S.: Change or perish: examining the role of human capital and dynamic marketing capabilities in the hospitality sector. Tour. Manage. 82, 104184 (2021). https://doi.org/10.1016/j.tourman.2020.104184 6. Haapanen, L., Hurmelinna-Laukkanen, P., Puumalainen, K.: When strategic consensus matters: dynamic managerial capabilities and firm internationalization as seen by TMT. Cross Cult. Strateg. Manag. 27(3), 285–315 (2020). https://doi.org/10.1108/CCSM-09-2018-0134
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7. Riyanto, A., Primiana, I., Yunizara, Y., et al.: Reengineering support for competitive advantage through organizational basis, information and communication technology: a literature review. Probl. Perspect. Manag. 16(3), 464–476 (2018). https://doi.org/10.21511/PPM.16(3).2018.37 8. Barron, A., Pereda, A.: Exploring how firms’ strategic political actions are organised to capture and share external information – the case of Alpha Plc. Long Range Plan. 53(5), 101931 (2020). https://doi.org/10.1016/j.lrp.2019.101931 9. Zhuravleva, N., Guliy, I., Shavshukov, V.: Simulation modeling of changes in demand for rail transportation. IOP Conf. Ser.: Earth Environ. Sci. 403(1), 012230 (2019). https://doi.org/10. 1088/1755-1315/403/1/012230 10. Wynen, J., Boon, J., Kleizen, B., et al.: How multiple organizational changes shape managerial support for innovative work behavior: evidence from the australian public service. Rev. Public Pers. Adm. 40(3), 491–515 (2020). https://doi.org/10.1177/0734371X18824388 11. Omazic, M.A., Mihanovic, D., Sopta, A.: The importance of organizational culture for management of changes in a public enterprise. Adv. Bus. Relat. Sci. Res. J. 11(1), 1–22 (2020) 12. Israfilov, N.T., Shnyreva, E.A., Panfilova, E.E., et al.: Market information and entrepreneurship education: a case of transition economies. J. Entrep. Educ. 22(3), 1–10 (2019) 13. Reshetnikova, I., Yanina, O., Semenova, L., et al.: Problem of assessing the investment attractiveness of risk projects for developing artificial Intelligence. Int. J. Recent Technol. Eng. 8(2S10), 238–243 (2019). https://doi.org/10.35940/ijrte.B1041.0982S1019 14. Demkina, O., Litvin, I., Biryukov, A., et al.: Retail trade as an agenda-setting factor for the strategic management of supply chains. Int. J. Supply Chain Manag. 9(3), 384–391 (2020) 15. Miethlich, B., Kvitka, S., Ermakova, M., et al.: Correlation of educational level, labor potential and digital economy development in Slovakian Ukrainian and Russian experience. TEM J. 9(4), 1597–1605 (2020). https://doi.org/10.18421/TEM94-35
The Evolution of Ramsey Pricing in Freight Rail Tariffs Yuriy Egorov(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. Purpose: to investigate the evolution of Ramsey pricing in the field of freight rail tariffs in the 19th - early 21st centuries. with the construction of a comprehensive model of this evolution Methods: analysis, comparative method, synthesis, systematic approach Results: a comprehensive chronological model of the evolution of Ramsey pricing in the field of freight railway tariffs in the 19th early 21st centuries was developed; using the developed model, the prerequisites for the emergence of this type of pricing, the development of the first formulations of this type of pricing (qualitative and quantitative approaches) and its first criticism, the development of a classical mathematical substantiation of this type of pricing, the study of the possibilities of implementing this type of pricing for specific conditions, the development of modifications of this type of pricing, the place of this type of pricing among other existing approaches to pricing in freight rail transport Main conclusions: according to the developed model, the evolution of Ramsey pricing in the field of freight railway tariffs in the XIX - early XXI centuries. proceeded over 4 interconnected stages, each of which is characterized by unique features; the results obtained can be used to further research the development of the theoretical foundations and practice of pricing in freight rail transport. Keywords: Ramsey pricing · Freight railway tariffs · Evolution model · Paying capacity of freight
1 Introduction Ramsey pricing today is one of the types of pricing widely used in the formation of tariffs for freight rail transportation. This type of pricing in freight rail transport is based on the principle of “cargo solvency”, which has been used in practice for more than 2 centuries, and has passed a long historical path in its development. Several papers have been published to date addressing the evolution of Ramsey pricing in the area of freight rail tariffs. Among recent similar works we shall mention the article of K. Winston [1], the article of W. Walters [2]. Indirectly this issue is touched in works of N. Zhuravleva, L. Kazanskaya, E. Volkova, I. Gulyi [3–8] and others. While recognizing the depth and thoroughness of the studies carried out in these works, some of their disadvantages should be noted: © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 83–90, 2022. https://doi.org/10.1007/978-3-030-96380-4_10
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– the authors do not study the evolution of Ramsey pricing in freight rail transport throughout the entire period of the existence of the latter, or study this evolution in insufficient detail or solely as an element of a broader picture of the development of theoretical approaches to pricing in freight rail transport; – the authors, as a rule, do not adhere to a systematic approach in their study of the evolution of this type of pricing, do not try to build an integral complex model of this evolution. This allows us to formulate the goal of the current study: to investigate the evolution of Ramsey pricing in the field of freight rail tariffs in the 19th - early 21st centuries with the construction of a complex model of this evolution.
2 Methods A methodological study of the evolution of Ramsey pricing in the field of freight railway tariffs in the 19th - early 21st centuries is based on the application of analysis, comparative method, synthesis, systems approach. First, the main published works of the XIX - early XXI centuries were summarized (the single work by A. Smith became an exception Of the 18th century) of the studied area, their main results are detected and analyzed. Secondly, these results were compared with each other, taking into account the time sequence of the works of the investigators under consideration and the presence of continuity of ideas. Third, synthesis was applied to develop a chronological model of the evolution of Ramsey pricing in the field of freight rail tariffs in the 19th - early 21st centuries. In addition to the classification attribute “time” in the chronological model, at its various stages, other classification attributes were used to highlight separate systemically interconnected parallel directions of development of Ramsey pricing in the field of freight rail transportation. The information basis of the study was works of A. Smith, Ch. Ellet, J. Depuit, A. Schaffle, G. Lansing, F. Taussig, A. Hadley, A. Pigou, F. Ramsey, W. Baumol, J. Freebairn, D. Gaskins, H. McFarland and other researchers of the 19th - beginning of the 20th century. The study began from the classic work of A. Smith [9] with further consideration along the timeline of the main authors of the XIX century, XX century and the beginning of the 21st century, working on the implementation of Ramsey pricing in the field of freight rail tariffs.
3 Results The evolution of Ramsey pricing in the field of freight rail tariffs in the 19th - early 21st centuries can be represented in the form of a chronological model shown in Fig. 1. This model is a time sequence of 4 stages of development, starting from the 1st stage (the emergence of Ramsey pricing in the field of freight railway tariffs) and ending with the 4th stage (the development of Ramsey pricing in the field of freight railway tariffs in the 40s. Of the 20th - at the beginning of the 21st century). The prerequisites for the emergence of this type of pricing in the field of rail freight transportation at stage 1 were
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Fig. 1. Chronological model of the evolution of Ramsey pricing in the field of freight railway tariffs in the XIX - early XXI centuries. ( Source: developed by the author on the basis of sources [1, 2, 9–21])
followed by the development of the first formulations and the first criticism of this type of pricing at stage 2. Subsequently, at stage 3, the classical mathematical justification of Ramsey pricing was developed. The last 4th stage is devoted to the study of the possibilities of implementing this type of pricing for specific conditions, as well as the development of modifications of this type of pricing.
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Let’s move on to discussing and analyzing the results of the chronological model shown in Fig. 1.
4 Discussion Although Ramsey pricing is named after the British mathematician and economist Frank Plumpton Ramsey of the early 20th century the origin of this type of pricing took place much earlier than the 20th century, namely, at stage 1 of the chronological model of the evolution of Fig. 1 (end of the 18th century - the 50s Of the 19th century). The prerequisites for the emergence of this approach to pricing can be found already in the classic work of A. Smith “Investigation of the Nature and Causes of the Wealth of Nations”, 1776. In this work, Smith draws attention to the fact that the tolls for carriage on bridges or highways and tolls for passage through shipping channels by barges are set in proportion to their weight or carrying capacity, that is, these modes of transport pay for the maintenance of these infrastructure elements in proportion to wear and tear, which they cause them. For Smith, this is the fairest way to maintain bridges, highways, and shipping canals. Smith also points out that duties on carriages, postal carriages and carriages for the rich are set in a higher proportion to their mass compared to carts and vans on which goods (including essential goods) are transported. The researcher concludes that the well-to-do part of society should participate in paying the costs of maintaining the infrastructure, reducing the cost of transporting goods throughout the country [9]. Scholars of the 19th century refer to Smith on this issue, for example, F. Taussig [10]. Later on Smith, after the emergence of railways in Phase 1, the first Ramsey pricing formulations were obtained as applied to the area of freight rail tariffs. One of the first well-known researchers to receive this type of pricing formulation was the American engineer Ch. Ellet in his work of 1839. “An Essay on the Laws of Commerce Regarding Domestic Improvement Work in the United States”. In this work, Ellet substantiated the division of freight transported by rail into tariff classes in accordance with the principle of “cargo solvency”, which underlies Ramsey pricing in the field of freight transportation [11]. Ellet, in particular, believed that there are objectively two tariff classes of goods transported by the railway (the first, the second), which must be taken into account in the process of forming freight railway tariffs. Cheap raw materials and construction cargo of large mass (first tariff class) are not able to pay the cost of long transportation to the railway line from the place of production, are brought to railway loading stations exclusively from a short distance, and, therefore, do not generate competition from adjacent railways. Finished goods of final demand and expensive raw materials of a small mass (second tariff class) are able to pay for long-term transportation to railway loading stations, therefore, generate competition from adjacent railways. Another researcher who received one of the first formulations of Ramsey pricing applied to freight rail tariffs during Stage 1 was the French marginal economist J. Dupuit. Dupuit was engaged in the role of utility in setting railway tariffs for the carriage of goods and passengers at approximately the same transportation costs, investigated the dependence of the profitability of the railway on the usefulness of the transportation services
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provided by it, considered the role of fixed and variable costs in setting railway tariffs, expressed the idea of optimizing tariffs for services of the infrastructure, investigated the problem of natural monopoly sectors in railway transport [12]. In the opinion of K. Winston, J. Dupuit proposed Ramsey pricing (its historically first formulation) back in 1844 [1]. However we shall note that before Dupuit the similar task was solved by Ch. Ellet in 1839, and the conditions of this pricing were formed by A. Smith at the end of the 18th century yet. In stage 2 of the chronological evolution model, Fig. 1 (the 60s Of the 19th century - end of the 19th century), there was a further development of the first formulations of Ramsey pricing (qualitative and quantitative approaches), and the first criticism of Ramsey pricing arose. The sample of the qualitative approach of stage 2 the work of G. Lansing, 1887 [13] can be. At the end of the XIX century within the framework of the theory of freight railway tariffs, there was an active discussion on the nature of the differentiation of freight railway tariffs and the relationship between this differentiation, price discrimination and competition. Lansing believed that the differentiation of freight rail tariffs by class of freight (according to Ramsey pricing) is natural and caused by the nature of rail transport, the supply and demand for rail services, and by no means price discrimination, which kills competition in the transport sector. An example of the quantitative approach of stage 2 can be the work of A. Hadley, 1886 [14]. Hadley’s theoretical model of the level of freight railroad tariffs mathematically substantiated Ramsey pricing as early as the late 19th century. The practice of setting railway tariffs on the basis of the railways’ own costs was criticized by Hadley as suboptimal, while Ramsey pricing (based on the principle of “cargo solvency”) was perceived by this researcher as the most natural basis for setting freight rail tariffs. Hadley emphasized that such a base has evolved historically and provides an opportunity to maximize rail profit and public benefit at the same time. But the researcher believed that the power that the railways acquire as a result of using the principle of “paying capacity of goods” is extremely large and can be misused, creating various types of price discrimination. The criticism of Ramsey pricing, which first emerged historically in Stage 2, is most vividly demonstrated by A. Schaffle, 1873 [15]. Schaffle was one of the first to consider the setting of tariffs for the carriage of goods by rail based on the operating costs of the railways as the most natural principle. At the same time, he opposed the “solvency of goods”, which was the basis of Ramsey pricing, and considered it unacceptable to differentiate freight railway tariffs from the national economic point of view. Schaffle work provided the basis for a costly approach to rail freight pricing. Until now, this approach is the main competitor to Ramsey pricing in the field of formation of freight rail tariffs. At stage 3 of the chronological model of evolution in Fig. 1 (1 (early XX century 30s. Of the 20th century) the development of the classic mathematical justification of Ramsey pricing was carried out. One of the most significant examples of Stage 3 can be considered the work of A. Pigou, The Economic Theory of Welfare, 1920 [16]. In this work, this researcher viewed railroad tariffs as a special problem in the theory of welfare developed by him. According
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to Pigou, the setting of railway tariffs on the basis of operating costs is implemented in a market of perfect competition, and the differentiation of railway tariffs based on the value of the service (in fact, on the basis of the principle of “cargo solvency”) occurs under the conditions of a railway monopoly, which applies price discrimination in the formation of tariffs. The mathematical rationale for the special problem of rail tariffs in Pigou’s work laid the foundations for pricing based on marginal costs in rail transport, which is a close alternative to Ramsey pricing. The most important milestone of Stage 3 and the key point of the entire evolution of Ramsey pricing should be considered the revolutionary work of F. Ramsey “Deposit in the taxation theory”, 1927 [17]. In this work, Ramsey developed the classic mathematical pricing model that still bears his name. Ramsey Pricing mathematically substantiated the principle of “cargo solvency” in the area of freight rail tariffs as it is widely recognized to date. Ramsey found that the railroad should formulate a mark-up to its long-term variable costs for individual customers in inverse proportion to the elasticity of demand for the service of transporting cargo of these customers. Accordingly, according to Ramsey, a higher markup should be formed for shippers with a relatively low elasticity of demand (for example, coal transportation) compared to shippers with a high elasticity of demand (for example, container transport). We emphasize, however, that Ramsey’s mathematical model (although still of a fundamental nature) was not the first model to substantiate the principle of “cargo solvency”. For example, as mentioned above, model of A. Hadley mathematically substantiated the principle of “cargo solvency” 40 years earlier than the Ramsey model. At stage 4 of the chronological model of evolution in Fig. 1 (the 40s. Of the 20th century - beginning of the 21st century) the possibility of implementing Ramsey pricing for specific conditions is being investigated; modifications of Ramsey pricing are being developed. At this stage, a wide range of researchers first recognizes the need to apply differential pricing in rail transport, subject to the establishment of a minimum tariff level at the marginal cost level (that is, the joint use of marginal pricing and Ramsey pricing), justifies the economic inexpediency of using pricing based on fully distributed costs (W. Baumol and others [18]). Further, at stage 4, the possibilities of implementing Ramsey pricing for specific conditions are studied in detail. So, for example, K. Winston evaluates rail tariffs in terms of Ramsey pricing in the context of intermodal competition (road and rail transport) [1]. D. Gaskins assesses the Ramsey pricing in railway transport from the point of view of the regulator [19]. An example of the development of Ramsey pricing modifications in stage 4 is the modified Ramsey pricing model for rail freight by H. McFarland [20]. This researcher analyzes the conditions for the implementation of Ramsey pricing on freight rail transport in the case of transportation of goods that are not end-use products for consumers who are natural monopolists and are subject to government regulation (for example, the transportation of coal for thermal power plants). Deviations of this particular case from the classical assumptions of Ramsey pricing are the basis for McFarland’s development of his modified model.
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Note also that at present, the use of Ramsey pricing in the field of freight rail tariffs is often viewed by many researchers as the “second best” approach to pricing in conditions of impossibility to cover the deficit when applying marginal pricing and refusing to use pricing based on fully distributed or average costs of railways [2]. This approach is most commonly used by vertically integrated rail companies but is also being considered for use by private rolling stock operators or railway infrastructure owners [21].
5 Conclusion In this research the chronological model of the evolution of Ramsey pricing in the field of freight railway tariffs in the XIX - early XXI centuries were developed. Using the developed model, the prerequisites for the emergence of this type of pricing were chronologically systematically generalized, the development of the first formulations of this type of pricing (qualitative and quantitative approaches) and its first criticism, the development of a classical mathematical justification for this type of pricing, the study of the possibilities of implementing this type of pricing for specific conditions, the development of modifications of this type of pricing, the place of this type of pricing among other existing approaches to pricing in freight rail transport. The results obtained can be used to further study the development of the theoretical foundations and practice of pricing in freight rail transport.
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10. Taussig, F.W.: A contribution to the theory of railway rates. Q. J. Econ. 5(4), 438–465 (1891). https://doi.org/10.2307/1879358 11. Ellet, C.: An Essay on the Laws of Trade in Reference to the Works of Internal Improvement in the United States. P. D. Bernard Publ, Richmond (1839) 12. Dupuit, J.: De la mesure de l’utilité des travaux publics. Revue française d’économie 10(2), 55–94 (1995). https://doi.org/10.3406/rfeco.1995.978 13. Lansing, G.L.: Natural Principles Regulating Railway Rates. Railway Age Publishing Company, Chicago (1887) 14. Hadley, A.T.: Railroad Transportation: Its History and Its Laws. London, New York (1886) 15. Schäffle, A.: Das gesellschaftliche System der menschlichen Wirthschaft: ein Lehr- und Handbuch der ganzen politischen Oekonomie einschließlich der Volkswirthschaftspolitik und Staatswirthschaft. H. Laupp’schebuchhandlung, Tubungen (1873) 16. Pigou, A.C.: The Economics of Welfare. Macmillan, London (1920) 17. Ramsey, F.P.: A contribution to the theory of taxation. Econ. J. 37(145), 47–61 (1927) 18. Baumol, W.J., Bonbright, J.C., Bronzen, Y., et al.: The role of cost in the minimum pricing of railroad services. J. Bus. 35(4), 357–366 (1962) 19. Gaskins, D.W.: Regulation of freight railroads in the modern era: 1970–2010. Rev. Netw. Econ. (2008). https://doi.org/10.2202/1446-9022.1162 20. McFarland, H.R.: Pricing of Inputs with Downstream Monopoly Power and Regulation. Implications for Railroad Rate Setting. J. Transp. Econ. Policy 20(1), 81–90 (1986) 21. Suvorova, S., Naumova, E., Scherbanyuk, I., et al.: Digital transformation in management of container-on-flatcar transportation: evaluation of business effects. IOP Conf. Ser.: Mater. Sci. Eng. 918(1), 012044 (2020). https://doi.org/10.1088/1757-899X/918/1/012044
Assessment of Normative Documentation for Ultrasonic Inspection of Railway Vehicles’ Welded Joints During Fabrication Vera Konshina
and Ilya Ostanin(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. Overview and theoretical analysis of modern international, interstate, industry and organization standards for ultrasonic inspection of railway rolling stock welded joints during manufacture are presented. Paying special attention to the standard’s implementation in terms of physical and mechanical including acoustic base metal joint properties, geometric features and the control of welded joints with partial weld penetration. Under analysis it has been established that international and branch standards have common features and apply to ultrasonic inspection of main types of welded joints: butt joints, T-joints and corner joints with full penetration of the weld root made of low-carbon and low-alloy steels, welding elements having plane-parallel surfaces and base metal material made by the same production technology. Based on the paper’s results the actual objectives in the field of ultrasonic welded joints inspection of railway rolling stock during its manufacture are formulated. The objectives include the stages of research and development of ultrasonic inspection techniques for welded joints: elements with different acoustic properties with partial penetration of weld root and wedgeshaped welded elements made by different manufacturing techniques. Keywords: Railway transport · Welded joint · Non-destructive testing · Ultrasonic testing
1 Introduction Welding has a prominent position in the solution to the challenges of scientific and technological progress. Welding is a process widely deployed in all manufacturing sectors, including railway vehicles. When it comes to modern, innovative design solutions for rolling stock, great importance is attached to welded joints [1–4]. Other known types of connections, such as riveted, glued or screwed connections, are also widely used yet only as auxiliary connections, e.g. when assembling a wagon bed. All load-bearing elements are welded being subjected to enormous alternating and shock loads, e.g. frames, spine beams of wagons and locomotives. In this case, based on the climate conditions in the Russian Federation, the welded joints of rolling stock are operated in the open air in the temperature range from −60 °C to +50 °C. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 91–99, 2022. https://doi.org/10.1007/978-3-030-96380-4_11
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Welding is a complex physical and chemical process of obtaining a permanent connection. Despite significant progress in the welding process, defects occur in welded joints for a variety of reasons leading to reduced performance and durability of rolling stock structures and sometimes to accidents [5, 6]. Illustration 1 shows an example of the consequences of a broken freight wagon ridge beam weldment that occurred in 2013. A fracture in the wagon’s ridge beam caused about thirty tank wagons to derail, destroying more than a hundred yards of track and damaging one pylon of the interlocking line.
Fig. 1. Ridge girder fracture effects
Traffic safety is ensured by the timely detecting defects in the manufacture of critical rolling stock components through the use of physical methods of nondestructive testing. Non-destructive testing (NDT) is the most efficacious and in some cases the only feasible means of preventing accidents. In order to ensure the quality of manufactured products in the Russian Federation, a system of railway transport NDT has been established [7]. Radiation and ultrasonic (hereinafter referred to as “UT”) are the main means of nondestructive testing for detecting internal defects in welded joints. Optical, capillary, magnetic and eddy current inspection can be used to detect surface defects [8, 9], but the detection of surface defects is not the purpose of this study. The radiation-based test only detects volumetric defects such as pores and slag inclusions, while planar defects with a high potential hazard (cracks) may be detected with up to 40% certainty. Ultrasonic, in turn, has a higher sensitivity and reliability for detecting planar defects often having complex orientations. Additional advantages of ultrasonic testing are its high speed (up to 20 times), productivity (up to 4 times), economic benefits (up to 6 times) and safety for the personnel performing the non-destructive testing. However, the peculiarities of detecting defects during ultrasonic inspection and the dependence of ultrasonic technology on a huge number of factors, such as the configuration of the test object, its material, surface condition, quality requirements leads to a lack of universal ultrasonic technologies and the need to develop ultrasonic technologies for each size of welded joint. Verification procedures may be used to confirm that the process documentation solves the tasks specified therein [10].
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2 Methods Based on the analysis of rolling stock design documentation, as well as process documentation for ultrasonic testing of welded joints, it is concluded that ultrasonic testing during fabrication is regulated by two main directions, presented in Fig. 2.
Fig. 2. Normative documents for quality inspection of welded joints
While the first option is governed by international and interstate (CIS) standards, the second option is governed by industry standards and organization standards. Let’s take a look at the main provisions of inter-state and international standards. In the course of the work, a review and theoretical analysis of modern international, interstate, industry standards and standards of organizations for ultrasonic inspection of welded joints of railway rolling stock during manufacture was carried out. Based on the results of the work, actual tasks in the field of ultrasonic inspection of welded joints of railway rolling stock in the manufacture are formulated for the first time.
3 Results Interstate Standard GOST 33976 “Welded joints in steel structures of railway vehicles. Requirements for design, production and quality control». The standard specifies the requirements for the design, execution and quality control of welded joints in steel structures of railway rolling stock during production. In terms of material technology, it is permissible: – Sheet metal, long products and shapes; – bent (bent-welded) profiles; – stamped, forged and cast parts. Low-alloy steels of the 09G2S, 15HSND, 10HSND etc. grades are given as the basic materials of welded structures for load-bearing elements of rolling stock. For parts made using foundry technology low-alloy steels in grades 20FL, 20GL(L) etc. A list of corrosion-resistant (stainless) steel grades is given for rolling stock body parts, e.g. 12X18H10T, 12X18H9 as well as double grades such as 12X18H10T and St3spc. St3sp,
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Steel 15 or 20 grades are permissible for non-responding elements. Furthermore, the standard allows the connection of elements made of corrosion-resistant steels with elements made of low-alloyed and carbon steels. When welding heterogeneous steels as well as when welding the transition layer in joints of two-layer steels, materials with an increased content of austenitic elements should be used in accordance with the standard, while limiting the carbon and low-alloyed metal in the weld. Welded joints of load-bearing components subjected to transverse loads in operation as required by the standard must be made with full penetration of the weld root. For joints subjected to longitudinal loads, one-sided welds with partial weld root penetration are permitted, where the possibility of partial penetration is confirmed by calculations or tests of the joints questioned. For joints with partial penetration the permissible joint thickness (in other words the inverse of the joint’s penetration height) must be specified. The standard specifies requirements for weld joint dimensioning including at the prefabrication stage (dimensions of the prepared joint edges are specified). For butt, Tjoints and corner joints with partial weld root penetration an effective weld penetration thickness of 80% of the elements to be welded is specified. The maximum wall thickness permitted to have a flaw is 16 mm correspondingly the maximum permissible height of the structural flaw is 3.2 mm. The dimensions of the structural elements as well as the standard welded joints made shall comply with the standards in force in the Russian Federation. Major types of welded joints of rolling stock used in manufacturing: butt joints, T-joints, corner joints, overlap joints with thickness of welded elements from 2 to 50 mm, made according to the requirements of state standards, including sharp and blunt angle welded joints. Under quality requirements for welded joints they are classified according to the stresses experienced by the welded joints and the requirements for their reliability. In terms of stress levels, the classification is made according to three levels: high, low and medium. Consequently, welded joints are classified according to their stress level, reliability requirements, scope and methods of inspection for detecting external (external inspection and measurement) and internal defects (ultrasonic or radiographic) as well as assigned a quality level in accordance with ISO 5817. This standard is the benchmark in the system of interrelated international ISO standards that regulate the ultrasonic inspection of welded joints. Figure 3 shows a sequential diagram of the main standards in the ISO series.
Fig. 3. Scheme of interaction between inter-state and international standards.
ISO 5817 specifies the quality levels (B, C, D) of fusion welded joints and the allowable defects with their size limits for all types of steels, nickel, titanium and their alloys [11]. The standard applies to butt welds of full penetration welds as well as to
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corner welds of all joint types. The provisions of the standard do not refer to physical non-destructive testing methods but reference is made to ISO 17635. ISO 17635 specifies the requirements for the general rules of physical testing of welded steel, aluminum, copper, nickel, titanium and their alloys including the choice of test method according to the material, joint type and wall thickness of the parts to be welded. Annex A defines the relationship between the standards in terms of quality levels and acceptance levels. Thus, for instance, for ultrasonic testing with conventional piezoelectric transducers, ISO 5817 quality levels B, C, D and their corresponding inspection methods and levels A, B according to ISO 17640, and levels 2 and 3 according to ISO 11666 [12]. A similar relationship is given for ultrasonic non-destructive testing by Time of flight diffraction (TOFD) and Phased Array Ultrasonic Testing (PAUT) [13–15]. If the type of defect (planar or volumetric) is to be determined, ISO 23279 applies. A separate paragraph is dedicated to the inspection of welds in welded joints with incomplete penetration of the weld root. Methods (inspection techniques) other than those given in this standard shall be used to determine the penetration of the weld. This is due to the possibility that in partially penetrated welds, the presence of an imperfection may prevent satisfactory including reliable, inspection results. Unless special inspection methods (techniques) have been established, the weld quality of an incomplete penetration weld joint is guaranteed by controlling the welding process. In this case, it is a matter of controlling the personnel’s strict adherence to the production technology: welding conditions, quality control of the joint assembly and layer by layer quality control of each successive layer (roll) in multi-pass welding. ISO 17640 applies to the manual ultrasonic testing of welded joints with a wall thickness of at least 8 mm with full penetration of the weld root where the base metal and the weld metal are ferritic. Additionally, it is specified that the attenuation coefficient should be low and the specified parameter values depending on acoustic characteristics are given for steels where the speed of sound is (5920 ± 50) m/s for longitudinal waves and (3255 ± 30) m/s for shear waves. If necessary, an additional written inspection procedure (procedure sheet or card) shall be used for welded joints with different properties. The standard requires that the test weld inspection scope includes the weld metal and the base metal for 10 mm on each side of the weld or the width of the heat affected zone, whichever is greater. Additional inspection methods (not necessarily ultrasonic) must be agreed if parts of the welded joint cannot be inspected in at least one direction. The standard establishes four inspection levels A, B, C and D which correspond to an increasing probability of defect detection that in turn is achieved by increasing the number of scanning directions. The standard provides a sounding scheme for the detection of longitudinal and transverse defects in butt, T-joints and corner joints as well as welded joints of welded and welded joints, cross joints and nodular welds in tubular constructions. Depending on the test level and thickness of the parts to be welded, the number of insertion angles required, the test patterns and the total number of scans are specified. Additionally, it is specified that if entry angles may not be determined in accordance with the standard the inspection report shall give a full description of the incomplete control and the reason why this occurred. The assessment of detected defects shall be carried out in accordance with ISO 11666.
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ISO 11666 defines acceptance levels (inspection sensitivity) and describes how to adjust the level, the procedure for assessing detected defects depending on the thickness of the welded elements, the frequency of piezoelectric transducers and the defect number in the assessed area. Area of standard applicability: inspection of ferritic steel welds with full penetration and welded thicknesses from 8 to 100 mm. A caveat is made, as in the previously discussed standards, that the scope of the standard may be extended to thicknesses greater than 100 mm and other materials provided that changes in acoustic properties and geometry are considered in the selection of inspection parameters in order to ensure the required level of sensitivity. Industry and organization standards for ultrasonic inspection of welded joints in fabrication: STO OPZT 19 “Typical methods of ultrasonic inspection of welded joints in metal structures of railway rolling stock” and OST 32.100 “Ultrasonic inspection of welded joints of bridges, locomotives and wagons”. As the standards have a similar scope of application and a common approach to the ultrasonic inspection of welded joints, their main provisions will be considered together. The standards cover the ultrasonic testing of the main welding joints: butt joints, Tjoints, lap joints and corner joints made of low-alloyed and carbon steel of a thickness of 5 (10) mm to 50 mm with full penetration of the weld root. Only OST 32.100, however, permits inspection of welded joints of elements made by casting and rolling technology, provided that inspection is only carried out on the rolled side. In terms of inspection technology, the standards specify inspection parameters, sampling patterns and sensitivity settings, inspection procedures, quality assessment and the registration of inspection results. With regard to the testability of welded joints, the traditional approach in the Russian Federation is to establish three levels of testability of welded joints: For welded joints other than those specified in the standards, process instructions are drawn up considering the main provisions of these standards. The main result of the performed analysis is presented in Table 1. International standards (ISO) and industry standards have common features and apply to the ultrasonic testing of welded joints. Table 1. Comparison of application areas. №
Characteristic
International standards
Industry and organization standards
1
Technology
Elements made using the same production technology
Elements made using the same production technology
2
Material
Low-carbon, low-alloy steels
Low-carbon, low-alloy steels
3
Wall thickness
8 mm to 100 mm
5 mm to 50 mm
4
Geometry
Flat-parallel elements
Flat-parallel elements
5
Types of welded joints
Butt joints, T-joints and corner joints
Butt joints, T-joints and corner joints and lap joints
6
Root penetration
With full penetration
With full penetration
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4 Discussion It was previously established that International standards (ISO) and industry standards have common features and apply to the ultrasonic testing of welded joints. In turn, the basic provisions of GOST 33976 allow for the welding of materials with different acoustic properties, made by different production techniques and welded joints with incomplete penetration of the weld root. Therefore, more and more often the developers of ultrasonic inspection techniques have to deal with connections whose design and manufacturing technology do not comply with current standards in the field of ultrasonic inspection which leads to the inability to inspect them using conventional methods with the required reliability. For example: on one of the wagon building factories in the process of manufacturing an innovative model of a cargo gondola it is necessary to weld a detail (back-beam), made from sheet steel of the thickness of 12 mm, to a wedge-shaped cast element with the thickness of 20… 27 mm (Fig. 4).
Fig. 4. Ridge girder welded connection
Important features of this welded joint are: – possible difference in acoustic characteristics between cast and rolled materials; – wedge-shaped molded element with an angle of 3° (Fig. 4); – Significant design tolerances in the geometric dimensions of the welded joint, which makes it difficult to apply a single ultrasonic testing technique. The ultrasonic testing methodology for the submitted welded joint, developed earlier on the basis of current standards, provides: inspection only of the sheet metal side on the inside and outside of the welded joint, by direct and single-beam reflections. In this case, the welded joint is assigned the third testability grade. Thus, the existing methodology does not ensure that at least 20% of the welded joint cross section is sounded which could result in missing dangerous defects and cause fracture of the ridge girder weldment and derailment of the rolling stock (Fig. 1). The above mentioned causes the relevance of developing an ultrasonic testing technique of a non-standard welded joint of a ridge girder, which will ensure the defect detection in the whole volume of the welded joint considering its above-mentioned features.
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On the basis of the above stated the following topical tasks in the field of ultrasonic inspection of rolling stock welded joints during manufacture are formulated involving stages of research and method development for ultrasonic inspection of welded joints: 1. elements with different acoustic properties; 2. with partial penetration of the weld root; 3. with wedge-shaped weldable elements.
5 Conclusion Despite the existence of normative documents that establish standards for assessing the quality of welded joints based on the results of NDT and the basic provisions of their ultrasonic inspection technology, during the ultrasonic inspection in the manufacture of rolling stock, process documentation specifically developed for each size of welded joint is used [7]. The main features of currently designed rolling stock structures made with the use of welding technologies which do not allow to transfer mechanically main provisions of international, interstate and branch normative documents on ultrasonic inspection of welded joints into the developed technological documentation of ultrasonic inspection are highlighted. The results of the performed analysis of welded joint types, formulated features of their acoustic characteristics and shape will be used in further research aimed at increasing the reliability of ultrasonic examination of welded joints.
References 1. Rahimov, R.V., Ruzmetov, Ya.O.: Analysis of the state and prospects of the development of the freight wagon fleet of the Republic of Uzbekistan. Non-ferrous Metals 44(1), 7–11 (2018). https://doi.org/10.17580/nfm.2018.01.02 2. Li, C., Luo, S., Cole, C., et al.: Evaluation of primary suspension benefits for heavy haul wagons. Tiedao Xuebao/J. China Railway Soc. 40(8), 52–59 (2018). https://doi.org/10.3969/ j.issn.1001-8360.2018.08.007 3. Boronenko, Y.P., Povolotskaia, G.A., Rahimov, R.V., Zhitkov, Y.B.: Diagnostics of freight cars using on-track measurements. In: Klomp, M., Bruzelius, F., Nielsen, J., Hillemyr, A. (eds.) IAVSD 2019. LNME, pp. 164–169. Springer, Cham (2020). https://doi.org/10.1007/ 978-3-030-38077-9_20 4. Kulikov, M.Y., Sheptunov, S.A., Evseev, D.G., et al.: Development of the concept of the predictive model of freight cars transportation in the planned repair. In: IEEE International Conference “Quality Management, Transport and Information Security, Information Technologies” (IT&QM&IS), Institute of Electrical and Electronics Engineers, St. Petersburg, 24–28 September 2018 (2018). https://doi.org/10.1109/ITMQIS.2018.8525038 5. Hu, J., Xie, L., Zhang, R., et al.: Failure analysis of a crack on a train bolster. Eng. Fail. Anal. 97, 32–42 (2018). https://doi.org/10.1016/j.engfailanal.2018.12.010 6. Batig, A.V., Kuzyshyn, A.Ya.: Necessity to improve the mathematical model of freight cars to study cases of its derailments. Criminalistics Forensics (2020). https://doi.org/10.33994/ kndise.2020.65.43 7. Dymkin, G.Ya.: Regulations and requirements for nondestructive testing at Russian Railroads. In: 11th European Conference on Non-Destructive Testing (ECNDT 2014), Prague, 6–10 October 2014 (2014)
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8. Dymkin, G.Ya., Kurkov, A.V., Smorodinskii, Y.G., et al.: On the sensitivity of eddy current testing of parts of railway rolling stock. Russ. J. Nondestr. Test. 55(8), 610–616 (2019). https:// doi.org/10.1134/S1061830919080059 9. Muzhitskii, V.F., Efimov, A.G., Shubochkin, A.E., et al.: Portable B-12HM and B12H eddy-current flaw detectors. Russ. J. Nondestr. Test. 43(10), 700–707 (2007). https:// doi.org/10.1134/S1061830907100105 10. Dymkin, G.Ya., Konshina, V.N.: Main provisions of GOST (intergovernmental standard) 33514–2015 “railway-purpose production. Verification of nondestructive testing procedures”. Russ. J. Nondestr. Test. 53(7), 539–543 (2017). https://doi.org/10.1134/S1061830917070063 11. Hobbacher, A., Kassner, M.: On relation between fatigue properties of welded joints, quality criteria and groups in ISO 5817. Weld. World 56, 153–169 (2012). https://doi.org/10.1007/ BF03321405 12. Kaczmarek, R., Krawczyk, R.: Requirements relating to manufacturing constructions in the aspect of conducting ultrasonic testing. Arch. Metall. Mater. 60(3), 1633–1638 (2015). https:// doi.org/10.1515/amm-2015-0285 13. Gordeeva, L.F., Prokhorovich, V.E., Bychenok, V.A., et al.: Development of an automated system for ultrasonic testing of products obtained by additive manufacturing processes. In: The XXII Russian National Conference on Non-Destructive Testing and Technical Diagnostics “Transformation of Non-Destructive Testing and Technical Diagnostics in the Era of Digitalization. Society Security in a Changing World”, RNCNDTTD (2020), Moscow, 3–5 March 2020. J. Phys.: Conf. Ser. 1636, 012003 (2020). https://doi.org/10.1088/1742-6596/ 1636/1/012003 14. Pilyugin, S.O., Lunin, V.P.: Determining the probability of detecting flaws in weld joints by phased-array ultrasonic testing. Russ. J. Nondestr. Test. 52(6), 332–338 (2016). https://doi. org/10.1134/S1061830916060085 15. Dopjera, D., Koˇnár, R., Miˇcian, M.: Ultrasonic testing of girth welded joint with TOFD and phased array. Manuf. Technol. 14(3), 281–286 (2014). https://doi.org/10.21062/ujep/x.2014/ a/1213-2489/MT/14/3/281
The Third-Generation University Ecosystem in the Context of Global Digitalization Alexander Panychev
and Oksana Pokrovskaya(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovsky Avenue, 9, 190031 Saint Petersburg, Russian Federation
Abstract. The modern university is fully becoming the conductor of the ecosystem, providing not only a wide range of research and educational services, but also comprehensive innovative products and IT services for a comfortable educational process and scientific research at a high global level. This paradigm shift from business competition to ecosystem competition is not only due to the digitalization of Industry 4.0, but also to the acceleration of human communication, exchange of goods, and knowledge. The research attempts to review the features of functioning of the ecosystem of the university in the digital economy 4.0, to study its mission and the conditions and principles of sustainable development, the features of building a value chain created by the third generation university in a digital economy. The research results can be used in the elaboration of the value chain of research and academic services in a digital economy, as well as in the formation of IT-infrastructure and clarification of the mission of the third generatnio university to respond to the global challenges. Keywords: Third-generation university · Educational ecosystem · Business model · Digital economy · Value chain · Industry 4.0 · IT-infrastructure
1 Introduction According to a recent “Study of the Russian market of online education and educational technology”, which was initiated by East-West Digital News, the global education market is $4.5–5.0 trillion, and in the coming years promises to increase to $ 6–7 trillion, of which the share of online education is about $ 165 billion. According to expert forecasts, the total volume of the education market in Russia by 2021 should increase to 2 trillion rubles, and significant growth is expected precisely in the market of online education, whose share will already be 53.3 billion rubles [1]. Taking into account this statistic, we can assume that the period of “open innovations,” which replaced “closed corporate innovations,” will evolve in the coming decade into a qualitatively new stage of evolution - namely, the period of “ecosystem based innovations,” which synthesizes the development of open innovative platforms and incubators. According to [2], the value vector of the ecosystem should be directed inward rather than outward. Creating shared value in ecosystems is the backbone of their work. Because ecosystems, by definition, lack centralized management, the mechanisms of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 100–108, 2022. https://doi.org/10.1007/978-3-030-96380-4_12
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self-organization, including self-limitation and self-moderation (“alignment”), must be organically embedded in the institutional structure of ecosystems, including and above all in the “DNA” of the emerging digital ploys. In an interview with Forbes, German Gref, head of Sberbank, noted that competition in the future will focus on finding that ecosystem structure with which to implement fundamentally new business models and maximize synergies. By 2025, about a third of the world’s economic activity will come from ecosystems. According to the forecast of international consultants, in 5 years, 30% of global economic activity will be provided by cross-industry digital platforms. In absolute terms, this will amount to more than $60 trillion [1]. This paradigmatic shift from business competition to ecosystem competition is due not only to the digitalization of Industry 4.0, the features of which were studied earlier in [3], but also to the transformation of the modern business model, which was studied for transportation in [4], and to the acceleration of human communication, exchange of goods and knowledge observed today. In the scientific literature, this transformation of business strategy has received appropriate attention. For example, the results obtained in [5], the evolution of business ecosystems as a tool of strategic management, studied in detail in [6, 7], testify to the change in business strategy, focused on ecosystems. Based on the above, the purpose of this study is to examine the nature of the transformation of the university ecosystem under the conditions of digitalization. In specific, the features of functioning of ecosystems in the digital economy 4.0, its mission, conditions and principles of sustainable growth, the features of building a value chain created by the university of the third century in the digital economy will be examined.
2 Methods The research proposes studying the features of a typical ecosystem of a university through a multidisciplinary approach, namely, an Integrated Multidimensional Approach based on the positions of General Systems Theory, Systems Analysis, Synergetics, Evolutionary and Cluster Approaches. The methods of this study were based on the work of domestic and international scholars devoted to the formation and development of the business ecosystems, as well as a set of current statistics and analytical reporting of the leading news agencies. Media materials were also used to compare and constructively analyze opinions and global trends, both practical and conceptual.
3 Results The “boom” of ecosystems observed in Russia and around the world is evidence of global digitalization on the one hand and the desire of businesses to monetize the user database on the other hand. As a result of these tendencies, digital business-platforms are developing rapidly, providing customers with a wide range of additional products based on the use of “non-core” assets, as evidenced by the findings of [8, 9]. Experts note the progression of the value of “non-core” assets during the evolution of the ecosystem to the value of the company as a whole. At the same time, the university ecosystem is not just a set of services in one place. For the ecosystem to really become a multiplier
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and help increase the profitability of science and education services, it is not enough to simply build additional non-core offerings into one’s own core business. Figure 1 shows the position of the third-generation university as the best digital institution in the digital economy. The trend pool (left) and market demands (right) define both the conditions of the digital economy and the formation of the “digital man,” under which the university ecosystem is transformed and defines the target tracks of development. A super-offering with a whole range of “embedded” services is one possible option for forming a supportive digital platform for the university ecosystem as a knowledge provider and know-how transporter. At the same time, the users, and the beneficiaries, of the university eco-system are both external and internal participants: employees and university students as the core of the system on the one hand, and the partners (academic, industrial, business angels) on the other hand.It is assumed that all of the supporting functionality to support the operation of a particular service is implemented by the relevant university departments (product teams).Each service module must be supervised by a separate supervisor (supervising provost). In particular, as noted by (R.V.-Saeza, R.Gustafsson, L.Van den Brandecd, 2020) the new paradigm of university ecosystem development in the digital world involves open data sharing, open access publishing, open repositories, open physical laboratories, collaborative design and transdisciplinary research platforms will enhance science and innovation development in universities. It should be noted that IT services can and should be implemented as part of the digital platform being formed in the higher education institution that supports the ecosystem of the university.
Fig. 1. Trends and requirements realized in the perfect digital university ecosystem 3-generation
Obviously, for the full implementation and multifunctional use of the services listed in paragraph 3 “in a single window”, the university in a volatile industry 4.0 economy requires the formation of a supporting (satellite) digital platform with the following key components: 1) The system of electronic identification of ID-numbers for employees (record of academic and research work, accumulation of points for financial incentives,
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time tracking - employee passport, hours-pass to the university); 2) a system for electronic identification of student ID-numbers (registration of attendance at classes, portfolio and gradebook management, management of academic courses, notification system of university events, exams, accumulation of points for the scholarship program - student passport, smartwatch as a pass to the university with the ability to locate and receive news); 3) software and hardware complex for the integration of the above components and service modules. The above, it should be assumed, will ensure the formation of a synergistic effect, the ultimate beneficiary of which will be all components of the ecosystem of the university as a whole. The pool of “big” or global challenges, the leveling of which the “thirdmission” of the university takes and provides, is as follows: 1) elimination of spatial, economic, logistical and social imbalance in the national economy; 2) The demand for a new quality of services in the context of the knowledge economy and Industrial Revolution 4.0; 3) “digital expansion” of the educational and scientific environment;4) demand for new competencies and modernization of the labor market; 5) The need for innovative technological development of the country and the formation of new markets for domestic products; 6) The formation of new production chains of a networked nature in the format of the Internet of Things and blockchain, including in science and education; 7) Ensuring a comfortable and safe living environment and many others. The result of management in scientific and educational ecosystems - the university ecosystem - can be represented in the format of “SMARTresult image” as follows: “To implement on the platform of educational and research ecosystem of the university effective functioning of the core of the consortium to provide consumers with high quality services in education and research activities to ensure: successful implementation of the national policy, the leading competitive position of the national system of education and science, as well as industries provided by highly qualified personnel of the university, the global competitiveness of domestic transport education, comfortable conditions of the economy based on new knowledge, consolidation of efforts of public authorities, scientific, educational and business communities on the application of science and technology achievements by aggregating ideas “think tank” ideas, provider of the best educational and research technologies, acceleration of innovations and global integration of resource potential of educational, scientific and industrial partners of the university with getting synergistic, multiplicative and large-scale effect on the principles of digitization, openness, integration and in response to global challenges”.
4 Discussion 4.1 The Mission of the University Ecosystem The authors formulated, taking into account [10–12], the following concept of the mission of the university ecosystem. The mission of the third-generation university ecosystem is to provide consumers with high-quality, comprehensive, and competitive services in two key, inextricably linked activities: the first track is educational, and the second track is research. Its implementation is necessary to create comfortable conditions for an economy based on new knowledge and to ensure the global competitiveness of Russian transport education in the format of a consortium to consolidate the efforts of public
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authorities, scientific, educational and business communities to apply the achievements of science and technology in the national interest. A prerequisite is that all partnership services are aligned with the university’s values and global competitiveness strategy as a whole, as well as the specific target tracks of its mission in particular. The mission of the higher education institution’s ecosystem can be represented as follows:” Ensure the sustainable development of a flexible, adequate, and efficient university ecosystem across the entire pool of target tracks of its operation to realize the maximum synergistic efficiency of the consortium participants, as well as to ensure adequate situational management, taking into account changing conditions, qualitative development, expansion and strengthening of the scope of global coverage of the university ecosystem. Through end-to-end seamless management of ecosystem, science, innovation, and business design processes with multidirectional interaction among consortium members on the infrastructural basis of the global scientific and educational network of continuous innovation formed by the University By supporting the sustainable functioning of the University ecosystem and coordinated actions of the consortium members on the master tracks on the principles of openness, one-man management, external expertise, networking, internationalization, continuous monitoring and quality control, and in response to global challenges. 4.2 Conditions and Principles of Sustainable Development of the University Ecosystem Consider the typical conditions for a sustainable university ecosystem. Sustainable development is a process of qualitative transformation in which the use of resources, the direction of investments, the orientation of evolution and institutional transformation are aligned with each other and synchronized with the general target track of strategic planning, and aimed at realizing the current and future potential for the sustainably smooth, efficient and safe operation of the university ecosystem. It should be especially noted that sustainable development is “continuing” (“self-sufficient”), not contradicting the continued existence of the ecosystem and its development in the former target strategic track. However, the authors see a certain contradiction in the terminology “sustainable development of the ecosystem of the third-generation university. The concept of “stability” suggests equilibrium, and the concept of “development” implies the existence of a permanent system exit from the state of equilibrium. In this regard, it was concluded that there is a need for such a unified digital field, which would smooth the asynchrony of differently directed goals of ecosystem participants, mitigate the impact of external attractors and allow a flexible situational response to changes online with a transparent interaction of ecosystem elements. Accordingly, the key conditions for the full development and optimal functioning of the university ecosystem should be considered a developed IT-infrastructure, primarily - a single open information platform of the university. However, such a platform should necessarily be technologically compatible with all software solutions of partners and other participants of the university consortium/ecosystem in order to maximize user value and, above all, to provide seamless user interaction, online management, and blogging regulation.
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The following principles of the university’ s ecosystem have been examined and established by the authors: Aggregation is a strategy of academic leadership implemented by the University, aimed at expanding partnerships with representatives of various spheres of economy and management; on a single conceptual target track of development to strengthen the leading ranking positions of transport industry, science and education in Russia and the world. Digitalization is the introduction of digital technologies in different areas of the economy level 4.0 to improve the quality and speed of national and sectoral development. Academic freedom is the maximum independence of the University’s open scientific and educational ecosystem from government regulation, funding and patronage while creating the best possible conditions for individual development trajectories of students and faculty. Innovativeness is the result of investing intellectual solutions in the development and production of new knowledge and high-quality technology with subsequent implementation and commercialization for the benefit of the country, its regions and cities, as well as sectors of the economy. Customer centricity is the core value according to which the University’s research and education ecosystem exists and evolves, providing consumers with high-quality education and research services with maximum flexibility and a personalized approach. Comprehensiveness is the maximum completeness, consistency, and interconnectedness of planning and management of the general target tracks of development of the scientific and educational ecosystem of the University and the consortium formed by it. Cosmopolitanism is the maximum expansion of the boundaries of the global presence of the University’s innovation and entrepreneurship ecosystem in the international educational and scientific community with transdisciplinarity of research and cross-cultural education. Leadership is the unconditional and comprehensive dominance and influence of the University as a University 3.0 at the global level in the implementation of the pool of its three missions in the scientific, educational and commercial tracks. Networking is a broad spread of partnering mutually beneficial interaction with businesses, non-governmental research institutions, investors, professional service firms, and other universities through the University’s own “carousel of know-how.” Two-track development “ is the high-quality provision of the unique (best) conditions for talented students and leading scientists and the simultaneous implementation of mass higher education programs. Global transformation means “turning” the University into a global carousel of know-how and establishing cooperation with external partners to ensure the University’s educational, research and know-how excellence at the global level. 4.3 The Value Chain Created by a Third-Generation University in the Digital Economy A third-generation university is a university with a sustainable and balanced ecosystem that fully promotes the social, cultural and economic development of global society, actively supports regional business initiatives as an aggregator of ideas for effective management of spatial, human, social and technological development of territories, as well as for faster transfer of know-how to the economy and enhanced innovation creation through knowledge and resource sharing (compiled by the authors taking into account. However, ecosystems extend beyond such partnerships to include a host of producers, providers, innovators, customers, and regulators who form a collaborative outcome: the
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value chain. Value Chain is a tool of strategic analysis of scientific and educational activities of the university and its strategic partners within its established consortium in order to strategically plan joint activities to achieve synergistic efficiency of decisions made on all target tracks of evolutionary-functional development of the ecosystem as a whole, aimed at productive implementation of research results in the business of real economy sector and training of qualified personnel for technology. The chain of value of research and educational services is considered in this research as a tool to identify the degree of competitive advantage of the core ecosystem (university) in order to develop a competitive strategies, and build an institutional system according to a long-term strategy for the development of the university ecosystem.The value chain of scientific and educational services, created in the management of the university ecosystem, can look as follows. It is known that every market participant approaching an ecosystem must answer a pool of three questions [13]: “What do we bring to the ecosystem? What do we want from the ecosystem? How do we interact with others to achieve our goals?» According to R. Adner [14], an ecosystem such as the scientific-educational one must consist of partners on whom its success in creating innovation depends. Therefore, in developing a strategy for “growing innovation” in the third-generation IT infrastructure of a university, it is necessary to digitize all management interdependencies in the ecosystem to achieve synergistic success. 4.4 Principles of University Ecosystem Management Using the methodology outlined in [15], let us formulate the principles of management in a third-generation university ecosystem. The IT-infrastructure of the university ecosystem as a communication, scientific and educational platform of innovative technologies implements the following effects of the digitalization of the space of interaction between ecosystem participants: 1) The network effect (a wide range of participants and a strong scientific and laboratory base as a driver for attracting new partners and implementing major scientific and educational projects); 2) Harmonizing innovation and business interests; 3) Integration of design and research activities with transport, information and production business; 4) The adequacy of the challenges of the modern market, digitization, as well as strategic priorities for the development of the education and transport industry; 5) Openness and accessibility of communication and cooperation; 6) Comprehensive and innovative solutions. The above will allow, in our opinion, to implement the following chain of the typical life cycle of scientific and practical developments of the university ecosystem: basic research - applied research and development - experimental design development know-how - transfer of results to the real economy - implementation in production and approbation - market entry and commercialization of the effects.
5 Conclusions The authors believe that sustainable development is a process of qualitative transformations in which the use of resources, the orientation of investments, the orientation of evolution and institutional changes are coordinated with each other and synchronized
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with a general target track for consistently smooth, efficient and safe operation of the ecosystem of the university, the authors point out the following. In today’s education we can notice the emergence of the following new ingredients inherent in business ecosystems as well: 1) global educational platforms that implement high-quality educational programs and global content (the genesis of the so-called “universities for a billion”); 2) individualization and technologization: educational technology for personal development trajectories of the individual in learning and career; 3) digitalization; 4) the space of self-organization and self-development. At the same time, digitalization is considered in the study as a driving force for the development of the university and its qualitative transformation into a business ecosystem. The genesis of the “Third Generation” university forms a new value chain of scientific and educational services and generates a new format of business space built around people (human-centered service). This repositioning of today’s higher education institution defines a paradigm shift in development toward the formation of a knowledge economy-based ecosystem. The authors conclude that in developing a strategy to “grow innovation” in a third-generation university’s IT infrastructure, it is necessary to digitize all management interdependencies in the ecosystem to achieve synergistic success. In particular, the IT-infrastructure that ensures the sustainability of ecosystem development is proposed to include three integral components: the system of electronic identification of ID numbers for employees; the system of electronic identification of ID numbers of students; software and hardware complex for the integration of the above components and service modules. Based on the results of the study, a value chain of scientific and educational services created by management in the ecosystem of the university is proposed. The conditions and principles of sustainable development of the university ecosystem are considered and formulated. As shown in the article, the IT infrastructure will increase the effectiveness of joint activities of all consortium participants in the ecosystem of the modern third-generation university. We may conclude that the findings of this study will contribute to the sustainable evolution of the third generation university eco-system in a world of accelerating digitalization. The research results can be used in the elaboration of the value chain of research and academic services in a digital economy, as well as in the formation of IT-infrastructure and clarification of the mission of the third generation university to respond to the global challenges. Future scientific investigations can be aimed at developing the best business framework for application in the digital field of the university ecosystem, and at synchronizing the format of providing research and education services and generating ideas in the digital economy of Industry 4.0.
References 1. McKinsey & Company: Competing in a world of sectors without borders (2017). https:// www.mckinsey.com/business-functions/mckinsey-analytics/our-insights/competing-in-aworld-of-sectors-without-borders. Accessed 2 Sept 2020 2. Kleiner, G.B.: Modern university as an ecosystem: institutes of interdisciplinary management. J. Inst. Stud. 11(3), 54–63 (2019). https://doi.org/10.33278/SAE-2018.rus.005-014
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3. Fedorenko, R.V., Pokrovskaya, O.D., Khramtsova, E.R.: Electronic document management in international carriage: Russian experience of railway business. In: Ashmarina, S.I., Mantulenko, V.V. (eds.) Current Achievements, Challenges and Digital Chances of Knowledge Based Economy. LNNS, vol. 133, pp. 321–330. Springer, Cham (2021). https://doi.org/10. 1007/978-3-030-47458-4_38 4. Palkina, E.S., Zhuravleva, N.A., Panychev, A.Y.: New approach to transportation service pricing based on the stakeholder model of corporate governance. Mediterr. J. Soc. Sci. 6(4), 299–308 (2015). https://doi.org/10.5901/mjss.2015.v6n4s4p299 5. Singer, J.G.: Ecosystem-centered business strategy. In: 2009 3rd IEEE International Conference on Digital Ecosystems and Technologies (2009). https://doi.org/10.1109/DEST.2009. 5276680 6. Tatsumoto, H.: Evolution of business ecosystems. In: Fujimoto, T., Ikuine, F. (eds.) Industrial Competitiveness and Design Evolution. EESCS, vol. 12, pp. 155–188. Springer, Tokyo (2018). https://doi.org/10.1007/978-4-431-55145-4_5 7. Olsson, H.H., Bosch, J.: Strategic ecosystem management: a multi-case study on challenges and strategies for different ecosystem types. In: 2015 41st Euromicro Conference on Software Engineering and Advanced Applications (2015). https://doi.org/10.1109/SEAA.2015.44 8. Horoshko, O., Horoshko, A., Bilyuga, S., et al.: Theoretical and methodological bases of the study of the impact of digital economy on world policy in 21 century. Technol. Forecast. Soc. Chang. 166, 120640 (2021). https://doi.org/10.1016/j.techfore.2021.120640 9. Ranta, V., Stenroos, L.A., Väisänen, J.-M.: Digital technologies catalyzing business model innovation for circular economy—multiple case study. Resour. Conserv. Recycl. 164, 105155 (2021). https://doi.org/10.1016/j.resconrec.2020.105155 10. Saeza, R.V., Gustafsson, R., Van den Brandecd, L.: The dawn of an open exploration era: emergent principles and practices of open science and innovation of university research teams in a digital world. Technol. Forecast. Soc. Chang. 156, 120037 (2020). https://doi.org/10.1016/ j.techfore.2020.120037 11. Banerjee, B., Ceri, S., Leonardi, C.: Innovation leadership: a new kind of leadership. In: Banerjee, B., Ceri, S. (eds.) Creating Innovation Leaders. UI, pp. 53–80. Springer, Cham (2016). https://doi.org/10.1007/978-3-319-20520-5_3 12. Karagiannopoulos, G.D., Georgopoulos, N., Nikolopoulos, K.: Fathoming Porter’s five forces model in the internet era. Info 7(6), 66–76 (2005). https://doi.org/10.1108/146366905106 28328 13. Portincaso, M., De la Tour, A., Soussan, P.: The Dawn of the Deep Tech Ecosystem. Boston Consulting Group & Hello Tomorrow. DIALOG (2019). https://media-publications.bcg.com/ BCG-The-Dawn-of-the-Deep-Tech-Ecosystem-Mar-2019.pdf. Accessed 10 Sept 2021 14. Adner, R., Oxley, J.E., Silverman, B.S.: Introduction: collaboration and competition in business ecosystems. Collab. Compet. Bus. Ecosyst. 30, 9–17 (2013). https://doi.org/10.1108/ S0742-3322(2013)0000030003 15. Iansiti, M., Levien, R.: The Keystone Advantage: What the New Dynamics of Business Ecosystems Mean for Strategy, Innovation, and Sustainability. Harward Business School Press, Boston (2004). https://doi.org/10.5860/choice.42-5360
Business Transport Ecosystems in Transport Education: Specifics and Potential Alexander Panychev
and Oksana Pokrovskaya(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovsky Avenue, 9, 190031 St. Petersburg, Russian Federation
Abstract. The article examines the peculiarities of the evolution of business strategy in the format of business ecosystems. The purpose of this study is a comprehensive study of the ecosystem of the modern university on the example of the specifics and potential of transport education. While most of the known research aims to examine ecosystems in a single aspect, for example, the cluster, biological, economic, and in general, this paper aims at a complex study of all aspects of the sustainable ecosystem organization of the university of the third century on the example of the transport educational institution. The methodology of crosssectoral analogies, elements of semantic analysis, logic, economics, strategic management, synergy, systems analysis, systems theory, synergy, economic clusters were used in the study. It can be assumed that the results of the study will contribute to the acquisition of knowledge about the specifics and potential of the organization of business ecosystems in education, as well as to increase the success of business decisions made in a new, ecosystem format. Keywords: Business ecosystems · Transport education · Scientific and educational ecosystem · Third-generation university · Management · Business model
1 Introduction The premises of the educational transformation and the evolving strategy of the university have been the context of a complex society based on a knowledge economy for Industry 4.0, the digitization and acceleration of the processes of transfer of technology and know-how. The role of transport formation should be acknowledged for the new role of national transport carrier prosperity, the accessibility of transboundary trade, and the highly competitiveness of regional transportation systems in the organization of international transport corridors. The specific nature of industry-specific transportation education takes on special importance in the context of globalization and increasing complexity of delivery systems, as well as the rapid digitalization of entire transportation logistics processes, which require a graduate of a transportation university to have a new list of business competencies in a complicated and rapidly evolving world. Transport education is transforming its business model all over the world, including the Russian Federation. This transformation process comes by addressing accumulated and new © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 109–117, 2022. https://doi.org/10.1007/978-3-030-96380-4_13
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challenges of the 21st century: the digital divide, the imbalance in information flows, the increasing economic imbalance in the regional developments, the changing of traditional labor markets under the impact of Industry 4.0. It can be noted, therefore, that the market for educational and research services is developing dynamically. The perception of the university only as a provider of educational and research services is being transformed. The university is acquiring features that are not typical of traditional education. One of the most common formats for ensuring the competitiveness of the scientific and educational business today is the creation of an ecosystem. The business ecosystem was first stated by James Moore in his 1993 Harvard Business Review article “Predators and Prey: The New Ecology of Competition [1]. Eco-systems as a de facto developed paradigm for organizing sophisticated cooperation are “dynamic developing communities consisting of players from different sectors who jointly build competencies around an innovation with which they work in a collaborative and competitive logic” [2]. Since then, the concept of “ecosystem” has moved into the field of business, changing the idea of managing an organization. Ten years later, a paper [3] appeared, which created a real research “boom” and significantly expanded and enriched the concept of J. F. Moore. Thus, the interest of researchers around the world is attracted by various forms of new business organization, including those based on deep collaboration of organizations with each other. The change of paradigm in the higher education towards business ecosystems can be seen in the fact that the university is being transformed into an integrated competency, that is becoming a “community of communities”, whose key attributes become: personalized learning, the incubation of future sectoral ecosystems, an outdoor hub of technological and socio-cultural innovation, competency-oriented learning [4]. This corresponds to the essence of an ecosystem noted in a 2014 report by the transnational company Deloitte Touche Tohmatsu Limited with the title “Business ecosystems reach the age of majority” (in the United States the full age of majority is 21 years), which provides the following definition of a business ecosystem: “Ecosystems are dynamic and co-evolving communities made up of diverse entities that create and gain new content through both interaction and competition.” The report notes that although ecosystems are resilient, they are internally characterized by constant flux. With a company at the center of flows, even seemingly insignificant actions can set in motion global development mechanisms. Also in 2014, Alibaba Group used the word “ecosystem” more than 160 times in its prospectuses representing the company’s philosophy and growth strategy. This is Alibaba Group that Sberbank CEO Herman Gref considers to be an example of an ecosystem. Speaking in June 2017 at the Yeltsin Center on “New Technological Trends and Models of Effective Management,” Herman Gref devoted the sixth part of his speech to business ecosystems based on high-tech platforms. In his opinion, there are no ecosystems in Russia, although a many companies aim to create them, including Sberbank. Gref believes that the ecosystems in China are the most developed. The aim of the study is a comprehensive study of the ecosystem of the modern university.
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This study analyzes global and Russian trends in the genesis of ecosystems in higher education. A characteristic of the modern “third generation” university is given. What components should the university ecosystem include? What are the prerequisites and characteristics of business strategy transformation? What is the mission of forming and developing a university ecosystem? The study attempts to answer these and other questions.
2 Methods The methodology of intersectoral analogies, elements of semantic analysis, logic, economics, strategic management, synergy, systems analysis, cluster approach, general systems theory, generalization, statistical evaluation and scientific search were used The principles of customer centricity, global leadership, complexity, innovation, digitalization, integration, hierarchy, and aggregation were widely used in this research. The authors used visualization and tabular representation of the data to visualize some of the results obtained.
3 Results Ecosystem thinking in modern business strategy uses a biological metaphor in response to the complexity of the world around us. In addition, some of the key features of biological ecosystems are ideally suited to the requirements for educational change [5]. Like the biological, ecosystems in modern education provide: – maximum productivity and resource cycling - resources, including knowledge, are optimized and allocated, so nothing is wasted; – adaptability - the ecosystems can adapt to and respond to the needs of students and changes in institutional environments, as opposed to more rigid approaches of partnerships and networks; – diversity - many participants play many roles, ensuring the stability of the entire ecosystem; – scalability - ranging from groups of students, scholars, or specific educational institutions to their planetary community. In the system of higher education and science that we analyze, we can note the emergence of the following new components that are also inherent in business ecosystems: 1) global educational platforms that implement high-quality educational programs and global content (the genesis of the so-called “universities for a billion”); 2) personalization and technologization: educational technologies for personal trajectories of personal development in learning and career; 3) digitalization; 4) the space of self-organization and self-development. Modern “Third Generation” University is a space for the generation of innovations in the digital international field of communication, which includes the infrastructure that provides this communication and a set of interrelated elements (participants), capable
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of self-development and self-organization in the format of the new business model of science, education and industry 4.0 mission. Multifunctionality and the availability of a wide range of not only scientific, academic, but also associated information and information and communication tools can be regarded as one of the modern trends in higher learning and science. The pace of the modern society’s digitalization and increasing technological complexity requires the modern university ecosystem to include digital competencies in the mission and implementation of the digital business competencies. In today’s business, ecosystems are often multilayered, combining technology, business and knowledge, which allows the functioning of sectors of economy as an ecosystem to be organized as a whole [5]. The business ecosystem has four main components: ideas, entrepreneurial expertise, funding sources, and community. The uniting component for the eco-system is the innovations center, which sets some order in the selection of ideas and financing of the best of them. In case of formation of university ecosystem the latter will act as an innovation hub, having the corresponding infrastructure for both the provider of breakthrough research and technological developments to the real economy, and for the organization of seamless transfer of technologies, know-how as well as knowledge. Based on the analysis of the experience of Russian formats of educational ecosystems, this study attempts to characterize the business model of the new “Third Generation” university. The modern university as an ecosystem, in its most general form, has the following characteristics: • The existence of a unique innovation setting that integrates multiple science, engineering, and innovative fields for multidisciplinary discoveries by moving the students, faculties, and research beyond traditional fields of study; • Integration of education and research; • Development and implementation of structural university components of the innovation and entrepreneurial ecosystem, formal and informal education in innovation, entrepreneurship and Industry 4.0, • Creating the basis for a world-class research university as a provider of knowledge economy and as a driver of talent attraction, generation and retention in Russia; • Strategic development with clearly defined stages: the integration of diverse participants in the consortium, decentralization of management and funding, the effect of synergy and collaboration (2 × 2 = 5), a single information field, openness and accessibility of communication, maximum economic productivity (monetization of interaction), globalization and scalability. Thus, ecosystem trends in the strategic development of the modern university are characterized by the following features: • ecosystems in the market of educational and research services unite people rather than organizations, and are built on coalition principles with the formation of project groups of technological entrepreneurs, representatives of leading universities and research centers, large business associations, development institutions, expert and professional communities, and the government;
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• the leading force behind the logic of strategic moves in new markets is the high-tech industry. • orientation of domestic educational system to the new global hi-tech markets, the fight for leadership on which will take place on the next 20 years horizon in the digitalization of the world economy, rather than trying to compete in the old ones (the “blue ocean” principle), can be observed; • the eco-system approach is being used in higher education to create a team of talented like-minded people who can effectively deal with the global technological issues, with an emphasis on the advanced education of talented scientists, engineers, and entrepreneurs. 3.1 Characteristics of the Modern University Ecosystem We will generally consider the university ecosystem as a point of growth of the global competitiveness of the real sector of the economy and as a driver of transfer and commercialization of know-how for technological breakthrough in Industry 4.0 and a volatile market. Below is the definition formulated by the authors. The university ecosystem is a single space of innovation, aggregation of ideas and business solutions, which includes a self-organizing community of scientists, teachers, students and business representatives, whose collaborative efforts allow to maximize synergies through the use of human-centered services and digital platform, based on Industry 4.0 technologies and knowledge economy. Business ecosystems are one of the current trends in the development of the business landscape. The emergence of ecosystems in businesses of all types and levels leads to radical changes in the economic landscape: increased competition, increased concentration in the distribution of economic profits, increased integration and partnerships as boundaries blur, the growing importance of data and increased distributional issues and the globalization of value chains for goods and services. In general, we can identify following trends in the genesis of business ecosystems in Russia: while the media, software, retail and others tend to move toward increasingly self-organization, the technology infrastructure, for instance, tends to absorb smaller market players and create larger companies on a global scale that offer the resources, insights and delivery platforms for others. The role of the ecosystem, among other things, is to form a mechanism for identifying entrepreneurial opportunities. The nature of the relationship between entrepreneurial opportunities and ecosystems varies. For instance, some authors [5–8], believe that opportunities are generated by the entrepreneurial eco-system’s nutrient environment and depend on its features and constraints. The entrepreneurial ecosystem consists of several subsystems, which can be classified based on their profile, i.e. belonging to different sectors, including educational [7]. Analysis of the genesis of scientific and educational ecosystems in the Russian Federation and the world allowed the authors to identify three characteristic evolutionary stages: 1) creation of a consortium (pool of partners), 2) creation of a digital platform (a pool of digital functional services); 3) building a system of managing and monetizing/commercializing the results of research and education activities (debugging the
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business model in a unique ecosystem format, taking into account the specifics of the macro-region, industry, and university). The listed stages of the evolution were articulated taking into account the analysis results obtained in the research of the modern digital economy [8]. There are several ways to create a consortium, which can also be applied to the university ecosystem (as it seems to the authors, this is an illustration of the solution to the classical problem “Make or buy?”): 1) independent creation of profile services (e.g., new educational programs, innovative learning technologies, academic mobility programs, research laboratories, campus buildup, scientific and practical events, etc.); 2) creation of a joint venture with a stronger partner (for example, in a non-core segment of its own activity); 3) mutually advantageous collaboration with a comparable partner (e.g., commission share in income); 4) start-up and acceleration of breakthrough business ideas and effective solutions (for example, in a new potential market) (systematized by the authors taking into account the results of [9–11]. Figure 1 shows the visualization of the paradigm of the university ecosystem development, including: the list of collateral (left), aggregated by digital collateral, then the pool of priorities that determine the ecosystem development (top), the target track of the university ecosystem functioning (central part), the pool of applied local missions in implementing the leadership positions of the university business model in the process of strategic academic evolution (bottom). The above components inextricably determine the evolution of the university ecosystem as a whole.
Fig. 1. A general paradigm for the evolution of the third-generation university ecosystem* (* Compiled by the authors taking into account [12, 13], as well as our own earlier results [14, 15])
The authors propose the following as a support structure for the university ecosystem. As Fig. 1, shows, its internal environment includes strategic partners with a pool of target development tracks, including research and educational technologies, as well as academic partners with a pool of target tracks, including breakthrough production and
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business technologies. The external environment, which is presented by a set of pools of the national priorities and the priority of scientific and technical development and a set of baseline and future performance indicators of the University, has an influence on the ecosystem of the university.
4 Discussion The concept of ecosystems is increasingly popular as a metaphor for describing the interaction of market counterparties with each other. The use of the concept of eco-systems in education is particularly useful in examining the processes of transforming the business strategy to business ecosystem paradigm. The modern university paradigm ecosystem, as the analysis showed, has attributes such as: synergism and transparency of interactions, decentralization, the features of self-organizing systems, as well as the characteristics of large systems. The study reveals the specific features of today’s emerging university ecosystems on the basis of the example of transport education and the Russian Federation experience, and also shows the potential of the eco-system approach in the management of such innovative business structures. It has been shown that under the influence of technology education changes, and only those universities, like any other representative of business, which have the ability and capacity to possess a large technological stock, begin to use their technological capacity to find fundamentally new business models. While most of the known research aims to examine ecosystems in a single aspect, for example, the cluster, biological, economic, and in general, this paper aims at a complex study of all aspects of the sustainable ecosystem organization of the university of the third century on the example of the transport educational institution. Obviously, an educational or research service is not a final service, it is always intermediate. And all owners of intermediate services will gradually be replaced by ecosystems. That is why for modern organizations of any kind, including higher educational institutions, the dictate of the times is to build their own, distinctive ecosystems, or to cede positions in their own field of activity to other already formed ones. The solution that the educational institutions will face in the face of this challenge is an equally unique and determining vector for the evolution of their globally sustainable, competitive position in the long-term. We assume that the main qualitative result of the interaction between partners and other participants in the educational and research process on the digital platform of the university and its infrastructure as a technopolis, is the synergistic effect, which can be expressed by the maximum commercialization of scientific results for the earliest “connection” of its own know-how hub to develop relevant “big” challenges of highly professional solutions and best management practices in broad cooperation.
5 Conclusions The analysis of the challenges of seeking a new form of business organization based on the deep collaboration of organizations with each other, in particular the university ecosystem genesis, showed the need not only to transformation of the organizational structure that meets the requirements of the third generation university, as well as the
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search for a stable business model to strengthen the global competitiveness of the university. The ecosystem of the modern university was comprehensively studied on the example of the specifics and potential of transport education. The research establishes that, in the context of the global aspect of the transport university ecosystem operation, the strategic track can and should be as follows: “ensuring the sustainable development of a safe academic and scientific and research environment with scientific and industrial and intellectual capacities to provide successful and balanced scientific and technological progress of the country’s transport and logistics industry in achieving the national goals of safety, comfort and service comprehensiveness, as well as strengthening the domestic transport system’s competitive position in the world”. The study identified the following features of the university ecosystem as a complex organizational and economic system: the stochasticity of its behavior - the uniqueness and unpredictability of the behavior of the system in specific conditions, and at the same time the availability of marginal possibilities according to the available resources, elements and properties; the ability to change its structure, while maintaining the integrity and forming variants of behavior; limited formal description; expediency, in open systems with active elements (which is the ecosystem of any educational institution) goals are formulated within the system; the ability to resist destructive tendencies, self-organization and development; the ability to adapt to changing conditions. It can be assumed that the results of the study will contribute to the acquisition of knowledge about the specifics and potential of the organization of business ecosystems in education, as well as to increase the success of business decisions made in a new, ecosystem format. The area of further research on business eco-systems in transport training could be the study of the typology of the internal management structure of the eco-system, a more detailed analysis of the composition and relationships between the participants, the search for the ways and tools of genesis and evolution of the effective business models of the scientific and educational management of the consortium.
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Eco-protective Technologies in Transport Construction Yulia Puzanova(B) Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. As the environmental situation continues to deteriorate as a result of anthropogenic activities, research is needed to develop new multifunctional ecoprotective technologies that will help clean up already polluted soil and water bodies, dispose of waste and provide preventive protection for areas that have not yet been polluted. Industrial and construction waste was investigated for heavy metal ions in soil and wastewater using the ionometric method. The ability of wastes such as phosphogypsum, heavy concrete and foamed concrete to absorb cadmium, lead and copper ions from aqueous solutions and different types of soils was tested. It has been experimentally established that the absorption mechanism is not an ionic exchange, but only a one-way process of sorption on the surface of substances. Based on the discovered properties of waste, ecoprotective technologies have been proposed that can be used in transport construction for the preventive protection of soils and runoff from roads and railways. Also, these technologies can be applied to already built and operating traffic arteries. In the course of the study, nine types of eco-shields were experimentally tested. Keywords: Ecoprotective technologies · Geosystem pollution · Heavy metal ions · Mineral wastes · Road construction
1 Introduction The problem of the accumulation of industrial and construction waste has been a source of concern for people for many years, and many works by domestic and foreign scientists have been devoted to it [1–3]. Developing industry and an ever-expanding transport network cause the problem of pollution of the hydrosphere and lithosphere by heavy metals [4–6], whose detrimental effects on the body have been proved by medical research [7, 8]. The issue of treatment of wastewater and soils from heavy metal ions (HMI) has been actively raised in recent decades by scientists from various countries [9–11]. In recent years, the problems of waste recycling and environmental cleanup have been approached in an integrated manner, developing ways to solve them simultaneously [12–16]. This study aims to address several environmental issues through the development of new eco-protective technologies: © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 118–126, 2022. https://doi.org/10.1007/978-3-030-96380-4_14
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– treatment of wastewater and soils of traffic arteries from HMI; – recycling of industrial and construction waste; – preventive protection of land and water resources during transport construction. The primary challenge is to prove that some waste can sorb heavy metals entering the soil and water near roads and railways. The next task is to develop ecoprotective technologies with their use.
2 Methods Experiments were carried out in the laboratory and field conditions, the method of ionometry was used. The concentration of heavy metal ions was measured using ionselective electrodes of an Expert-001-1 liquid analyser. Phosphogypsum was chosen as an industrial waste for the study, and the construction waste was a waste of heavy concrete and foamed concrete. All of the substances presented are classified as Hazard Class 4, i.e. they are not harmful to the environment if used rationally. Cadmium, lead and copper were chosen as pollutants for the experiments as some of the main pollutants from transport. Soil samples were loam, sandy loam, and peat sampled in the Leningrad Region.
3 Results Phosphogypsum has a very fine fraction of 0.114–0.315 mm, so for the first experiment to select the concentration of the initial HMI solution (using cadmium ions as an example) construction waste scrap was also crushed to this fraction. As a result of this study (Table 1), the average concentration of HMI in solution was selected for further experiments. For waste with a variation in fraction, a study of the sorption capacity dependence on the fraction was carried out (Table 2), which showed that for concrete and foam concrete a fraction of 0.315–0.630 mm can be used as the most frequently used for sorbents in industrial filters. The next step was to investigate the dependence of the sorption capacity of the waste on the interaction time with the HMI solution (Table 3). The experiment showed that fifteen minutes of interaction is sufficient, as in the case of phosphogypsum the final concentration changes only slightly. Further, under the chosen conditions of the study (concentration of the HMI solution 10–4 − 4 mol/L, a fraction of construction waste 0.315–0.630 mm, time of interaction of waste with the HMI solution 15 min) the sorption capacity of waste for lead and copper ions, polluting roadside areas along with cadmium was determined (Table 4).
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Table 1. Dependence of the static sorption capacity of waste on the initial concentration of the HMI solution Initial concentration of Cd(NO3 )2 3)2 solution mol/L
Phosphogypsum
Final concentration, mg/l
mg/l
Heavy concrete
Foam concrete
Capacity, mg/g
Final concentration, mg/l
Capacity, mg/g
Final concentration, mg/l
Capacity, mg/g
10−6
0.042
0.011
0.003
0.000
0.004
0.000
0.004
10−5
1.620
1.367
0.025
0.000
0.162
0.000
0.162
10−4
12.786
2.195
1.059
0.000
1.279
0.000
1.279
10−3
162.817
57.102
10.570
93.704
6.911
0.000
16.282
10−2
1537.309
663.379
87.393
1341.988
19.532
1003.109
53.420
Table 2. Dependence of the sorption capacity of construction waste on the fraction Waste
Fraction size, mm 0.114–0.315
0.315–0.630
0.630–1.250
>1.250
Heavy concrete
1.279
1.277
1.271
1.212
Foam concrete
1.279
1.276
1.269
1.204
Table 3. Dependence of the sorption capacity of waste on the interaction time with the HMI solution Interaction Phosphogypsum time, h Final Capacity, concentration, mg/g mg/l
Heavy concrete
Foam concrete
0.25
2.195
1.059
0.000
1.279
0.000
1.279
2
2.170
1.062
0.000
1.279
0.000
1.279
6
2.573
1.021
0.000
1.279
0.000
1.279
24
2.322
1.046
0.000
1.279
0.000
1.279
Final Capacity, Final Capacity, concentration, mg/g concentration, mg/g mg/l mg/l
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Table 4. Sorption capacity of waste for different HMIs HMI
Capacity, mg/g Phosphogypsum
Heavy concrete
Foam concrete
Cadmium
1.06
1.28
1.28
Copper
1.28
1.34
1.34
Lead
1.51
1.52
1.52
In order to prove that HMI cleaning is a sorption process and not an ion exchange process, an experiment was carried out to investigate the leachability of the HMI from the reacted waste using heavy concrete as an example. First, the concentration of cadmium ions in the Cd(NO3 )2 solution was determined using ion-selective electrodes, then concrete was added to this solution and the concentration of cadmium and calcium ions was measured after the selected interaction time. Next, we determined the concentration of calcium ions in the CaCl2 solution and added the dried heavy concrete that had previously reacted with the cadmium solution to this solution, and then measured the concentration of cadmium and calcium ions again. Experimental results confirming interaction with HMI through sorption are shown in Figs. 1 and 2.
Concentration of cadmium (II) and calcium (II) ions in solution Cd(NO3)2 120
116.712
C, mg/l
100
Concentration of cadmium (II) ions
80 60 40
31.590
Concentration of calcium (II) ions
22.318
20
1 – before the solution interacts with concrete 2 – after the reaction of the solution with concrete Fig. 1. Absorption of cadmium ions from solution by heavy concrete.
A large-scale experiment was carried out in the field to test the cleaning of soils with waste. The waste was mixed with soil samples in a 1:16 ratio by weight, placed on a
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Concentration of calcium (II) and cadmium (II) ions in solution CaCl2
31.763
35 30
25.405
Concentration calcium (II) ions
C, mg/l
25
of
20 15 0.000
10
Concentration of cadmium (II) ions
1 – before the interaction 2 – after the addition of concrete that reacted with the solution Cd(NO3)2 Fig. 2. No leaching of cadmium ions from absorbed heavy concrete.
cloth over a grid and a lead solution with an initial concentration of 235.875 mg/l was passed through. The contact time in this case was minimal. The filtrate collected at the bottom of the tray was tested for the presence of lead ions. Next, an aqueous extract of dried soil samples mixed with waste was analysed for lead ions leaching from them. The results of the experiments are presented in Table 5. The data in Table 5 show that the leaching of lead ions is extremely insignificant compared to the initial concentration of lead in the solution, which was 235, 875 mg/l. The experiment showed that soils are natural filters in their own right, but the purification capacity of waste is still much higher. In addition, by using the waste as a sorbent, we recycle it and obtain a positive ecological effect, while the removal of soil for this purpose prevents resource conservation and creates a negative ecological effect. Table 5. Efficiency of waste treatment of different types of soil Soil sample
Concentration of lead ions in the water extract, mg/L
Cleaning effect, %
43.441
0.014
81.58
Loam with phosphogypsum
0.760
0.043
99.68
Loam with concrete
0.012
0.017
99.99
Loam
Final concentration of lead ions in the filtrate, mg/l
(continued)
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Table 5. (continued) Soil sample
Concentration of lead ions in the water extract, mg/L
Cleaning effect, %
0.075
0.016
99.97
155.674
0.031
34.00
Loam with phosphogypsum
0.413
0.165
99.82
Sandy clay with concrete
0.060
0.015
99.97
Sandy loam with foam concrete
0.438
0.002
99.81
152.375
3.517
35.40
10.216
0.891
95.67
0.584
0.802
99.75
10.821
0.002
95.41
Loam with foam concrete Loam
Peat Peat with phosphogypsum Peat with concrete Peat with foam concrete
Final concentration of lead ions in the filtrate, mg/l
4 Discussion The found static capacity of the waste with respect to heavy metal ions suggests that it can be used as a sorbent where soils and water runoff are contaminated with heavy metals, whether this is industrial production or areas along transport highways. Based on experiments carried out in the laboratory, it can be concluded that heavy metal removal is more effective at higher concentrations because the static capacity of the waste increases. This means that some industrial and construction waste can be used as sorbents in highly polluted areas. The revealed dependence of the capacity on the fraction of substances showed that the heavy metal purification capacity decreases slowly with increasing particle size of the individual material. We can conclude that surface sorption mechanisms are involved in the process. The more the material is fractured, the more free surface area it has to interact with the pollutant. A short contact time is sufficient for effective HMI water treatment, making the waste material suitable for use both in industrial filters and as backfill in roadside areas. As phosphogypsum, heavy concrete and foamed concrete are calcium sulphatecontaining and silicate-containing substances, there was a possibility that HMI simply replaced calcium ions during the reaction, i.e. the interaction followed an ion exchange mechanism. In this case, the HMIs would just as likely be leached out of the waste that absorbed them into the environment when the reaction flows backwards.
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The experiment showed that the heavy concrete absorbs cadmium ions from the solution and releases calcium ions into the solution during the primary interaction, but the reverse reaction does not occur, and the heavy concrete saturated with cadmium ions does not release them into the solution with the calcium ions. In a soil cleaning study, all wastes absorbed HMI without being leached out of the aqueous extracts. These results exclude the interaction of the waste with the HMI through ion exchange and suggest that absorption takes place on the surface of the substances through a sorption mechanism, by binding and neutralising the hazardous substances, which means that there is no fear of the HMI being released back into the environment over time. The results obtained can be applied to create new eco-protective technologies, including in transport construction. Waste can be used as a sorbent for HMI in drainage channels along railways and roads, both under construction and existing ones. For ease of loading into and removal from the trays at the end of the use period, and also to avoid being washed away by runoff, the fine fraction waste should be wrapped in geotextile (Fig. 3, a). The coarse fraction waste can be loaded directly into the drainage trough (Fig. 3, b).
Fig. 3. Disposal of sorbent waste in a drainage flume (1 - backfill (for example, crushed stone); 2 - geotextile; 3 - sorbent from waste; 4 - perforated tube)
A further use of waste is the creation of an eco-shield during the construction of railways and motorways. When building a slope, topsoil is placed on top of the slope to protect it from water erosion (Fig. 4, left). It is suggested that the waste be mixed with this soil before backfilling begins. Such a screen will protect the soil and runoff of roadside areas from HMI (Fig. 4, right).
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Fig. 4. Placement of an eco-shield on the slope of a motorway
These eco-protective technologies can be combined to provide greater efficiency and longer sorbent lifetime (Fig. 5).
Fig. 5. United ecoprotective technologies
5 Conclusion In the light of all of the above, it can be concluded that research into the discovery of the beneficial ecoprotective properties of industrial and construction waste is justified and should be continued. Accumulated stockpiles of various substances occupy a huge space taken out of nature’s use and threaten soil, water and air pollution, but they also have great potential for resource conservation and are not used only because of ignorance of their potential. They are also very inexpensive compared to traditionally used materials. The use of eco-friendly technologies based on industrial and construction waste in transport construction achieves multiple positive environmental effects.
References 1. Shershneva, M.V., Chernakov, V.A., Bobrovnik, A.B.: Features of geoecoprotective properties’ manifestation of some silicate-containing waste products. IOP Conf. Ser.: Earth Environ. Sci. 272, 022025 (2019). https://doi.org/10.1088/1755-1315/272/2/022025
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2. Sáez, P.V., Del Río, M.M., Porras-Amores, C., et al.: Assessing the accumulation of construction waste generation during residential building construction works. Resour. Conserv. Recycl. 93, 67–74 (2014). https://doi.org/10.1016/j.resconrec.2014.10.004 3. Liu, Y., Guo, D., Dong, L., et al.: Pollution status and environmental sound management (ESM) trends on typical general industrial solid waste. Procedia Environ. Sci. 31, 615–620 (2016). https://doi.org/10.1016/j.proenv.2016.02.111 4. Zhang, J., Wang, X., Zhu, Y., et al.: The influence of heavy metals in road dust on the surface runoff quality: kinetic, isotherm, and sequential extraction investigations. Ecotoxicol. Environ. Saf. 176, 270–278 (2019). https://doi.org/10.1016/j.ecoenv.2019.03.106 5. Pons-Branchu, E., Ayrault, S., Roy-Barman, M., et al.: Three centuries of heavy metal pollution in Paris (France) recorded by urban speleothems. Sci. Total Environ. 518–519, 86–96 (2015). https://doi.org/10.1016/j.scitotenv.2015.02.071 6. Sarı, E., Ça˘gatay, M.N., Acar, D., et al.: Geochronology and sources of heavy metal pollution in sediments of Istanbul Strait (Bosporus) outlet area, SW Black Sea, Turkey. Chemosphere 205, 387–395 (2018). https://doi.org/10.1016/j.chemosphere.2018.04.096 7. Dikilitas, M., Karakas, S., Ahmad, P.: Effect of lead on plant and human DNA damages and its impact on the environment. In: Ahmad, P. (ed.) Plant Metal Interaction. Emerging Remediation Techniques, pp. 41–67. Elsevier (2016). https://doi.org/10.1016/B978-0-12-803 158-2.00003-5 8. Amadi, C.N., Igweze, Z.N., Orisakwe, O.E.: Heavy metals in miscarriages and stillbirths in developing nations. Middle East Fertil. Soc. J. 22(2), 91–100 (2017). https://doi.org/10.1016/ j.mefs.2017.03.003 9. Svatovskaya, L.B., Shershneva, M.V., Puzanova, Y.: Geoprotective properties of hydratebearing solid phases. Geochem. Int. 48(6), 621–623 (2010). https://doi.org/10.1134/S00167 02910060108 10. Pan, J., Gao, Y., Gao, B., et al.: One-step synthesis of easily-recoverable carboxylated biogas residues for efficient removal of heavy metal ions from synthetic wastewater. J. Clean. Prod. 240, 118264 (2019). https://doi.org/10.1016/j.jclepro.2019.118264 11. Rosestolato, D., Bagatin, R., Ferro, S.: Electrokinetic remediation of soils polluted by heavy metals (mercury in particular). Chem. Eng. J. 264, 16–23 (2015). https://doi.org/10.1016/j. cej.2014.11.074 12. Shershneva, M.V., Makarova, E.I., Efimova, N.N.: Minimization of negative impact from solid waste landfills with use of mineral geoantidotes. Procedia Eng. 189, 315–319 (2017). https://doi.org/10.1016/j.proeng.2017.05.050 13. Shershneva, M.V., Makarova, E.I., My, S., et al.: Oil Products absorbing properties of foam concretes. Procedia Eng. 189, 320–324 (2017). https://doi.org/10.1016/j.proeng.2017.05.051 14. Shershneva, M., Sakharova, A., Kozlov, I.: Geoecoprotective screens for road construction and operation in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 347–356. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_36 15. Shershneva, M., Sakharova, A., Anpilov, D., Eremeev, E.: Efficiency evaluation of the use of mineral technogenic substances in geoecoprotective technologies of transport construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 357–367. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0454-9_37 16. Shershneva, M., Kozlov, I., Pankrateva, G., Drobyshev, I.: Geoecoprotective building structures for transport construction using mineral technogenic silicates and their properties. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 319–327. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0454-9_33
Regulation of Foam Stability for Non-autoclave Foam Concrete with Additives of Colloidal Nature Natalia Eliseeva(B)
and Nikolay Eliseev
Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. Practice shows that the performance of foamed concrete is influenced by the properties of the injected foam, including its stability. It was proposed to regulate the stability of the foam, additives of colloidal nature - silicic acid and iron (III) hydroxide sols. The choice of these additives is due to the intended hardening of the foam films through the interaction of the dispersed phase of the ashes with the blowing agent particles. The stability of the foam, including in the cement batter, depending on the quantitative content of these additives was investigated. X-ray phase and derivatographic analyses of D600 foam concrete samples were carried out to evaluate the effect of ashes on hydration processes. The pore structure of D600 foam concrete with silicic acid sol has been investigated by electron microscopy. It was found that the introduction of ash into the foaming agent solution has an effect on the macroporosity of foam concrete: the average pore diameter is reduced and the number of pores with diameters corresponding to the average pore diameter is increased. It has been shown that in the presence of silicic acid sol the foam film thickness separating the air pore from the cement stone in foamed concrete increases significantly. Keywords: Foam stability · Foam stability coefficient in cement test · Silicic acid salt · Iron (III) hydroxide salt
1 Introduction One of the most promising and sought-after building materials is non-autoclaved aerated concrete. In addition, it is known about the possibility of using foamed concrete mixtures and foamed concretes, in the field of geoprotective solutions, including the protection of soils from heavy metal ions and oil products [1–4]. The production of efficient foam concretes, however, is challenging due to the difficulty of ensuring the stability of the cellular structure and high porosity. The stability of the foam concrete mix in the early stages of curing is influenced by the properties of the injected foam, including its stability. There are various options for increasing the stability of the foam and the foam-based mixture. One possibility to increase the stability of the foam is the introduction of additives into the foamer solution. Depending on the type of surfactant used, it is known that the thickness of formed liquid films in the foam can vary from a few units to several © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 127–135, 2022. https://doi.org/10.1007/978-3-030-96380-4_15
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hundred nanometers. Hence, as additives to strengthen liquid films in foam, and hence to regulate the stability of the foam, it is possible to use substances with comparable particle sizes. Such substances are colloidal solutions in the form of sols. Silicic acid sol was widely used in different industries due to its large particle specific surface and high reactivity [5–8]. As is known, the best blowing agents for the production of nonautoclave foam concrete are protein-based blowing agents, [9]. According to R. K. Eiler [10], when the protein and polysilicic acid molecules are combined, hydrogen bonds are created between the nitrogen of the protein and the hydrogen of the hydroxyl group of the silicic acid. Therefore, one of the supplements that can have a positive effect the stability of the foams produced on the basis of the protein foam generator is silicic acid sol. Iron (III) hydroxide sol has been chosen as an alternate addition to adjust the foam stability. Such a choice is substantiated by the ability of iron cations to form six bonds by the donor-acceptor mechanism and complex formation. At the same time, proteins containing SH, NH2 , COO− groups can form complexes with easily polarizable cations. The impact of additives in the form of ashes on the structure and performance characteristics of cement-based materials has been studied in works [11–15]. Therefore, the purpose of this work was to regulate the stability of the dispersion system - foam with the addition of colloidal solutions - sols of silicic acid and iron (III) hydroxide, introduced into the solution of blowing agent. Tasks to be solved: – investigate foam stability and foam stability in the cement batter as a function of the amount of the mentioned additives; – evaluate the effect of the above additives on the hydration processes occurring in foam concrete obtained on the basis of foam with additives. – to study the porous structure of foam concrete based on the foam with the above additives.
2 Methods To obtain the foam, a protein based foaming agent, Foamcem by Laston Italiana Spa, was used. Foam multiplicity on this foaming agent is not less than 13, foam stability not less than 15 min. The concentration of the blowing agent to prepare the working solution was 3%. Silicic acid ash with a specific density of 1.014 g/cm3 , pH = 3–4, and a concentration of the dispersed phase in the ash of 2.5% was applied as the first option of the stabilizing additive in this work. The sol was produced under laboratory conditions on the basis of a liquid sodium glass with a pH value of 12 by the ion swap method. As a second version of the stabilizing additive was used iron (III) hydroxide solwith pH = 2 and the concentration of the dispersed phase of 0.33%. The above iron (III) hydroxide sol was obtained under laboratory experimental conditions as a result of the hydrolysis reaction.
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First, the effect of the amount of dispersed ash phase on foam resistance was evaluated. To do this, solutions of the indicated protein blowing agent were prepared on silicic acid and iron (III) hydroxide sols with different content of the dispersed phase of the sols in the solutions. Foam stability was defined as the time of release of half of the liquid phase from the foam. The liquid phase release time was measured three times, then the arithmetic mean of the three measurements was calculated. Assessment of foam resistance in the cement test was carried out under laboratory conditions according to the following methodology. Equal volumes of foam V foam cement mortar V cem water-cement ratio W/C = 0.4 were mixed by hand within one minute. Then the volume of the porous cement mixture V por cem measured. According to the results of measurements, the coefficient of foam resistance in the cement test C was calculated (1). por
C=
Vcem , Vcem + Vfoam
(1)
X-ray phase and derivatography analyses were carried out to assess the hydration phenomena occurring in foam concrete based on foam containing sols. For research were selected samples of non-autoclaved foam concrete D600 at the age of 28 days, cured in natural conditions. The foam for the control foam concrete sample was prepared with water solution of blowing agent. The second sample of foam concrete was prepared using an aqua solution of foaming agent with the addition of silicic acid ash. The content of the dispersed phase of silicic acid ash was 32 g per 1 m3 . The third test specimen of foam-concrete was prepared using an aqua solution of the blowing agent with the addition of iron (III) hydroxide ash. The content of the dispersed phase of iron (III) hydroxide sol was 17 g per 1 m3 of mixture. Material consumption per 1 m3 of foam concrete mixture D600: Cement - 400 kg, Sand - 170 kg, Water - 211 l, Foamer – 1.75 l. X-ray diffraction patterns were taken on the “Diffray” device on Cu-Kα radiation with a bent coordinate detector. Derivatographic analysis was performed on a DERIVA-PH-3500 instrument of the system by F. Paulik, I. Paulik, and L. Erdey. Studies were conducted in inert crucibles with an air air atmosphere in the furnace of the device at atmospheric pressure. Temperature range was 20–1000 °C and the heating rate was 10 °C per minute. The temperature dependence of thermal effects was determined by the DTA curve, the change in mass from temperature by the TG curve, and the rate of change in mass from temperature by the DTG curve. The pore structure of D600 foam samples obtained with silicic acid sol was investigated using electron microscopy methods. The study was conducted using equipment: a JSM-35CF electron scanning microscope (JEOL), a Link 860 energy dispersive X-ray microanalyzer, as well as sample preparation equipment and a JFC-1100 cathodic sputtering unit (JEOL). Analysis conditions for scanning electron microscope: accelerating voltage –25 keV, probe current –6 · 10−10 A. Analysis conditions for the X-ray microanalyzer: voltage –25 keV, probe current –1 · 10−8 A. The analysis time is 100 s. The samples for the study are prepared in the form of fractures and slices in a cross-section and coated on a cathodic sputtering unit with a thin conductive Au coating (~300 Å).
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3 Results The results of the research of foam stability as a function of the concentration of dispersed phase of silicic acid and iron (III) hydroxide ashes in the blowing agent solution (Figs. 1 and 2) show an increasing stability of the foam.
140
Foam stability
120 100 80 60 40 20 0 0
0.012
0.025
0.049
0.123
0.246
0.491
2.425
ω(SiO2) , % Fig. 1. Foam stability, in the presence of silicic acid sol, where ω(SiO2 ) - concentration of the dispersed phase of silica sol, %
140 120 Foam stability
100 80 60 40 20 0 0
0.003
0.006
0.013
0.026
0.032
0.045
ω (Fe(OH)3),% Fig. 2. Stability of foam, in the presence of iron (III) hydroxide sol
An investigation of foam resistance in the presence of iron (III) ash showed a fourfold increase in foam stability at certain concentrations of the dispersed phase of iron (III) hydroxide ash in the blowing agent solution. The study of foam stability in the cement test showed that the foam stability coefficient in the presence of the studied additives of sols, calculated by the formula (1), increases and reaches a value of 0.98 (Figs. 3 and 4). Figure 3 shows the dependency of the foam resistance coefficient in cement test for the concentration range of the dispersed
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phase of silica sol in the blowing agent solution of 0–0.1%. Although in this range of concentrations the presence of silicic acid sol has no substantial effect on increasing the stability of the foam itself, but has a positive effect on the stability of the foam in the cement batter. Thus, this circumstance allows you to reduce the amount of input additive for the production of foam concrete.
C
1.00 0.98 0.96 0.94 0.92 0.90 0.88 0.86 0.84 0.82
ω (SiO2), % Fig. 3. Resistance coefficient of foaming with silicic acid ash in cement paste C, ω (SiO2 ), %
In order to study foam resistance in the cement test depending on the dispersed phase of iron (III) hydroxide sol concentration in the blowing agent solution, the concentration range corresponding to the maximum of the curve shown in Fig. 2 was chosen. The results of the study are shown in Fig. 4.
C
1.00 0.95 0.90 0.85 0.80 ω (Fe(OH)3), %
Fig. 4. Resistance coefficient of foam with iron (III) hydroxide sol in cement test
Figure 4 shows that the resistance coefficient of the foam in the cement test increases to 0.98 and decreases to a value of 0.91 with increasing concentration of iron hydroxide sol, which agrees with the data obtained for the stability of the foam itself (Fig. 2). In summary, the obtained values of the foam resistance coefficient in cement test using colloidal additives - sols of silicic acid and iron (III) hydroxide in the foaming agent solution indicate high compatibility of the foam with the cement test.
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On the X-ray radiographs for the studied samples of foam concrete D600 revealed lines that belong to portlandite Ca(OH)2 , low-temperature quartz β-SiO2 , tobermorite gel and gyrolite 2CaO-3SiO2 :2H2 O. On the X-ray diffraction of a sample of foam concrete produced on the basis of foam from a solution of blowing agent with iron(III) hydroxide sol, additional lines were detected. They were attributed to the six-water calcium hydroferrite 3CaO-Fe2 O3 -62 O, which is probably formed by the interaction of the dispersed phase of iron(III) hydroxide sol with Ca(OH)2 portlandite. The comparative analysis of X-ray patterns showed that on the X-ray patterns of foam samples with ashes added to the foam, there is a redistribution of the intensity of lines belonging to the tobermorite gel and gyrolite: the intensity of lines of tobermorite gel has increased, while the intensity of lines of gyrolite has decreased. It seems that this distribution indicates a greater amorphization of the solid phase of foam concrete samples, with ashes added to the foam, compared to the control sample. Results of derivatographic analyses of samples of D600 foam concrete shown in Table 1 showed the following. Table 1. Derivatographic analysis of D600 foam samples based on foam with silicic acid and iron (III) hydroxide sols Addition of Endo-effects, ºC blowing agent 110 500 650 800 to the solution Mass loss on effects, %
Total mass loss Total mass loss Amount of gel on effects, % of the sample, water, % %
Noadditive
9.17 1.64 –
7
17.81
22.9
5.09
Silicic acid salt
8.8
5.8
16
20.6
4.6
20.5
8.34
1.4
–
Iron hydroxide 5.05 1.13 1.69 4.29 12.16 salt
The endo-effects in the110 ºC, 500 ºC, and 800 ºC region on the derivatograms of all three foam concrete samples can correspond to the dehydration of portlandite, tobermorite gel, and gyrolite. On the derivatogram of a sample of foam concrete with iron(III) hydroxide sol added to the foam, an endo-effect appears in the region of 650 ºC. The mass loss on the effect in the region of 500 ºC decreases. This possibly indicates the binding of the portlandite with the dispersed phases from the sols into the neoplasms. In addition, there is a decrease in weight loss on the first endo-effect. This could probably be related to a decrease in the amount of gyrolite, which agrees with the results of X-ray phase analysis. The amount of gel water was found to increase for the foam concrete sample as a whole with iron (III) hydroxide sol added to the foam. This agrees with the X-ray phase data showing an increase in the intensity of tobermorite gel lines. The study of pore structure of D600 foam concrete samples based on silicic acid sol by electron microscopy methods showed the following. Introduction of silicic acid ash into the foaming agent solution leads to reduction of average pore diameter from 600 μm (for the control sample) to 520 μm (for the sample with ash). However, the
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shape parameter, which characterizes the degree of elongation of cells Kf = 4S/P2 (S apparent area of the cell, P - its perimeter) did not change and was equal to 0.89. The relative proportion of the area occupied by pores, S/S0, slightly increased: from 49% (for the control sample) to 52% (for the sample with ash). Figure 5 shows the distribution of the macropores according to the size of the samples of foam concrete in the absence and presence of silicic acid sol in the froth.
a
b
Fig. 5. Macropore size distribution (a – Reference sample of foam concrete; b – a sample of foam concrete with silicic acid ash)
From Fig. 5 we can see that when silicic acid ash is introduced into the foam, the pore size distribution peak in the foam concrete shifts towards a smaller pore diameter (D = 520 μ). In this case, the number of pores of average diameter D = 520 μm is 18%, and the half-width of the peak is 0.44 mm. For the control sample of foam concrete the distribution peak corresponds to the average diameter D = 600 μm, the number of pores of average diameter D = 600 μm is 15%, and the half-width of the peak is 0.52 mm. Based on this we can conclude that the introduction of silicic acid ash into the foaming solution has a positive effect on the macroporosity of foam concrete: the average pore diameter decreases and the number of foam concrete pores with diameters corresponding to the average value of D = 520 μ increases.
a
b
Fig. 6. Foam film thickness in samples of D600 foam concrete (a – A reference sample; b – a sample of foam concrete with silicic acid ash)
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Figure 6 shows pictures of the boundary of the cement stone and air pores for samples of foam concrete with foam on aqueous solution of blowing agent and with foam prepared on aqueous solution of blowing agent with silicic acid ash. It has been found that for the control model of foam concrete, the film thickness at the boundary of the pore and cement stone is about 450 nm, while the foam concrete sample based on foam with silicic acid sol has a film thickness up to 3.5 μ, that is, increases by an order of magnitude.
4 Discussion The findings show that adding silicic acid and iron (III) hydroxide sols to the foamer solution can improve the stability of the foam. At this increased values of foam resistance factor in the cement test indicate a high degree of compatibility of the foam with cement test. Thus, the use of the above-mentioned ashes as additives in the foam generator solution may allow reducing the volume of injected foam to obtain foam concrete of a given density, which leads to reducing the consumption of blowing agent. Increased stability foam may also allow for lower slump of low-density foamed concrete mixes, which is important for the improvement of wall insulation materials. Conducted physicochemical investigations showed that the introduction of silica sols and iron (III) hydroxide sols into the solution of protein blowing agent have no negative effect on the hydration processes, and lead to greater amorphization of the solid phase due to growth of the tobermorite gel phase and reduction of the gyrolite phase. The electron microscopy showed an increase in pore dispersion of foam D600 in the present presence of silicic acid sol, which may have a beneficial effect on the operating properties of the foam concrete.
5 Conclusion The efficiency of using additives of colloidal nature to regulate foam stability has been established experimentally. It was proven experimentally that the stability of foam with the addition of silicic acid and iron (III) hydroxide sols can increase up to a factor of four, and the coefficient of foam resistance in the cement batter reaches a value of 0.98. By means of electron microscopy it was found that the addition of silicic acid sol to the foaming agent solution affects the macroporosity of foamed concrete: the average pore diameter is decreased and the number of pores with diameters corresponding to the average pore size is increased. Thus, the application of silicic acid and iron (III) hydroxide as additives to control foam stability should have a positive effect on the operational characteristics of foamed concrete widely used in construction.
References 1. Shershneva, M.V., Makarova, E.I., Savelyeva, M.Y.: Oil products absorbing properties of foam concretes. Procedia Eng. 189, 320–324 (2017). https://doi.org/10.1016/j.proeng.2017. 05.051
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2. Svatovskaya, L.B., Shershneva, M.V., Baidarashvili, M.M., et al.: Foam concrete construction demolished waste. In: Proceedings of the International Conference on Sustainable Waste Management and Recycling: Construction Demolition Waste, Kingston University, London, 14–15 September 2004 (2004) 3. Sakharova, A.S., Svatovskaya, L.B., Baidarashvili, M.M., et al.: Construction wastes application for environmental protection. In: Vilarinho, C., Castro, F., Lopes, M.L. (eds.) The 4th edition of the International Conference Wastes: Solutions, Treatments and Opportunities, Porto, Portugal, 2017. WASTES – Solutions, Treatments and Opportunities II, p. 462. CRC Press, London (2017). https://doi.org/10.1201/9781315206172 4. Sakharova, A., Svatovskaya, L., Baidarashvili, M., et al.: Sustainable development in transport construction through the use of the geoecoprotective technologies. Procedia Eng. 143, 1401– 1408 (2016). https://doi.org/10.1016/j.proeng.2016.06.165 5. Svatovskaya, L., Urov, O., Kabanov, A.: Geoecoprotective technology of transport construction using silica sol absorption method. Procedia Eng. 189, 454–458 (2017). https://doi.org/ 10.1016/j.proeng.2017.05.073 6. Zhang, B., Huang, H., Lu, X.: Fabrication and properties of C/SiO2 composites by silicasolimpregnation-sintering process. J. Alloy. Compd. 789(1), 357–361 (2019). https://doi.org/10. 1016/j.jallcom.2019.03.039 7. Baydarashvili, M., Sakharova, A., Shrednik, N.: Conservation of mineral resources in transport and civil construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 479–486. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_50 8. Kozlov, I.: Silica sol in transport construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 459–468. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_48 9. Hashim, M., Tantray, M.: Comparative study on the performance of protein and syntheticbased foaming agents used in foamed concrete. Case Stud. Constr. Mater. 14, e00524 (2021). https://doi.org/10.1016/j.cscm.2021.e00524 10. Iler, R.K.: The Chemistry of Silica. Willey, New York (1979) 11. Svatovskaya, L., Sychova, A., Sychov, M., et al.: Quality improvement of concrete articles. MATEC Web Conf. 53, 01023 (2016). https://doi.org/10.1051/matecconf/20165301023 12. Svatovskaya, L., Sychov, M., Sychova, A., et al.: New geoecoprotective properties of the construction materials for underground infrastructure development. Procedia Eng. 165, 1771– 1775 (2016). https://doi.org/10.1016/j.proeng.2016.11.921 13. Sychova, A., Sychov, M., Rusanova, E.: A method of obtaining geonoiseprotective foam concrete for use on railway transport. Procedia Eng. 189, 681–687 (2017). https://doi.org/10. 1016/j.proeng.2017.05.108 14. Svatovskaya, L.B., Sychova, A.M., Soloviova, V.Y., et al.: Absorptive properties of hydrate silicate building materials and products for quality and geoecoprotection improvement. Indian J. Sci. Technol. 9(42), 104231 (2016). https://doi.org/10.17485/ijst/2016/v9i42/104231 15. Svatovskaya, L., Britov, V., Drobychev, I.: Modern technologies of a mineral material surface improvement for transport construction. MATEC Web Conf. 239, 01006 (2018). https://doi. org/10.1051/matecconf/201823901006
Artificial Intelligence as a Basic Resource of Modern Transport Infrastructure Liana Chechenova(B) Emperor Alexander I St. Petersburg State Transport University, Moskovsky Prospect, 9, 190031 Saint-Petersburg, Russian Federation
Abstract. Purpose: The purpose of this research is to assess and justify the economic justification for the project of installing cameras using the artificial intellect on the correction machine by cutting fuel costs and shortening the time of operation. Methods: The work was conducted on the basis of research on the present state of the railroad industry in the development of digital technologies with a systematization the main directions of intelligent applications of technology. Methods of mathematical analysis were used to analyze the process of intellectualization of the automated work control system. Results: The measures to computerize the front readiness determination for track dressing machines to maintain the quality of work for track sorting and efficient exploitation of highly productive track machinery have been substantiated. A current state map of the work front readiness process and optimized with the use of intelligent technologies was made. A method is proposed for assessing the economic effect of the introduction of an artificial intelligence camera to determine the readiness of the work front. A calculation is given to justify design measures to reduce fuel costs and the operating time of track equipment. Practical Significance: Fragmentary testing of the results of using artificial intelligence technologies based on a project to install cameras on straightening equipment confirms the possibility of using the main research results when modernizing the track infrastructure of railway transport based on the use of various digital technologies and tools. Keywords: Railway transport · Infrastructure · The introduction of intelligent technologies · Effects
1 Introduction The digital transformation of the transport industry is becoming an inevitable process of adapting business to the new realities and preferences of the digital world, as the dynamics of changes in modern consumer preferences and the way they consume goods and services are a determining factor of digital transformation (Fig. 1). Digitalisation is gaining momentum every year, which cannot but affect the emergence of new business models, changing market supply and demand, the transformation of industries and inter-industry cooperation. It is possible to talk globally about the transformation of not only individual industrial and production structures, but to consider the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 136–144, 2022. https://doi.org/10.1007/978-3-030-96380-4_16
Artificial Intelligence as a Basic Resource Optional features: - thinking, - fixation in memory, - speech recognition, - analysis, - problem solving Growth of investments in unmanned transport technologies
Artificial intelligence in transport Decree of the President of the Russian Federation No. 490 dated 10.10.2019 "On the development of artificial intelligence in the Russian Federation"
137
Technologies: - smart rails, - digital license plates, - traffic control, - unmanned transport Projected savings the transport industry as a result of the introduction of artificial intelligence (unmanned transport) by 2025, $ 173 billion.
Fig. 1. Artificial intelligence in transport. Source/Source: compiled by the author on the basis of data [1].
conversion of sectors and economy as a whole. In the long term, digitalisation will be an important source of growth acceleration under various scenarios for the Russian economy. We are witnessing an active development of innovative approaches and issues of intellectualisation of infrastructure facilities, introduction of high-tech control systems, navigation, recognition, informatisation, which, above all, ensure safety of business processes, save time, increase the quality of service provision, and create comfortable working conditions. Today, most of the social structures and relationships are mediated by digital technologies. The development of the production and service sectors is impossible without the integration of modern technical equipment and intelligent systems, which proves the relevance of the research being carried out.
2 Methods Today, the main challenges for transport organisations are to ensure safe and efficient transport, which is predetermined by increasing passenger mobility and freight volumes, and to minimise the negative environmental impact of transport systems. In our opinion, intelligent systems have every chance to comprehensively solve these problems, since they link together the results of innovative developments, the latest design methods, the features of satellite geotechnology and other innovative achievements. Considering the strategic nature of railway transport development, it is necessary to note the key position held by the process of infrastructural intellectualisation and its positive impact on the business processes implemented in the industry. Our analysis of its current state in the railway industry in the development of digital technologies has enabled us to organize the main directions of the application of intelligent technologies in the field of rail transport, based on the strategic objectives of the holding and the national objectives of the state (Table 1). The main innovative projects to implement intelligent systems in railway transport can be roughly divided into implemented projects, such as Smart Locomotive and Smart Train, as well as promising technologies with an implementation date of up to 2025. - Machine vision” technology, “Car driver on freight and passenger trains”, “Speech recognition technology”, “Cognitive Rail Pilot”, etc. It should be noted the originality
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of “Cognitive Rail Pilot” technology, which has no equivalents in the whole world. The joint development of Sberbank and Cognitive Technologies involves the creation of an “assistant driver” based on an artificial intelligence system, which will eliminate driving errors and help avoid accidents. “Cognitive Rail Pilot detects the presence of pedestrians, trains, position of points, semaphore signs, the right track, etc., and automatically detects and transmits the geographical location of the locomotive to the dispatcher to an accuracy of 30 cm. Currently, the staged introduction of this technology implies installation of this system on 10 locomotives and pilot operation activities on Russian Railways’ operating districts with a subsequent certification procedure and passenger transport integration. Table 1. Possibilities of using intelligent technologies in railway transport. Source: prepared by the author. Artificial intelligence technologies Natural language processing
Software robots
Technical vision
Application in «Russian Railways» conversational artificial intelligence automating the processing of standard forms automating template operations
traction rolling stock
infrastructure Intelligent decisionmaking Self-driving vehicles
rolling stock, infrastructure transportation management traction rolling stock
Scope of application voice message reception, speech aggregation robotization of application processing technical support, preparation of reporting forms, maintenance of regulatory and reference information, technical support, preparation of reporting forms, maintenance of regulatory and reference information equipment for maneuvering locomotives by a pilot with technical vision,video identification systems for car numbers object state diagnostics based on neural networks predictive diagnostics. maintenance, repair indicative service intelligent assistant to the maneuvering dispatcher driving a locomotive with the help of unpopulated technologies
Effects
Priority tasks
optimizing the processing of user requests
optimization of internal document flow
increase in throughput by reducing accidents
1. End-toend application of artificial intelligence technologies in all business processes of the Company 2. Monetization of digital assets
optimization of the transportation process
The study in progress focuses on projects for the introduction of intelligent automated systems for monitoring the operation of special rolling stock. The initial functions of the computerized work control system are the processes for: – fixing the real location of a track vehicle or a special rolling stock with a reference, – registration and indication of the presence of a wireless signal, – determination of fuel consumption taking into account the established norms,
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– registration of the time and place of the beginning and end of the work performed by the track machine or special rolling stock for the intended purpose, – transfer of all registration data to the automated control system for the operation and maintenance of special rolling stock. Every day, several million digital messages are received from on-board equipment, each of which provides objective information on machine performance at a given point in time. Over 3 years, large amounts of data have been accumulated, which make it possible not only to make an instant assessment, but also to see the tendency for the development of defects or improper operation of equipment. In order to improve traffic safety and the quality of road infrastructure, the application of an automated work control system as an information base with mapping of parameters of other systems, using artificial intelligence technologies - video recognition systems of readiness of the work front is being considered. Artificial intelligence cameras should solve the problem of automating the detection of front readiness for straightening machine operation to ensure the quality of straightening work and efficient operation of high-performance track machines. In Fig. 2 shows a map of the current state of the process of determining the readiness of the work front and the optimized one (Fig. 3), where cameras with artificial intelligence are used.
Fig. 2. - Mapping the process of determining the readiness of the front of work before the introduction of artificial intelligence technology
Fig. 3. - Mapping the process of determining the readiness of the work front after the introduction of artificial intelligence technology
The average need for repeated track alignment due to the track complex entering an unprepared track front is 3.4 times. It implies that after initial straightening of the track, the machine is forced to straighten the path more than 4 times, which incurs significant fuel costs (Table 2). By upgrading the dressing machines with cameras with artificial intelligence, it is possible to determine the readiness of the work front for dressing operations in good
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Table 2. Costs for diesel fuel before project implementation. Source: prepared by the author. Name
Units
Amount
Diesel fuel costs for 1 pass per 1 window
rubles
3058,02
Number of click-throughs before the project is implemented
pc
3,4
Number of windows per year per track car
pc
218
Total amount
thousand rubles
2266,6
time, thanks to the installed software. If the front of the work is not prepared, the camera will signal the inadmissible execution of the work. The issue of making a judgment about the lack of preparation of the front of the work should be removed from the subjective assessment of metrics in the objective. This requires translating the decision-making factor on front-end readiness from a qualitative to a quantitative value, and thus making it comprehensible to artificial intelligence.
3 Results Methods for assessing the cost-effect of implementing a camera with AI to determine the availability of the front of work provides an algorithm, shown in Table 3. Table 3. Methodology for assessing the economic effect of the introduction of an artificial intelligence camera. Source: prepared by the author. Expert assessment of specialists of Departments, the Oktyabrskaya Railway, the North-Western Directorate for the Operation of Track Machines Main railway track
Feasibility study of the project and calculation of key indicators
Railway station track
OBJECTS Transponder station track EFFECTS
Benchmarking based on open source data
Sorting railway track
Cost reduction for reReducing the working Ensuring routing time traffic safety of track vehicles in the «window» CONSUMERS – «RUSSIAN RAILWAYS»
In assessing the impact of implemented digitalisation projects on economic growth, we are guided by the cost-benefit ratio of innovative projects. The economic effect of the AI camera installation project on the haulage vehicle is formed by reduced diesel costs, reduced window times due to the absence of overruns. (Table 4).
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Table 4. Economic effect of the project implementation. Source: prepared by the author. Cost name
Pre-sale costs Post-sale costs Economic impact
The cost of diesel fuel for 1 pass per 1 window, thousand rubles
3.058
3.058
–
Working time per window, hour
3
1
+2
The number of windows per year per track 218 car (according to the Tosno mechanized distance of infrastructure)
218
–
The cost of purchasing and installing the camera (1 unit), thousand rubles
–
350
−350
Total amount, thousand rubles
1 999.93
1 016.65
983.28
Having analysed the work of the dressing facility for the period 2018–2020 in the Tosno Mechanised Infrastructure Department, it is recommended that 8 cameras be installed on the dressing and straightening machines (STRs) with artificial intelligence to determine the readiness of the work frontage. The estimated annual amount of track works for the dressing system is about 4950 km. with an annual average yield of 8 RSM machines - 593 km. The projected annual economic effect of introducing an intelligent system for monitoring the work of special rolling stock as part of the project to upgrade the automated work monitoring systems being implemented at the Tosno mechanised infrastructure department is RUB 7,866,24 thousand.
4 Discussion Within the framework of this study, an analysis of the discussion on the digitalization of the transport industry has been carried out. The efficacy of intelligent traffic processes is supported by a series of studies, as they are the ones that help optimize cost and time of the traffic process. Research shows that artificial intelligence is the dominant feature of digital transport development. This issue is visually investigated in the following works. For example, the authors [2] have proposed a traffic management algorithm based on the concept of intelligent logistics with a 37% reduction in average waiting times, which confirms the importance of finding optimal solutions for the use of intelligent systems to improve the quality of road works. We also drew on the business process optimisation method and processes of decisionmaking, focusing on the management of data flows through the Life cycle of digital production development using the development of a methodology to assess the costeffect of the introduction of the artificial intelligence camera [3]. The writers focus on the results of recent studies covering smart businesses powered by cyber-physical based systems and rely on data from Accenture, CompTIA, Omdia, and PwC. The solution to the problems of improving the management system of transport business processes is presented in [4], where the authors review modern transport logistics
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monitoring systems and propose measures to improve the efficiency of the freight car monitoring system by using an electronic control unit based on geolocation technology integrated into the car, which will signal the cargo condition in active and passive form. The authors substantiated the economic feasibility of introducing this system into European rail freight transport and the prospects for the development of rail transport in the context of Industry 4.0. A new paradigm of transport artificial intelligence is formulated in [5], where the capabilities of railway marshalling robotics are revealed, a cyber-physical system using the Internet of Things and multi-agent ideology is modelled, a control algorithm for robotic unmarshalling is given and a mathematical model of their interaction is developed, which significantly extends our field of knowledge in terms of modelling intelligent systems in transport. The issues of traffic safety and road infrastructure improvement that we are investigating can be extended to take account of the findings of the study [6]. This paper presents an assessment analysis of the indicators of the state of road safety, which prefigures the algorithm of measures to provide safety by using economic criteria for the efficiency of railway company management. The authors [7] in the continuation of the safety issues propose the algorithms and technologies of the noise analysis with the generation of appropriate collections of informative attributes of artificial intelligence in purpose of predictive control of the latent emergency case. In [8], based on the analysis of global and domestic experience, the need to create an electrical complex to control key parameters during transportation to improve their efficiency and safety, safety of transported cargo to monitor the condition of the rolling stock and transported cargo in real time is shown. The security issues of exchanging information are provided in a review of smart traffic systems based on telecommunications, with a special emphasis on providing security and system fault-tolerance [9]. In the transport network, these problems are extremely acute in connection with the specifics of the operation of transport networks, which requires the use of special protective mechanisms. The information processing methods we use can be deepened taking into account the research results [10]. This article presents the results of a mathematical description of the process of freight transport by rail on exit routes. The parameters that reflect the state of the time, rate and cost of the real performance of freight transportation are modeled, which enables timely detection and reaction to the risk caused by the interplay between adjacent subjects and transportation facilities. The algorithm for reacting to a decrease in speed has been determined. It is substantiated that the efficiency of transportation is ensured by the level of development of the transport and logistics system as the infrastructure of the new technological mode. The hypothesis of cost-benefit optimisation resulting from the implementation of innovative projects is confirmed in the analysis of the energy strategy for the development of railway transport [11]. The researchers consider improving the energy performance of rolling stocks using an Integrated traction drive management based on modern smart technologies. Alternative options for economical resource management are presented in [12], which analyses adaptive freight routes with the need to invest in information and communication digital technologies.
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5 Conclusion The research confirms that the world’s digital growth is substantial. The analysis of the current state of the level of digitalisation of the railway industry and the synthesis of the main areas of sustainable development of railway transport with the possibility of applying artificial intelligence technologies allows further predicting the movement of business processes, taking into account the integration of digital technologies and tools [13]. Transport systems are actively moving towards a ‘smart railway’, which offers the opportunity to form a new business model with smart technology, a high rate of return, time savings and the possibility to use them widely in the development of railway transport systems.
References 1. Allied Market Research (2013) The AMR register. https://www.alliedmarketresearch.com. Accessed 2 Sept 2021 2. Zhuravleva, N., Volkova, E., Solovyev, D.: Smart technology implementation for road traffic management. E3S Web Conf. 220, 01063 (2020). https://doi.org/10.1051/e3sconf/202022 001063 3. Clark, A., Zhuravleva, N.A., Siekelova, A., et al.: Industrial artificial intelligence, business process optimization, and big data-driven decision-making processes in cyber-physical systembased smart factories. J. Self Gov. Manag. Econ. 8(2), 28–34 (2020). https://doi.org/10.22381/ JSME8220204 4. Balog, M., Sokhatska, H., Iakovets, A.: Intelligent systems in the railway freight management. In: Trojanowska, J., Ciszak, O., Machado, J.M., Pavlenko, I. (eds.) MANUFACTURING 2019. LNME, pp. 390–405. Springer, Cham (2019). https://doi.org/10.1007/978-3-03018715-6_33 5. Shabelnikov, A.N.: Railway sorting robotics. In: Kovalev, S., Tarassov, V., Snasel, V., Sukhanov, A. (eds.) IITI 2019. AISC, vol. 1156, pp. 616–622. Springer, Cham (2020). https:// doi.org/10.1007/978-3-030-50097-9_63 6. Kazanskaya, L., Shaykina, E.: Management and economic efficiency criteria in the organization of safe rail transportation. E3S Web Conf. 157, 05007 (2020). https://doi.org/10.1051/ e3sconf/202015705007 7. Aliev, T., Babayev, T., Alizada, T., et al.: Control of the beginning of accidents in railroad operation safety systems in seismically active regions using the noise technology. Transp. Prob. 14(3), 155–162 (2019). https://doi.org/10.20858/tp.2019.14.3.14 8. Zaitsev, A., Krylov, A.V., Romen, Y., et al.: An intelligent system for electronic support of transit and sanctioned cargo. Russ. Electr. Eng. 90(10), 685–691 (2019). https://doi.org/10. 3103/S1068371219100092 9. Elagin, V., Spirkina, A., Buinevich, M., et al.: Technological aspects of blockchain application for vehicle-to-network. Information 11(10), 465 (2020). https://doi.org/10.3390/info11 100465 10. Zhuravleva, N.A., Gulyi, I.M., Polyanichko, M.: Mathematical description and modelling of transportation of cargoes on the base digital railway. Vide Tehnologija Resursi – Environ. Technol. Resour. 2, 175–179 (2019). https://doi.org/10.17770/etr2019vol2.4049 11. Zaitsev, A., Evstaf’ev, A.M., Pegov, D.V., et al.: Intelligent technologies applied to increase the energy efficiency of electrified direct-current rolling stock. Russ. Electr. Eng. 88(10), 676–680(2017). https://doi.org/10.3103/S1068371217100169
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12. Hasgul, Z., Aytore, C.: Road selection for autonomous trucks in Turkey with fuzzy AHP. In: Kahraman, C., Cevik Onar, S., Oztaysi, B., Sari, I.U., Cebi, S., Tolga, A.C. (eds.) INFUS 2020. AISC, vol. 1197, pp. 582–590. Springer, Cham (2021). https://doi.org/10.1007/978-3030-51156-2_67 13. Gulyi, I.: Economic assessment of the implementation of distributed data registry platforms in multimodal transport. E3S Web Conf. 220, 01068 (2020). https://doi.org/10.1051/e3sconf/ 202022001068
A Study of the Interaction Between Rail and Maritime Transport Guzel Nikiforova(B) Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., 190031 Saint Petersburg, Russian Federation
Abstract. Transfer of cargo traffic in logistics delivery chains implies the use of adjacent modes of transport. The interaction of the railway station and the seaport as complex technical objects involves the identification of a number of interaction factors that can be differentiated into three groups. Factor analysis at the initial stage requires the construction of a descriptive model of the interaction process. The analysis of the information factor showed that the number of documents during the transfer of cargo flow between the port and the station increases over time, this is also facilitated by the emergence of new participants logistics processes. The spatial combination of railway and sea transport devices provides three main schemes, which in the future largely determine the technology of operation of the butt points. Transfer of cargo flow from one mode of transport to another implies the transformation of quantitative and temporal characteristics. A terminal at the interface between different modes of transport is needed to transform these characteristics. In the descriptive modeling phase, it is concluded that parallel systems of interconnected transport modes and terminal complexes need to be developed. The descriptive model of port and station interaction formed the basis of factor analysis. For this purpose, the information is presented as a standardized matrix. The rows of the matrix correspond to observational objects, columns to the features represented as a statistical series. Matrix coefficients are factor loads that can be determined during the refinement of specific parameters. Keywords: Logistic process · Transfer of cargo flow · Interaction of adjacent modes of transport · Port station · Seaport · Terminal · Descriptive model · Factor analysis · Document flow · Transmission algorithm imported cargo traffic
1 Introduction The investigation of the interaction of related transport modes acquires particular importance in the development of international transport corridors. At the same time, it is important to use the huge potential of the geographical position of the Russian Federation and its transport system. Thus, different modes of transport in the domestic market of transport services should be considered not only as competing participants, but as partners – representatives of logistics delivery chains of goods. Interaction of related modes of transport has been widely researched in the works of scientists in recent years [1]. Traditionally, railway and road transport compete in the terminals of major ports © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 145–152, 2022. https://doi.org/10.1007/978-3-030-96380-4_17
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when transmitting cargo traffic [1, 2]. Methods of choosing the optimal route of transportation based on the analysis of important operational and environmental variables have been developed. Various methods are used to increase the efficiency of interaction of adjacent modes of transport, such as game theory [3], optimization methods [4], stock management theory [5], etc. Features of specific logistics supply chains largely determine the choice of transport mode, route, carrier and so on. However, there is an increasing interest in rail transport in recent years [6], especially in container transport. The junction point in the interaction between rail and sea modes is the “port station” system. It is the work of this system, analysis of factors of interaction and specificity of problems that require careful and in-depth research. Any logistics chain of delivery of goods can be considered as a combination of terminal services and cargo deliveries, so with the participation of railway and sea transport great attention is given to the development of terminals [7] and so-called “dry ports” [8, 9]. In this work, the analysis of the interaction between the railway station and the seaport will be carried out, descriptive and factor model of the specified process is constructed.
2 Methods The study of the interaction between the station and the port is carried out in three main areas: information transmission, traffic promotion and spatial configuration of technical devices. Descriptive models of document flow of import traffic promotion are constructed, three main schemes of combination of equipment of railway and sea technical facilities are described and analyzed transport, built a model of factor analysis of this process. The promotion of cargo traffic in the logistics chains of delivery is inevitably connected with the interaction of various transport participants. Even when the cargo is transported by one mode of transport, the cargo flow is transferred from the terminal warehouse to the vehicle at the beginning of transport and from the vehicle to the terminal at the end of the transportation. Typically, several modes of transport are involved in logistics chains, with the transfer and conversion of cargo flow from one mode of transport to another occurring through the terminal. A direct version of the transfer of cargo flow according to calculations [10] is not beneficial to a carrier. The promotion of freight traffic using railway transport, as a rule, due to the specifics of its work is associated at some stage with the transfer of goods to road or water transport. At the same time, the cargo terminal will serve not so much for cargo storage, but for the conversion of cargo traffic. That is why there is an increasingly reasonable need for the construction of “dry ports”.
3 Result When interacting different modes of transport, several factors can be identified that affect the work on the movement of cargo traffic to a large extent (Fig. 1). Analysis of each type of interaction factor allows to identify several problems. Before the material flow is formed, planning, transfer of data about the upcoming transport etc. has to be done. The problem of transmission and processing of information flows solves
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Fig. 1. Factors of interaction between rail and sea transport (Fig. 1 indicates: SS – marshalling yard; P – port station)
the complexity of technical means and devices, increase their capacity, introduction of the latest technologies in the field of data transfer, digitalization of cargo transportation. By the form in which information is transmitted, today we can judge the level of equipment of the carrier, its competitiveness in the market of transport services. However, even the latest technologies for information transfer do not allow the complete abandonment of paper documents for the goods carried. Figure 2, 3 presents a descriptive model of document flow accompanying the transfer of imported cargo from sea to rail transport. The spatial combination of devices involves placing the port station and port approaches according to three main schemes: – the location of the port station and the path to the port perpendicular to the port coastline; – location of the port station and the path to the port at an angle to the port coastline; – the location of the port station parallel to the port coastline. For the maintenance of sea and river ports when transshipment of goods from the railway to the sea transport and back, there are provision for port stations of the common railway network, special port stations or district parks within the port. When choosing a service scheme, the number of berths, the distance between the port and the marshalling yard and the size of the annual cargo turnover of the port is taken into account [11]. Modern trek to transport systems assumes that the railway station or seaport is not just a point of origin and repayment of cargo flows, but a link in logistics chains of delivery of goods.
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Fig. 2. Descriptive model of documentary support of imported cargo from the moment of arrival of the vessel until the transfer of documents to the company transport service agency (AFTO)
The transmission factor of cargo flow can also be investigated and highlighted the main problems. The operation of a major seaport involves many stevedoring and forwarding companies, each of them acting as a separate shipper and consignee, complicating the structure of the cargo flow. Larger differentiation allows you to structure the cargo flow into incoming and outgoing. The dimensions of the consignments differ in their parameters on the sea and railway modes of transport. The cargo capacity of the vessel is on average 20 thousand tons and above, that is, the port receives a large lot of cargo, which must be transported to another mode of transport to the railway or automotive. At the same time, one railway structure can accommodate an average of 2,000 tons. Thus, the tendency to increase the capacity of container ships entails the need to address the problems of processing cargo flows at ports. Recent developments show that despite the obvious advantages of construction and operation of ships of mega-container ships, there are features that can significantly complicate the advance of cargo flows. For example, a vessel that ran aground in the Suez Canal already according to experts estimates could lead to losses of about 230 billion dollars. A vessel with a capacity of 23756 TEU (twenty-foot equivalent unit) blocked the advance on the channel linking Europe and Asia, disrupting the timing of cargo deliveries through other logistics chains. This will
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affect not only maritime transport, as well as related modes of transport and terminal operations, but somewhat later. It could also affect rising energy prices in the global market. This raises the challenge in optimizing the capacity of container ships due to the capacity of the terminal of the port of departure and arrival, the estimated capacity of the “bottlenecks” in ways of follow, features of the work of adjacent modes of transport.
Fig. 3. Descriptive model of documentary maintenance of imported cargo from the moment of receipt of documents to the company transport service agency (AFTO) to the moment of departure of the train.
The capacity of vehicles of interacting modes of transport technologically reveals the following problem - the temporary characteristics of the operation of railway and sea transport. The interval between the arrival of ships at the port is several times the interval between trains. At the same time, it is necessary to take into account the fact that the work of rail transport is less affected by natural disasters, this mode of transport is not seasonal. The initial stage of constructing a mathematical model is to create a descriptive model of port and station operation [11–13]. This is the most important stage of modeling, because it allows you to achieve the adequacy of the model on the one hand and eliminate unnecessary complexity on the other. Visually, such a model can be reflected in the form of an algorithm [11, 14, 15].
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For factorial analysis, the information must be represented as a two-dimensional table of numbers of dimension m x n. The rows of this matrix must correspond to observational objects i = 1, 2, n, columns features j = 1, 2, m. Each feature is presented as a statistical series in which observations vary from object to object. The features characterizing the object of observation tend to have different dimensionality to eliminate the effect of dimensionality the matrix of the original data normalize by introducing a single scale. The most common type of rationing is standardization. From xji variables go to variables zji = (xji − x)/s j. The basic model of factor analysis is as follows: zj = aj1 F1 + aj2 F2 + ..... + ajp Fp + dj Uj
(1)
where zj is the j trait (random variable); F1 , F2 , Fp —common factors (random variables having normal distribution law); Uj - characteristic factor; aj1 , aj2 , ajp - factor loads that characterize the materiality of the influence of each factor (i.e., those model parameters that are subject to definition); dj - the load of the characteristic factor. The model assumes that each of the j features included in the studied set and given in standard form can be represented as a linear combination of a small number of common factors F1 , F2 ,…, Fp (p < m) and characteristic factor Uj . Factor loads aj1 , aj2 , ajp characterize the magnitude of influence of a particular factor in the variation of this trait. The main task of factor analysis is to determine factor loads. The factor model is approximation, so the parameters of the model must be chosen so as to best approximate correlations between observed traits. For the j feature and I object, the model (1) can be written as: p ajk Fki + dj Uji (2) zij = k=1
where Fki is the value of k factor for i object (i = 1, 2, n, j = 1, 2, m). The variance of the feature sj2 can be decomposed into components: part caused by the action of common factors - commonality h j2 and the part due to the action of the characteristic factor j- character dj2 All variables are represented in standardized form, so the variance of j-th trait sj2 = 1. The variance of the trait can be expressed through factors and factor loads. If general and characteristic factors are not correlated, then the variance of the j trait can be represented as 2 2 2 2 + aj2 + . . . + ajk + . . . + ajp + dj2 sj2 = 1 = aj1
(3)
where ajk 2 is the fraction of the variance of the trait zj attributable to k-th factor. The full contribution of k factor to the total variance of traits (k = 1, 2, p): m 2 Vk = ajk
(4)
Contribution of common factors to total variance p V = Vk
(5)
j=1
k=1
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For each of the parameters based on (1), you can write the following: z1 = a11 F1 + a12 F2 + ..... + a1p Fp + d1 U1 z2 = a21 F1 + a22 F2 + ..... + a2p Fp + d2 U2 zm = am1 F1 + am2 F2 + ..... + amp Fp + dm Um1
(6)
System coefficients (6) are factor loads that can be represented as a matrix. Each row of such a matrix will correspond to the parameter, and the column corresponds to the factor. The result of the research of this article was the justification of the relevance of studying aspects and technology of interaction between railway and sea transport. The functioning of the interfaces between adjacent transport modes implies the operation of complex technical facilities - a seaport and a railway station. The identification of the three main factors of interaction problems made it possible to achieve the adequacy of the future model on the one hand and avoid excessive complexity on the other. The construction of a descriptive model of interaction factors is carried out on the example of document flow and transfer of imported cargo traffic from the seaport to the railway station. These descriptive models formed the basis of the next stage of modeling, factor analysis.
4 Conclusions In the course of the study, the three main factors of interaction between rail and sea transport are — information transfer, transmission of cargo traffic and spatial combination of devices. The article substantiates the importance of terminals in the promotion of cargo traffic by adjacent modes of transport, because the cargo flow changes its characteristics when transferring from one mode of transport to another. The construction of a descriptive model of transfer of imported cargo traffic with unloading on the direct version showed possible unproductive downtime of wagons in anticipation of loading. Cargo processing at the terminal will avoid this problem. The construction of a descriptive model of document flow allowed to move to the model of factor analysis. The factor analysis model, which is a matrix, requires further investigation to determine factor loads.
References 1. Caramuta, C., Giacomini, C., Longo, G., Montrone, T., Poloni, C., Ricco, L.: Integration of BPMN modeling and multi-actor AHP-aided evaluation to improve port rail operations. Transp. Res. Procedia 52, 139–146 (2021). https://doi.org/10.1016/j.trpro.2021.01.015 2. Zhang, Q., Wang, W., Peng, Y., et al.: Impact of rail transport services on port competition based on a spatial duopoly model. Ocean Coast. Manag. 148, 113–130 (2017). https://doi. org/10.1016/j.ocecoaman.2017.06.008
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3. Kurtulu¸s, E., Cetin, I.B.: Analysis of modal shift potential towards intermodal transportation in short-distance inland container transport. Transp. Policy 89, 24–37 (2020). https://doi.org/ 10.1016/j.tranpol.2020.01.017 4. Prata, J., Arsenio, E.: Assessing intermodal freight transport scenarios bringing the perspective of key stakeholders. Transp. Res. Procedia 25, 900–915 (2017). https://doi.org/10.1016/j. trpro.2017.05.465 5. Adler, N., Brudner, A., Proost, S.: A review of transport market modeling using game-theoretic principles. Eur. J. Oper. Res. 291(3), 808–829 (2021). https://doi.org/10.1016/j.ejor.2020. 11.020 6. Sergeeva, T.G.: Improvement of private wagon fleet management. Proc. Petersburg Transp. Univ. 16(3), 449–454 (2019). https://doi.org/10.20295/1815-588H-2019-3-449-454 7. Özer, M., Canbay, M., Kırca, M.: The impact of container transport on economic growth in Turkey: an ARDL bounds testing approach. Res. Transp. Econ., 101002 (2020). https://doi. org/10.1016/j.retrec.2020.101002 8. Kreutzberger, E., Konings, R.: The challenge of appropriate hub terminal and hub-and-spoke network development for seaports and intermodal rail transport in Europe. Res. Transp. Bus. Manag. 19, 83–96 (2016). https://doi.org/10.1016/j.rtbm.2016.05.003 9. Šakalys, R., Batarlien˙e, N.: Research on intermodal terminal interaction in international transport corridors. Procedia Eng. 187, 281–288 (2017) 10. Xuan, Q., Chung-Yee, L.: Quantity discount pricing for rail transport in a dry port system. Transp. Res. Part E: Logistics Transp. Rev. 122, 563–580 (2019). https://doi.org/10.1016/j. tre.2019.01.004 11. Kovalev, K.E., Kizlyak, O.P., Galkina, J.E.: Automation of management functions of operational personal of railway stations. In: International Multi-Conference on Industrial Engineering and Modern Technologies (FarEastCon), Vladivostok, 1–4 October 2019 (2019). https:// doi.org/10.1109/FareastCon.2019.8933836 12. Pokrovskaya, O., Orekhov, S., Kapustina, N., et al.: Formation of logistics facilities in transport corridors. IOP Conf. Ser. Mater. Sci. Eng. 918, 012032 (2020). https://doi.org/10.1088/1757899X/918/1/012032 13. Nikiforova, G.I.: Construction of a descriptive model of the logistics chain for the delivery of goods in the interaction of rail and sea transport. Proc. Petersburg State Transp. Univ. 17(4), 545–551 (2020). https://doi.org/10.20295/1815-588X-2020-4-545-551 14. Nikiforova, G.I.: Interaction of rail and maritime transport in the delivery supply chain of overseas trade cargo traffic. Proc. Petersburg Transp. Univ. 16(3), 339–346 (2019). https:// doi.org/10.20295/1815-588H-2019-3-339-346 15. Pokrovskaya, O., Kurenkov, P., Khmelev, I., Goncharenko, S.: Evolutionary and functional development of transport nodes. IOP Conf. Ser. Mater. Sci. Eng. 918, 012033 (2020). https:// doi.org/10.1088/1757-899X/918/1/012033
Method of Reducing Frontal Aerodynamic Drag of the Pipeline Transport Vehicle Konstantin Kim(B)
and Yan Vatulin
Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. Negative effects are investigated, namely the increase in aerodynamic drag resulting from the “piston” effect, which is manifested when the pipeline transport crew is moving. We propose a way to compensate for these effects, based on the formation of a movable local area of the rarefied zone directly at the crew location by the turbine unit installed on its board. As a result of modeling using computational fluid dynamics methods, the formation of a rarefied air environment directly in front of the moving crew during the operation of the onboard turbine unit has been confirmed. This method avoids the need to maintain the vacuum in the pipeline along the entire route and largely avoids the effects of the “piston” effect. Shows that the cross-sectional area of the pipeline can be significantly reduced by increasing the blockage factor which is defined as the overlap area of the crew cross-sectional area of the inner pipeline cavity by the shape of the crew. Since, when the crew is moving, the main mechanical load caused by the jump in airflow pressure is taken by the supporting body of the crew, the requirements to the strength of the hull elements of the pipeline can be significantly reduced, which significantly reduces the cost of capital construction of the latter. Keywords: Pipeline transport · Vehicle · Aerodynamic drag · “Piston” effect · Turbine unit
1 Introduction The particular attention should be paid to the development of the transport systems using the magnetic suspension of the vehicle, a traction linear electric motor and an intelligent automated system of vehicle stabilization and the movement of the vehicle in pipeline. The rarefied atmosphere is created (in the extreme case - technical vacuum) in this pipeline [1–9]. A variant of such a system is shown in Fig. 1. On the inner surface of the tube 1 is the stator of the traction line electric motor with inductor winding 2 and distributed three-phase winding 3. The system of short-circuited coils 5 is mounted on the vehicle 4. The stator consists of electrically unconnected separate segments. All segments are performed in the same way - the inductor winding 2 is located at the beginning, after which the three-phase winding Sect. 3 begins. The pole division of the three-phase winding 3 (τ) is equal to the distance between adjacent short-circuited coils 5 [10–14]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 153–161, 2022. https://doi.org/10.1007/978-3-030-96380-4_18
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The duration of any of the stator segments is equal to the length of time vehicle 4 is within that segment. At this time interval, inductor 2 and three-phase 3 segment windings are connected to single-phase and three-phase sinusoidal current power sources with a period of T = 2τ v , where v is the local speed of the vehicle 4. Adjustment of the inductor winding current 2 is carried out so that it reaches a maximum at the moment when the center planes of inductor winding 2 and short-circuited coil 5 coincide. As a result, the directions of the currents in the short-circuited coils 5 alternate, so the magnetic field of these currents is distributed in the direction of the vehicle motion periodically with a period 2τ.
Fig. 1. Scheme of the transport pipeline system
The frequency of the current in the three-phase winding 3 strictly corresponds to the local speed of the vehicle. Because of this, the running magnetic field of stator 3 and the excitation field have the same speed, but these fields are shifted by an angle δ < π2 , whose numerical value depends on the value of power consumption from the three-phase power supply. To improve the technical and economic performance of the pipeline transport system, this project proposed to use a rarefied air environment instead of the technical vacuum. This solution significantly reduced the requirements on the strength of the transport tube, on the power of the evacuation pumps and on the systems that ensure the tightness of the vehicle and the tube. The fee for this was a certain increase in the aerodynamic drag of the moving vehicle. To partially compensate for this negative effect, the head cowling was perforated, so that the incoming airflow retained its laminated character to a certain extent. The holes in the perforated part are used to remove air turbulence that occurs at high speeds. A compressor is installed in the body, with hoses connected to the holes in the front part which will pump the air out of the front area and move the pumped air to the hole made in the rear part of the capsule, that is, to supply it to the area of rarefied air, through the system of air ducts. Another problem that arises is the so-called “piston” effect, the occurrence of which is due to the fact that the vehicle moving in the tube is like a piston with an inherent
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compaction of the air medium before it and rarefaction after it. This pressure difference causes additional aerodynamic drag. In connection with this, the purpose of the research described in this paper was to develop measures to reduce the negative effects arising from the “piston” effect.
2 Methods In order to achieve this goal, it was proposed to equip the vehicle with means of forming local areas of reduced air pressure. In the process of the vehicle’s movement, a complex-structured perturbed air environment with characteristic gradients of changes in the pressure fields, flow directions and velocities is formed inside the tube. Due to the presence of a high vehicle lock coefficient in the pipeline (the area of overlap of the vehicle shape over the cross-section of the inner pipe cavity), local areas of steep pressure rise occur due to the compressibility of the air medium. Here, the air mass streams make circulating movements, forming a gradually condensing vortex. Rotating vortices are highly stable and resistant to deformation of the cross-sectional shape entailing certain delays in the air mass movement at the confusions (constrictions) formed by the vehicle’s dimensions and the internal pipeline surface. The phenomenon of “clogging” of the passage sections is observed, and the consequences of the “piston” effect are intensified. The problem is solved by forming a movable local area of the rarefied zone directly at the vehicle’s location by technological means installed on board. The structural solution of the reversible type of vehicle is a load-bearing body1 of tubular shape with a diameter of 4.3 m (Fig. 2), on the outer surface of which magnetic levitation system devices with a traction linear electric motor are mounted, with pylons supporting the vehicle’s compartment 2. The vehicle compartment 2 is designed as a sealed vessel 3.5 m in diameter with cockpit fairings at the ends; in the middle part of the compartment in the gap between the compartment and the supporting body 1 there is a turbine unit 3 of reversible type with an electric drive, which performs the function of pumping air masses through the air duct 4.
Fig. 2. Schematic of the structural structure of the pipeline transport vehicle body. 1 - supporting body with perforated fairing; 2 –vehicle compartment; 3 – turbine unit; 4 – air duct.
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Turbine rotation in the middle part of the vehicle forms a rarefaction zone of the air environment directly in front of the vehicle, the excess volume of air masses through the air duct is sent to the aft part of the vehicle. The optimum values of the turbine unit capacity and the cross-sectional area of the air ducts were determined by means of a series of CFD-simulations. In order to reduce the dimensionality of the problem, the calculation model (Fig. 3) of the capsule is represented by the membrane to the surfaces pressuring are applied: reduced in the direction of motion, and increased - from the stern side of the vehicle. Assumptions of a computer experiment: 1. 2. 3. 4.
The air in the pipe cavity is considered a fluid incompressible medium. Piping and all bodies are taken perfectly smooth. The movement of the vehicle is strictly on the centerline. The turbine is represented as an interior fan boundary condition. The influence of the blade shape and trajectory on the shape of the air flow and its distribution in space is negligible. 5. The air distribution in the pipeline has axial symmetry. 6. There are no deformations of the vehicle and the inner surface of the pipeline due to the impact of turbulent eddies. 7. The flow velocity at the surface of the pipeline is assumed to be zero, the flow velocity at the surface of the vehicle and the pipeline are equal to the crew velocity. Taking these assumptions and simplifications into account allows us to consider a flat model of the vehicle’s motion in space in the axisymmetric formulation. The calculation uses the Reynolds averaged Navier-Stokes equations RANS and the k-ε turbulence model. The problem is solved in unsteady 2-d formulation in Comsol Multiphysics 5.5 software package and in 3-d formulation in Flow Simulation Solid Works software package.
Fig. 3. The reduced model of the vehicle. 1 – pipeline; 2 –vehicle compartment; 3 –vehicle carrier body; 4 – turbine unit.
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In the 2-d view, the axis of symmetry of the section coincides with the axis of symmetry of the vehicle in the direction perpendicular to the axis of the pipeline. Experimental conditions: 1. 2. 3. 4.
The capsule is accelerated with the constant acceleration of 1 m/s2 . The initial air temperature is 293 K. The atmospheric pressure is normal. The pressures are represented by relative values. Parameters of solids:
1. The diameter of the pipeline is assumed to be 4.8 m, 4 m and 5 m. 2. The diameter and length of the vehicle are 3 m and 11 m, respectively. 3. The length and thickness of the supporting cylindrical body is 7 m and 0.15 m, respectively. 4. The size of the clearance “pipeline - supporting body of the vehicle” is 0.2 m and 1 m.
3 Results 3.1 Results of Research in 2-d Formulation At the first stage of research in 2-d formulation determined the effect of the presence in the pipeline of the moving vehicle (without the turbine unit operation) on the distribution of pressures and velocities of the air flow in the area of the vehicle at different values
a
b Fig. 4. Diagram of the distribution of pressure field (a) and field of velocities (b) in the area of the vehicle when it moves at 236 km/h (pipeline- vehicle clearance - 0.2 m, no turbine unit)
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of the gap between the pipeline and the vehicle (Fig. 4, 5). In the drawings, the airflow moves from right to left. The diagram in Fig. 4 clearly illustrates the manifestation of the “piston” effect. Next, similar computational studies were performed with the turbine unit on. The steady motion modes of the vehicle with speeds equal to 200, 300, 400 km/h were considered. A uniform acceleration up to 234 km/h was assumed, with the turbine unit providing a pressure differential of ±100 and ±225 Pa regardless of the speed of the vehicle. The simulation of the turbine unit consisting of two turbines was simplified by a membrane blocking the duct cross section. To the frontal surface of the diaphragm, a relatively reduced pressure of the medium is applied, which forms the aspiration process, while on the reverse side of the diaphragm an increased (by the same value) pressure is applied, which implements the injection mechanism (Fig. 5).
Fig. 5. Air flow pressure field distribution diagram in the area of the vehicle at its speed of 400 km/h (simulation of turbine unit operation)
It was obtained that the turbine unit produced a certain level of rarefaction in front of the vehicle’s forward fairing and increased pressure in the aft one. The pressure distribution on the inner surface of the pipeline in the pipeline- vehicle gap is non-uniform, and the degree of non-uniformity depends significantly on the speed and diameter of the outer surface of the cylindrical carrier body of the vehicle. Near the frontal surface of the cylinder there is an intensive increase in pressure along the entire perimeter of the face. Directly in the gap “pipeline- vehicle” there is a rarefaction, the value of which increases as we approach its runaway edge of the surface. The rate of transition from the high-pressure zone to the rarefaction zone depends significantly on the size of the gap between the inner surface of the piping and the outer surface of the supporting body of the vehicle. In the area of the carrier body edge, where the airflow is flowing down, the rarefaction degree reaches its peak value, whose value varies depending on the speed of the vehicle according to the law close to a parabolic one. The magnitude of the pressure jump also depends to a large extent on the size of the gap between the inner surface of the pipeline and the outer surface of the carrier body
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of the vehicle. As the gap increases, the pressure changes more smoothly and its peak value decreases. 3.2 Research Results in 3-d Formulation of the Problem In the 3-d formulation of the problem, traces of active turbulent processes of air flow, formed in the aft part of the vehicle due to the flow disruption from the inner surface of the duct (Fig. 6), are clearly visible. The velocity distribution diagram in the longitudinal section of the pipeline shows the flow around the head fairing of the vehicle with the formation of flow braking zones outside the aft of the vehicle (Fig. 7, a). Accordingly, the pressure diagram (Fig. 7, b) shows the areas of increased pressure in front of the vehicle, and the depression after it.
Fig. 6. Air flow turbulence field distribution diagram in the vehicle area when the vehicle is moving at 300 km/h (turbine unit on ±225 Pa)
a
b Fig. 7. Air flow field distribution diagram (a) and pressure fields (b) in the vehicle area when the vehicle is moving at 400 km/h (turbine unit off)
The efficiency of the turbine unit was evaluated by the criterion of pressure change dynamics in the pipeline section, at the location of the vehicle (Fig. 8). The process was
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evaluated by the amplitude of pressure oscillations on the pipeline walls, the length and slope angle of the front of the dependence function. Conditions of the experiment: speed of the capsule is 200 km/h; temperature of the air stream is 293 K; ambient air pressure (Penv ) is 101325 Pa; static pressure in the pipe cavity is 0.98 Penv ; pressure of the air medium at the inlet/outlet of the turbine unit: Option 1 - 100225/100425 Pa; Option 2 100125/100525 Pa.
101400 101200 101000 100800 100600 100400 100200 100000 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47 49 51 53
Fig. 8. Dependence of air pressure value in the pipeline cavity during the capsule movement at a speed of 200 km/h: row 1 - speed 200 km/h, no turbine unit; row 2 - speed 300 km/h, no turbine unit; row 1 - speed 400 km/h, no turbine unit; row 4 - speed 200 km/h, turbine unit −225 Pa/ + 225 Pa; row 5 - 300 km/h, turbine unit: −225 Pa/ + 225 Pa; row 6 - 400 km/h, turbine unit: − 225 Pa / + 225 Pa
Analysis of the dependencies showed that the operation of the proposed turbine unit was not effective enough to form the necessary pressure reduction on the frontal part of the vehicle, probably requires additional research to optimize the shape of the turbine wheel blades and synchronize its rotation speed with the incoming air masses for different speeds of forward motion of the vehicle.
4 Conclusion Using the method of forming a movable local area of the rarefitd zone directly at the vehicle’s location by technological means installed on board the vehicle avoids the need to maintain the rarefaction in the pipeline along the entire route and to a greater extent avoids the consequences of the “piston” effect. The cross-sectional area of the pipeline can be significantly reduced by increasing the blocking factor. Since, the main mechanical load caused by the jump in air flow pressure is taken by the supporting body of the vehicle, the requirements to the strength of the pipeline hull elements can be significantly reduced.
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References 1. Flankl, M., Wellerdieck, T., Tüysüz, A., et al.: Scaling laws for electrodynamic suspension in high-speed transportation. IET Electr. Power Appl. 12(3), 357–364 (2017). https://doi.org/ 10.1049/iet-epa.2017.0480 2. Chin, J.C., Gray, J.S., Jones, S.M., et al.: Open-source conceptual sizing models for the hyperloop passenger pod. In: 56th AIAA/ASCE/AHS/ASC Structures, Structural Dynamics, and Materials Conference, AIAA Kissimmee, 5–9 January 2015. https://doi.org/10.2514/6. 2015-1587 3. Opgenoord, M.M.J., Caplan, P.C.: On the aerodynamic design of the hyperloop concept. In: 35th AIAA Applied Aerodynamics Conference, AIAA, Kissimmee, 5–9 June 2017. https:// doi.org/10.2514/6.2017-3740 4. Janzen, R.: Trans pod ultra-high-speed tube transportation: dynamics of vehicles and infrastructure. Procedia Eng. 199, 8–17 (2017). https://doi.org/10.1016/j.proeng.2017.09.142 5. Beach, A.E.: The pneumatic tunnel under Broadway. N.Y. Sci. Am. 22(10), 154–156 (1870). https://doi.org/10.1038/scientificamerican03051870-154 6. Oettershagen, P., et al.: Perpetual flight with a small solar-powered UAV: flight results, performance analysis and model validation. In: 2016 IEEE Aerospace Conference, Big Sky, MT, 5–12 March 2016. https://doi.org/10.1109/AERO.2016.7500855 7. Evstaf’ev, A.M., Nikitin, V.V., Telichenko, S.A.: Energy converters for hybrid traction power systems used in electric transport. Russ. Electr. Eng. 91, 77–81 (2020). https://doi.org/10. 3103/S1068371220020042 8. Nikitin, V.V., Sychugov, A.N., Rolle, I.A., et al.: Calculations of the parameters and simulation of the operation of nonlinear surge arresters for AC rolling stock. Russ. Electr. Eng. 91, 87–92 (2020). https://doi.org/10.3103/S1068371220020078 9. Kim, K.K., Ivanov, S.N., Gorbunov, A.V., et al.: An automatic electromechanical drive for carriage doors. Russ. Electr. Eng. 90, 669–674 (2019). https://doi.org/10.3103/S10683712 19100067 10. Valinsky, O.S., Evstaf’ev, A.M., Nikitin, V.V.: The effectiveness of energy exchange processes in traction electric drives with onboard capacitive energy storages. Russ. Electr. Eng. 89, 566–570(2018). https://doi.org/10.3103/S1068371218100103 11. Baiko, A.V., Nikitin, V.V., Sereda, E.G.: Hydrogen energy sources with current inverters in ship AC power plants. Russ. Electr. Eng. 88, 355–360 (2017). https://doi.org/10.3103/S10683 71217060037 12. Nikitin, V.V., Marikin, A.N., Tret’yakov, A.V.: Generator cars with hybrid power plants. Russ. Electr. Eng. 87, 260–265 (2016). https://doi.org/10.3103/S1068371216050138 13. Baiko, A.V., Nikitin, V.V., Sereda, E.G.: Autonomous power systems with synchronous generators and hydrogen energy sources. Russ. Electr. Eng. 86, 479–484 (2015). https://doi.org/ 10.3103/S1068371215080027 14. Kim, K.K., Kim, K.I.: Suspension system of hyper loop. Transp. Syst. Technol. 3(2), 9–10 (2017). https://doi.org/10.17816/transsyst2017329-10
Design Features of Traction Motors with Permanent Magnets on the Rotor for Mainline Electric Locomotives Pavel Kolpakhchyan1
, Andrey Evstaf’ev2(B)
, and Victor Nikitin2
1 Rostov State Transport University, Rostovskogo Strelkovogo Polka Narodnogo
Opolcheniya sq, 2, 344038 Rostov-on-Don, Russian Federation 2 Emperor Alexander I St. Petersburg State Transport University, Moskovskiy pr, 9,
190031 St. Petersburg, Russian Federation
Abstract. The article deals with the creation of traction motors with permanent magnets on the rotor. The possibility of creating a synchronous traction motor with permanent magnets on the rotor in the stator of asynchronous traction motor of passenger mainline electric locomotive is considered. The requirements to the parameters of the traction motor are defined, the size and location of the permanent magnets on the rotor are optimized. Optimization is performed using electromagnetic field theory methods. Based on the results of a series of magnetic field distribution calculations, the dependences of stator winding no-load current and electromagnetic torque on the load angle are plotted. Using these dependencies, the least-squares method, the parameters of the traction motor in question are determined. The obtained values of the stator flux capacitance created by permanent magnets, inductances along the longitudinal and transverse axes meet the formulated requirements for the parameters. Electromechanical characteristics and mathematical modeling of electromechanical processes at different rotor speeds were constructed. The obtained results allow us to conclude that a synchronous traction motor with permanent magnets on the rotor in the stator of an asynchronous traction motor of a mainline passenger electric locomotive can be made not inferior in its characteristics. Keywords: Synchronous traction motor · Permanent magnets · Traction electric drive · Rolling stock
1 Introduction The use of asynchronous traction motors (ATM) on electric rolling stock which became possible after the appearance of power semiconductor devices designed for high currents and voltages allowed to improve the efficiency of traction electric drive (TED) of electric rolling stock. Compared with collector traction motors, the use of ATM (asynchronous traction motors) not only allows to increase the axial power to reduce the weight and increase the reliability of the traction electric drive, but also to improve the use of coupling weight being one of its main advantages. This is achieved by the ability to regulate the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 162–170, 2022. https://doi.org/10.1007/978-3-030-96380-4_19
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torque on the shaft with such a rapid response that it allows to suppress the arising boxing of the wheel pair [1]. Therefore, the modern electric rolling stock with ATM practically completely uses the possibilities of coupling in the place of contact “wheel - rail” and provides at the same axial load the realization of traction force by 15–20% more than the electric rolling stock with collector traction motors [1, 2]. The disadvantages of traction electric drive with ATM are the presence of significant losses on the rotor, problems with regulation and implementation of electric braking at low travel speeds. Therefore, after the advent of high-coercivity permanent magnets (PM), synchronous traction motors with PM on the rotor (PMSTM - permanent magnet synchronous traction motors) became one of the alternatives to ATM. The presence of excitation on the rotor allows to obtain, in comparison with ATM, higher specific power, to reduce losses and to ensure stable operation in the electric braking mode in the entire speed range. Therefore, all major manufacturers of electric rolling stock, such as Alstom, Bombardier, Mitsubishi [3–7] are working in the field of PMSTM application. Analysis of experience in this area shows that the most promising is the use of such traction engines with capacity up to 250–300 kW on the motor-car rolling stock working with frequent starts and stops [7–10]. The use of PMSTM on high-speed rolling stock is promising [11].
2 Methods PMSTM has several features that must be taken into account in the design. The main one is the unregulated excitation on the rotor. For this reason, the stator current loop, generated by the PM at no current in the winding, must be such that the no-load EMF (Electromotive force) does not exceed the rated voltage value. The field generated by the permanent magnets is not sufficient to generate torque at speeds below maximum without increasing the stator current above the rated current. Therefore, the PMSTM is designed as a magnetically asymmetric synchronous electric machine and the missing part of the torque is obtained at the expense of the reactive component [4, 7, 12]. One of the main challenges in designing a PMSTM is to determine the configuration and geometric relationships of the rotor to obtain the required torque values over the entire velocity range. The stator and traction inverter design of the ATM and PMSTM have no fundamental differences. The same principles are used to control these types of electrical machines. Therefore, as a prototype for PMSTM was taken ATM type DTA-1050 with capacity of 1050 kW installed on EP20 electric locomotives. The stator of PMSTM on its basis remains unchanged allowing not to change the design of the housing, parameters of the converter unit and control system. In this case, only the rotor design needs to be determined. The issues of optimizing the size and location of the PM, determining the parameters and characteristics of the ATM based on the DTA-1050 type are discussed below. The traction motor considered as a prototype of PMSTM is a three-phase asynchronous electric machine with the following indicators: • number of pole pairs: p = 3;
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rotor speed in hourly mode: f r h = 15.2 Hz; torque in hourly mode: M h = 10900 Nm; maximum rotor speed: f r max = 36.7 Hz; stator phase voltage: U sf = 1260 V; stator phase current in hourly mode: I f h = 323 A;
The description of electromagnetic processes in the PMSTM may be performed using the equations of an explicitly pole synchronous electric machine without a damping cell [11, 12]. For further use, it is reasonable to write in the d - q coordinate system stationary with respect to the rotor. In this case, the electrical balance equation for the stator is as follows: s = rs Is + d s + jωs s U dt Where ωs = 2π pfr - the angular frequency of stator currents, s, s and I are spatial vectors of voltage, current and stator current-current which U s
are represented as projections on the coordinate system axes d – q: s = Usd + jUsq ; s = sd + jsq ; Is = Isd + jIsq U Then the equations with respect to the projections on the axes of the d – q coordinate system look like this: ⎧ d sd ⎪ − ωs sq ; ⎨ Usd = rs Isd + dt (1) ⎪ ⎩ U = r I + d sq + ω , sq s sq s sd dt Where r s is the stator active resistance. The projections of the flux-circuit and stator currents are related by the relations: sd = Lsd Isd + f ; (2) sq = Lsq Isq , Where f is the stator current loop generated by the PM; L sd , L sq - inductances of PMSTM along the proton and transverse axes; The electromagnetic torque of the PMSTM is determined using the expression: Mem =
3 p f Isq + Lsd − Lsq Isd Isq . 2
(3)
The spatial arrangement of PMSTM vectors in accordance with Eqs. (1) and (2) for the case of operation in traction mode is shown in Fig. 1. The value of the flux-circuitry generated by the PM is determined by the stator voltage and the maximum rotor speed. From Eqs. (1) and (2) for the above values of nominal stator voltage and maximum rotor speed we obtain the value of the flux capacitance f = 2.576 Vb.
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q -p ω Lq Isq
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E
-p ω Ld Isd
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δ θ
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The value of the difference between the stator inductances along the longitudinal and transverse axes is determined based on the stator current and torque in hourly mode. In this case, the value of torque in hourly mode should not be more than 90% of the maximum torque to meet the condition of static stability. For the PMSTM under consideration this difference should be: Lsd −Lsq = −0, 0125 Gn. The inductance difference is negative because PM have a relative magnetic permeability close to unity, so the inductance along the longitudinal axis is less than that along the transverse axis. At present, different variants of the rotor design, which differ in the location of the PM, are used on the PMSTM of various vehicles [11]. The surface arrangement of the magnets [11] is not quite suitable for traction motors, since it does not allow to obtain a reactive torque of significant magnitude and requires the use of a band to fix the PM on the rotor surface, the application of special coatings for protection from the environment. The application of composite materials and new types of protective coatings [12, 13] allows to solve these problems but the cost of production and operation of a traction engine increases significantly. For high-power traction engines, the V-shaped submersible PM arrangement [4, 5, 14], is rational. To increase the difference between the inductances along the longitudinal and transverse axes, a triangular-shaped hole is placed above the PM, in the center. This configuration was adopted for the PMSTM under consideration. For the PM arrangement, an optimization calculation was performed in the course of which the design relationships of the rotor were determined: the size and location of the PM and the hole above them. For this purpose, the calculation results of the magnetic field distribution in the PMSTM core were used. To determine the value of electromagnetic torque depending on the rotor position relative to the stator and stator winding currents
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we solved the magnetostatic problem in the plane-parallel formulation. The calculations were performed using the FEMM software package (© David Meeker) [15]. The purpose of the optimization calculation was to determine the sizes and positions of the PM and the hole where the above values of no-load current coincidence and the difference in inductances are achieved. They allow to achieve the required value of electromagnetic torque without increasing the stator current. In order to determine the parameters of PMSTM included in Eqs. (1)–(3), we performed a series of calculations to determine the amplitude of the stator flux-circulation vector at no-load conditions at various rotor positions (load angle). Also, the dependence of electromagnetic torque at stator current equal to hourly mode current on the load angle was determined. Using the obtained dependencies, the values of the flux-current created in the PM stator winding and the stator inductances along the longitudinal and transverse axes were determined by the least-squares method: f = 1, 585 Wb; Lsd = 0, 00275 Hn; Lsq = 0, 01575 Hn. Comparison of the obtained values with the above values required to obtain the desired characteristics of the PMSTM shows that the optimization calculation resulted in a rotor configuration that allows to achieve the set task. Figure 2 shows the dependences of stator current vector amplitude generated by PM at no-load and electromagnetic torque at hourly stator current on load current. The dots show the values obtained by calculating the magnetic field distribution and the solid line shows the values obtained by expressions (2) and (3) using the STPM parameters determined by the least-squares method. Ψ, Wb
М, N·m
8
10 000 5 000
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0
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δ,°
a)
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Fig. 2. Dependences of the stator PMSTM flux vector amplitude at no-load (a) and electromagnetic torque at hourly current (b) on the load angle
3 Results Using the parameters defined above, the electromechanical characteristics of the PMSTM were constructed. Since the same torque value can be obtained at different combinations of current and load angle, the approach used in characterization was that for a given torque value. The control parameters are determined from the minimum stator current value, similar to that used in forming the ATM characteristics [1, 16– 19]. Figure 3 shows electromechanical characteristics of PMSTM in the stator of ATM type DTA-1050. At rotor speed from zero to clock speed, the motor should have torque
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equal to that in clock mode. As the rotor speed increases, the stator voltage increases almost linearly and reaches the control limit at point A. The stator current in this case corresponds to the value of the hour mode. As the speed is further increased the motor torque with the same stator current is maintained by changing the load angle. At point B at the clock speed the PMSTM enters the constant power mode of operation. In this mode, the value of the load current is selected so that the stator current is minimal. After reaching the design speed the electromagnetic torque decreases but with the same stator current power can be realized above the design motor power. The voltage drop in the stator winding reactance increases as the speed increases and leads to a decrease in the realized power. The law of constant power at speeds higher than the design speed can be implemented when the stator current is less than the limit current. It should be noted that at ATM of DTA-1050 type the realized power decreases at rotational speeds close to the maximum because of the need to ensure static stability [14, 17, 19]. The hourly power value of the PMSTM. is retained up to the maximum speed, which is its advantage. U, V 1 600
I, A М, N·m 800 20 000
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B 323 A
If
fr = 15,2 Hz 0
10
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Мem 20
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fr = 36,7 Hz
δ, °el P, кW 200 2 000
f, Hz
Fig. 3. Electromechanical characteristics of PMSTM
Mathematical modeling of electromechanical processes in the PMSTM under consideration was performed to estimate the stator current shape and electromagnetic moment pulsations using Eqs. (1)–(3). The traction motor was thought to be powered by a threephase self-contained inverter on IGBT modules. Parameters of the power circuit of the converter unit are the same as those used on the EP20 electric locomotive [1]. In the simulation, the DC-link voltage is assumed to be 2800 V. The traction inverter output voltage is generated using pulse width modulation with selective harmonic elimination (PWM with Selective Harmonics Eliminate) [19]. This type of modulation allows you to control the value of a certain harmonics number depending on the switching frequency of the power semiconductors. Figure 4 the dependences of linear voltage and stator phase current (UAB, IA) and electromagnetic torque (Mem) in hourly mode are shown. Modulation with five controlled harmonics was used for the calculation. Figure 5 show the results of simulation of electromagnetic processes in the PMSTM at 25 Hz. Modulation with three controlled harmonics was used. When comparing the results with the data obtained for the DTA-1050 used as a prototype [1] it is shown that the PMSTM under consideration has a momentum ripple level in hourly mode comparable with the ATD ripple and close to the current ripple
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level. At speeds above rated current and torque ripple becomes lower than the ATM due to the reduced reactive torque component and the relatively high inductance of the stator transverse axis. U, V
UAB
IA
2000
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M, N·m Mem
500 10000
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-4000 3.00
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3.02
-1000
t, s
3.03
0 3.00
3.01
3.02
t, s
3.03
Fig. 4. Results of modeling of electromagnetic processes in PMSTM in hourly mode U, V
UAB
IA
I, A
M, N·m Mem
500
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-2000
-4000 3.000
3.005
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-1000
t, s
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0 3.000
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Fig. 5. Results of electromagnetic processes in PMSTM at rotor speed of 25 Hz
4 Discussion Analysis of the available experience in the use of PMSTM on electric rolling stock shows that its main advantage in comparison with ATM is a higher specific power. Therefore, the most rational is the use of PMSTM on the motor-car rolling stock with capacities up to 250–300 kW and on high-speed trains, where it is necessary to achieve a reduction in weight and dimensions of traction engines. Compared to ATD, the use of PMSTM on mainline electric freight locomotives does not provide tangible advantages, and the higher price makes them use most often irrational. However, on passenger mainline electric locomotives, the use of this type of traction motors can be justified due to lower losses in start-up and acceleration modes and better operation in the electric braking mode. The performed calculation of PMSTM in the stator of ATM of DTA-1050 type, installed on EP20 passenger electric locomotive, showed that the creation of such a traction motor is possible and its characteristics will not be inferior to the ATM selected as a prototype. In operation above rated speed the PMSTM provides more power than the ATM and is not restricted in the maximum speed range. The disadvantages of traction motors with PM on the rotor are their high cost and the need to seal the design to prevent ingress of dust containing ferromagnetic particles into the air gap.
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5 Conclusions 1. The use of traction motors with PM on the rotor makes it possible to obtain more power than in ATM due to the excitation on the rotor. 2. The stator capacitance generated by the PM is determined by the no-load EMF at maximum speed and is limited by the value of the maximum stator voltage and is insufficient to obtain the calculated value of torque at speeds below rated without increasing the stator current. 3. In order to achieve the required value of torque at speeds below nominal, it is necessary to use the reactive component of torque in PMSTM. It is formed by the difference between the inductances along the longitudinal and transverse axes. 4. To obtain the necessary difference between the inductances along the longitudinal and transverse axes, it is necessary to optimize the size and location of the PM on the rotor. 5. For the PMSTM under consideration, the rotor design with a V-shaped PM arrangement and a hole above them was adopted as the most suitable for a high-power traction engine. 6. It is reasonable to regulate PMSTM with fulfillment of the stator current minimization condition and ensuring fulfillment of the static stability condition. 7. Analysis of the obtained characteristics of PMSTM made in the ATM stator allows us to obtain characteristics not inferior to the prototype.
References 1. Kolpakhchyan, P., Zarifian, A., Andruschenko, A.: Systems approach to the analysis of electromechanical processes in the asynchronous traction drive of an electric locomotive. Stud. Syst. Decis. Control 87, 67–134 (2017) 2. Koseki, T.: Technical trends of railway traction in the world. In: The 2010 International Power Electronics Conference - ECCE ASIA, Sapporo, 21–24 June 2010 (2010). https://doi.org/10. 1109/IPEC.2010.5544539 3. El-Refaie, A., Osama, M.: High specific power electrical machines: a system perspective. CES Trans. Electr. Mach. Syst. 3(1), 88–93 (2019) 4. Liu, W., Luo, G., Zhao, N., et al.: Design and HIL simulation of proportional compression salient-pole permanent magnet synchronous motor for electrical traction vehicle. In: 5th IEEE Vehicle Power and Propulsion Conference (VPPC 2009), Institute of Electrical and Electronics Engineers, Dearborn, 7–10 September 2009 (2009). https://doi.org/10.1109/VPPC.2009.528 9752 5. Kang, L., Xia, C., Jiang, D., et al.: Research and analysis of permanent magnet transmission system controls on diesel railway vehicles. Electronics 10(2), 1–18 (2021). https://doi.org/ 10.3390/electronics10020173 6. Chernyshev, A.D., Lisovskaya, T.A., Lisovskiy, R.A.: Comparative analysis of different electrical motor types as a traction drive part in electrical transmission. In: 2017 International Conference on Industrial Engineering, Applications and Manufacturing (ICIEAM 2017), Institute of Electrical and Electronics Engineers, Chelyabinsk, 16–19 May 2017. https://doi. org/10.1109/ICIEAM.2017.8076311
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7. Vagati, A., Pellegrino., G., Guglielmi, P.: Comparison between SPM and IPM motor drives for EV application. In: 19th International Conference on Electrical Machines (ICEM 2010), Institute of Electrical and Electronics Engineers, Rome, 6–8 September 2010 (2010). https:// doi.org/10.1109/ICELMACH.2010.5607911 8. Rind, S.J., Ren, Y., Hu, Y., et al.: Configurations and control of traction motors for electric vehicles: a review. Chin. J. Electr. Eng. 3(3), 1–17 (2017). https://doi.org/10.23919/cjee.2017. 8250419 9. Krings, A., Monissen, C.: Review and trends in electric traction motors for battery electric and hybrid vehicles. In: 2020 International Conference on Electrical Machines (ICEM), Institute of Electrical and Electronics Engineers, Gothenburg, 23–26 August 2020. https://doi.org/10. 1109/ICEM49940.2020.9270946 10. Huynh, T.A., Hsieh, M.-F.: Performance analysis of permanent magnet motors for electric vehicles (EV) traction considering driving cycles. Energies 11(6), 1385 (2018). https://doi. org/10.3390/en11061385 11. Torrent, M., Perat, J.I., Jiménez, J.A.: Permanent magnet synchronous motor with different rotor structures for traction motor in high speed trains. Energies 11(6), 1549 (2018). https:// doi.org/10.3390/en11061549 12. Kim, K.K., Ivanov, S.N.: Formation and study of coatings from composite material for special electrical devices. In: 14th International Conference on Films and Coatings, ICFC, 14–16 May 2019 (2019). J. Phys. Conf. Ser. 1281(1), 012034. https://doi.org/10.1088/1742-6596/1281/ 1/012034 13. Kim, K., Ivanov, S.: The efficiency of the use of composite materials in electrotechnical equipment. IOP Conf. Ser. Mater. Sci. Eng. 313(1), 012001 (2018). https://doi.org/10.1088/ 1757-899X/313/1/012001 14. Kolpakhchyan, P.G., Shaikhiev, A.R., Kochin, A.E., et al.: The determination of the asynchronous traction motor characteristics of locomotive. Adv. Electr. Electron. Eng. 15(2), 130–135 (2017). https://doi.org/10.15598/aeee.v15i2.1926 15. Meeker, D.C.: Finite Element Method Magnetics, Version 4.2, 30 November 2020. https:// www.femm.info. Accessed 30 Aug 2021 16. Kim, K.K., Panychev, A.Y., Blazhko, L.S., et al.: Properties of a synchronous machine with self-regulating magnetic suspension of the rotor when its axis is skewed. Russ. Electr. Eng. 91(10), 597–603 (2020). https://doi.org/10.3103/S1068371220100053 17. Kim, K.K., Ivanov, S.N., Gorbunov, A.V.: Synthesis of the control device of the electromechanical drive of the main valve. In: 2020 International Conference on Industrial Engineering, Applications and Manufacturing (ICIEAM), Institute of Electrical and Electronics Engineers, Sochi, 18–22 May 2020. https://doi.org/10.1109/ICIEAM48468.2020.9112086 18. Kim, K.I., Kim, K.K.: A study of the operation mode of a synchronous compensator with two excitation windings. Russ. Electr. Eng. 89(10), 598–606 (2018). https://doi.org/10.3103/S10 6837121810005X 19. Xie, Q., Liang, Z., Wang, W.: Research on PWM modulation strategy of high-power permanent magnet synchronous traction system. In: Jia, L., Qin, Y., Liu, B., Liu, Z., Diao, L., An, M. (eds.) EITRT 2019. LNEE, vol. 638, pp. 769–776. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-2862-0_74
Retrieval and Shaping of Effective Steel Wall Reinforcement Zones in a Hybrid Girder Building Structure with Composite Materials Vladimir Egorov
and Makhmud Abu-Khasan(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovsky Avenue, 9, 190031 Saint Petersburg, Russian Federation
Abstract. The article deals with the peculiarities of designing steel girder constructions according to the first group of limiting states, according to the criterion of bearing capacity and stability of the structure. The paper analyses basic calculation cases of steel girder wall stability loss with estimation of their causes, considers possible solutions of steel girder wall stability using traditional methods as well as application of new structural composite materials with estimation of their possible effect on improving girder wall stability. An algorithm for the calculation of girder constructions is compiled in this article, and the load-bearing capacity and stability of the design case of a steel I-beam is calculated. The main insufficient stability zones of the beam wall in case of uniformly distributed load along the whole length of the beam are determined, for the considered case a rational possible form of composite plates used as an alternative structural solution for increasing the stability of the hybrid beam wall is determined. Keywords: Buildings · Structures · Building structures · Hybrid structures · Composite materials · Stability · Loss of stability
1 Introduction Hybrid structures are structures consisting of several heterogeneous materials arranged in a rational and specific way along the length and cross-section of the structure to ensure their co-operation. Hybrid construction is one of the main principles of hybrid construction, ensuring that the heterogeneous materials used in the structure work together. As part of a hybrid building structure, each material must fulfil a specific function. Thus, the one material used in the structure is usually the load-bearing one, absorbing most of the internal forces. Compared to other materials, this material has the highest stiffness. The remaining materials perform an auxiliary reinforcement function, compensating for the deficiencies of the load-bearing material of the structure (insufficient load-bearing capacity for certain types of external influences, increasing the stability of the cross-section of the hybrid structure) [1, 2].
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 171–180, 2022. https://doi.org/10.1007/978-3-030-96380-4_20
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2 Methods Hybrid-type structures are structurally divided into two types: 1. structures with external reinforcement (auxiliary materials are placed on the outer edges of the supporting material); 2. constructions with internal reinforcement (auxiliary materials are placed inside the supporting material). Adopted for the analysis is an externally reinforced hybrid beam structure in which the load-bearing function is performed by a steel I-beam and the reinforcement function by specially shaped composite plates mounted on both sides of the beam wall. Structural design of composite steel beams is carried out taking into account the action of internal forces and the conditions for strength and stiffness in the first and second group of limit states are checked. The selection and specification of the section parameters according to the first group of limit states involves checking the bearing capacity of the section for the action of critical internal forces as well as checking the stability of the section as a whole, together with checking the stability of the individual elements of the section. Under certain design cases (e.g. flexible wall sections, bistable beams, asymmetric beams) it is possible that the selected sectional parameters of a beam effectively absorb the critical internal forces, whilst at the same time their load-bearing capacity under the stability criterion is not ensured. The particularity of the described case is that the girder structure can lose its stability at a stress level lower than the maximum allowable stress level of the first limit state group (in terms of load-bearing capacity). Losing stability in such a case will cause the cross-section of the beam to change shape. This usually results in a downward change in the geometric design parameters of the cross-section, so that the accepted cross-section parameters are insufficient to absorb the ultimate design load [3, 4]. Should stability be lost, the shape of the beam may change in individual sections (along the length of the beam), causing a loss of cross-sectional shape in adjacent sections as well. This will lead to a loss of the overall stability of the beam. Furthermore, all structural elements attached to the deformed structure will be additionally deformed and the knot connections connecting them may be damaged or completely destroyed. Thus, ensuring the stability of the beam section as a whole as well as of its individual elements is no less important than ensuring the bearing capacity of the section according to the first group of limit states for the action of maximum permissible internal forces.
3 Results The algorithm for the selection of geometric parameters of the composite section of a beam according to the criteria of load-bearing capacity and stability is shown in Fig. 1. Key forms of stability loss that are taken into account in the design of composite steel beams include:
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1) Loss of overall beam stability. For bending elements with a composite cross-section, the total loss of stability depends on the type of reinforcement of the compressed chord. When the overall stability of the beam is not ensured, the loss of stability starts with the compressed part of the section, causing the overall shape of the beam to curve - the rotation of its sections relative to the longitudinal axis of the bending element. The overall stability of the beam is ensured if the condition is satisfied: Mx ≤1 ϕb ∗ Wcx ∗ Ry ∗ γc
(1)
– at bending in the wall plane, where Mx is the bending moment in the plane of the beam wall, [kN * m]; ϕb - the stability coefficient of the beam at bending; Ry - design tensile strength of steel, [MPa]; γc - coefficient of design conditions. – The compressed girder chord stability loss. Stability loss of the compressed girder chord occurs when the girder chord is not sufficiently stiff. Accompanying wave-like curvature of the compressed girder chord along its length [5, 6]. Elasticity of the girder chord is considered assured when the condition is fulfilled: λf ≤ λuf λf =
bef ∗ Ryf /E; λuf = 0, 5 ∗ Ryf /σc ; tf
(2) (3)
Where: Ryf - design resistance of the girder chord, [MPa]; bef - the width of the unframed belt overhang, [mm]; tf - belt thickness, [mm]. (3) Girder wall stability loss. Three design cases of stability loss in class 1 girder walls should be distinguished: - Due to the combined action of all stresses acting in the girder wal (σ normal, σ varnish, τ tangent). Stability loss will occur in those areas of the wall where the combined action of all three stress components exceeds their possible limit. Individuals with the highest normal and local stresses are considered to be the most dangerous areas of the wall. The wall deforms in a wave-like pattern perpendicular to the longitudinal axis of the element when it becomes unstable. - Due to the combined action of normal and tangential stresses (σ normal, τ tangential). Such a type of wall stability loss is possible in the case of continuous girders, at the supporting areas where the highest normal and shear stresses are present. - Due to the combined action of local and tangential stresses (σ varnish, τ tangent). Stability loss occurs in the girder wall, in the areas where the maximum tangential stresses act, usually in the supported areas of the girder. During these sections, the wall deforms in a wave-like manner, sloping towards the longitudinal axis of the element when it becomes unstable.
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The calculated formulas for the loss of beam wall stability are presented below: ⎧ 2 ⎪ ⎨ (σx /σcr + σloc /σloc.cr )2 + τxy /τcr /γc ≤ 1 (4) σloc = 0 ⎪ ⎩ λw ≤ 6 ∗ Ry /σx where: σx - effective normal stress in the wall, [MPa]; σloc - the effective local stress in the wall from the action of the concentrated load, [MPa]; τ - the averaged tangential stress acting in the wall, [MPa]; τ = Q/(tw ∗ hw ); σcr - critical stress, MPa, calculated by the formula: σcr = ccr ∗ Ry /λ2w ; ccr = f (δ; type of welded joint);
δ=f
compressed belt operating conditions ; ratios of the geometric characteristics of the beam
σloc.cr - critical local stress, calculated by the formula: σloc.cr = sc1 ∗ c2 ∗ Ry /λ2w ; c1 = f (compartment side ratio; ρ); ρ = 1, 04 ∗ lef /hef ; c2 = f (compartment side ratio; δ); lef - conditional length of the concentrated load distribution, [mm]; τcr - critical stress, [MPa], calculated by the formula:
τcr = 10, 3 ∗ 1 + 0, 76/μ2 ∗ Rs /λ2d ; μ - proportion of the larger side of the compartment to be inspected to the smaller side; λw - conditional wall flexibility, [MPa], is calculated by the formula: λw = hef /tw ∗ Ry /E (5) λd = (d /tw )∗ Ry /E
(6)
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4 Discussion If a section is checked for load-bearing capacity against the existing design load but not for stability, one (or more) of the conditions must be fulfilled in order to ensure safe operation of the structure: – reduction of the effective load values to a level where the stability test condition is fulfilled. – changing the design scheme, resulting in a change in the distribution of internal forces. – reinforcing the beam in such a way that the stability check is performed. The most common solution to this problem is to reinforce the building structure. In the case of steel girders, thus, an increase in the stability of the structure is ensured by: 1. increasing the thickness of the beam element (wall, flange); 2. setting up a system of longitudinal and transverse ribs along the length of the girder. The above measures increase steel consumption, increase the dead weight of the structure, and increase the structure cost. By increasing the thickness of one of the beam elements, the construction cost will increase due to the increased cost of the materials used. For the rib system, this is at the cost of the materials used and the additional work involved in installing additional girder elements [7, 8]. The least efficient use of steel in steel girder constructions is in the girder walls, this is due to the nature of the uneven distribution of normal and shear stresses in it. When designing, it is often necessary to change the wall thickness of the girder in order to meet the requirements for load-bearing capacity and stability. Furthermore, it is possible to increase the stability of the steel wall of the hybrid beam by reinforcing it with specially shaped composite plates on both sides of the steel wall of the beam. Placing composite plates may: 1) ensure that the stresses acting in the wall are reduced; 2) create an elastic-plastic termination of the steel wall, thereby reducing its flexibility and increasing its stability. Composite materials are solid products consisting of two or more materials that differ from each other in shape and/or phase state, and/or chemical composition, and/or properties, bonded together, usually by physical bonding and having an interface between the binding material (matrix) and its fillers, including reinforcing fillers. Integrated steel and composite parts of the hybrid beam may be joined into a single structure by either a riveted (bolted) or adhesive joint [9, 10]. In order to determine the rational shape of composite plates reinforcing the steel beam wall, an analytical solution for the stability of the steel wall of a hybrid beam has been carried out, including verification: 1. the load-bearing capacity of the accepted cross-section of the steel beam section;
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2. whether the overall stability of the beam is ensured; 3. whether the local stability of the compressed girder chord is ensured. Furthermore, the stability of the girder wall along its entire length and height was checked, and an isolinear diagram of the girder wall stability coefficient was plotted [9, 10]. For the beam wall stability analysis, a steel single-span I-beam of class 1 constant section spanning a span of 18 m is adopted. In the left-hand girder support, the righthand girder support is pivotally fixed. The girder support sections are secured against any lateral displacements and rotations from the plane of bending moments. The effective static load is applied to the upper chord of the girder at a spacing of 1 m, with a load magnitude of 70 kN, equating to a uniformly distributed load of 70 kN/m. Within the framework of the analysis it is assumed that the load is applied along the middle of the top chord width without eccentricity, the bending of the beam occurs only in the vertical plane [11, 12]. The detailed parameters of the beam section are shown in Table 1. A detailed methodology for calculating the bearing capacity of the steel beam section, as well as checking the stability is presented in SP 16.13330.2017 “SP Steel Structures”. The load-bearing capacity as well as the stability checks of the cross-section adopted for the analysis are presented below: Bearing capacity of the girder section to withstand the maximum bending moment is assured: σx =
Mx 2835 kN*m*0, 675 m = = 275, 66 MPa < Ry ∗γc = 279 MPa Wn,min 0, 006942 m4
(7)
– the check is done. – Load-bearing capacity of girder cross-section to absorb maximum shear force: τxy =
Q∗S 630 kN ∗ 0, 005803 m3 = 65, 82 MPa < Rs ∗ γc = 154, 11 MPa = I x ∗ tw 0, 006942 m4 ∗ 0, 008 m (8)
– accomplished.
(1) Checking the beam wall at the point of concentrated load: σloc =
F 70 kN = 41, 273 MPa < Ry ∗ γc = 279 MPa = lef ∗ tw 0, 212 m ∗∗ 0, 008 m (9)
– accomplished. – Checking the load-bearing capacity of the girder wall according to the applied stresses: 2 + 3 ∗ τ 2 = 250, 32 < 1, 15 ∗ R ∗ γ = 320 MPa σv = σx2 − σx ∗ σloc + σloc y c xy (10)
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B
t2
Table 1. Design cross-section of the beam
t1
H h1
x-x
t 3 B
Design characteristics H = 1.350 m B = 0.340 m t1 = 0.018 m t2 = 0.018 m t3 = 0.008 m h1 = 1.314 m Ao = 0.022752m2 Ix-x = 0.006942 m4 hx-x = 0.675 m E = 206000 MPa Ry = 310 MPa (C345) Rs
= 171.24 MPa (C345) γс = 0,9
– accomplished. The calculation of carrying capacity of the beam has shown that the limiting value of bending moment taken by the beam section is 2869 kN*m, the limiting value of transverse force is 1475 kN, and there are no longitudinal forces in the beam. (3) Checking the overall stability of the beam when bending in the wall plane: Mx 2835 kN ∗ m = 0, 0219 < 1 = ϕb ∗ Wcx ∗ Ry ∗ γc 45, 091 ∗ 0, 0103 m3 ∗ 310 MPa ∗ 0, 9 (11) – the condition for general stability is satisfied. – Checking the overall stability of the girder chord: λf = 0, 35775 < 0, 53023 = λuf – the condition is fulfilled and the stability of the girder chord is ensured. Ryf bef 166 mm 310 MPa = ∗ = 0, 35775 ∗ λf = tf E 18 mm 2, 06 ∗ 105 MPa Ryf 310 MPa λuf = 0, 5 ∗ − = 0, 5 ∗ 275, 66 MPa = 0, 53023 σx
(12)
(13) (14)
(5) Stability test of beam wall for combined action of tangential, normal and local stresses.
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The results of this test are shown graphically in Figs. 2 and 3. Resulting graphs are plotted isofields of the stability factor of the system. Resistance coefficient in this case is the ratio of the total of the applied stresses to the critically permissible stresses. Provided the effective stresses do not exceed the critically permissible stresses, the stability of the wall is ensured, and vice versa. By blue isolines the sections of the girder wall are shown where stability is ensured, by red isolines the sections where the wall stability is lost [13]. 1.456
1.30
1.40
1.27 1.20 1.00
1.437
1.431
1.40
1.40
1.30
1.20
1.30
1.10
1.00
0.90
0.80
0.70
0.60
0.50
0.40
0.30
1.20
0.20
1.135
1.00 1.10
Fig. 1. Distribution graph of isofields of girder wall stability coefficient (for half-span).
Fig. 2. Distribution graph of isofields of the girder wall stability coefficient.
According to the results of the analytical calculation, the load-bearing capacity of the section taken for analysis is provided, but the stability of the beam wall is not ensured. Operating the girder without taking any measures to increase the stability of the girder wall requires reducing the design load from 70 kN/m to 48 kN/m (a reduction of 31.43% in the value of the payload).
5 Conclusion Based on the data obtained, it is possible to identify areas that require additional reinforcement with composite plates to increase the stability of the beam wall. Three main areas should be identified where loss of girder wall stability can occur: 1. The zone of the greatest normal and local stresses. Characterised by loss of girder wall stability with a wave-like bulging of the wall. Beam wall stability loss waves direction perpendicular to the longitudinal axis of the beam. 2. The area of the greatest tangential stresses. It is characterised by the unilateral girder wall losing its stability in the supported areas, the wall losing its shape with a wave whose axis is inclined at an angle to the longitudinal axis of the girder.
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3. Zone of joint action of normal, local and tangential stresses. While this section is dangerous as it is not subject to the highest stresses, a loss of wall stability may occur due to the combined action of the stress components. The shape of the wall deformation in the section depends on the predominance of one of the components of the acting stresses. Sustainability analysis of the central part of the beam shows that tensile stresses predominantly act in the lower part of the beam (the effect of local and shear stresses is negligible) and loss of stability of the tensile section of the beam (bending out of the bending moment plane) is only possible if there is a loss of overall stability of the beam.
References 1. Egorov, V., Abu-Khasan, M., Shikova, M.: The systems of reservation of bearing structures coatings of transport buildings and constructions for northern areas. IOP Conf. Ser. Mater. Sci. Eng. 753, 022021 (2020). https://doi.org/10.1088/1757-899X/753/2/022021 2. Rusanova, E., Abu-Khasan, M., Egorov, V.: Influence of wooden cross ties on the surrounding medium at operation of transport objects in cold regions. IOP Conf. Ser. Mater. Sci. Eng. 753, 022042 (2020). https://doi.org/10.1088/1757-899X/753/2/022042 3. Egorov, V., Belyy, G.: Nonlinear properties of hybrid construction of coatings of buildings and structures. E3S Web Conf. 217, 01001 (2020). https://doi.org/10.1051/e3sconf/202021 701001 4. Belash, T., Travin, S.: The use of long-span coating plates in case of reconstruction of “wet” spent nuclear fuel storage facilities. IOP Conf. Ser. Mater. Sci. Eng. 962, 022064 (2020). https://doi.org/10.1088/1757-899X/962/2/022064 5. Belash, T.A., Ivanova, T.V.: Earthquake resistance of buildings on thawing permafrost grounds. Mag. Civil Eng. 93(1), 50–59 (2020). https://doi.org/10.18720/MCE.93.5 6. Belash, T.A., Uzdin, A.M.: Effects of permafrost on earthquake resistance of transport facilities in the Baikal–Amur mainline area. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 79–95. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_9 7. Nikitin, Y.: Architecture of Russian exhibition pavilions at international Nordic exhibitions in the late 19th - Early 20th centuries. Archit. Eng. 5(4), 35–43 (2020). https://doi.org/10. 23968/2500-0055-2020-5-4-35-43 8. Benin, A., Semenov, S., Semenov, A., et al.: Parameter identification for coupled elasto-plastodamage model for overheated concrete. MATEC Web Conf. 107, 00042 (2017). https://doi. org/10.1051/matecconf/201710700042 9. Ulitskiy, V., Alekseev, S., Kondrat’ev, S.: Experimental evaluation of the deformational calculation method of foundations for overpasses of high-speed railways. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 83–91. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_10 10. Shashkin, A.G., Shashkin, K.G., Ulitsky, V.M.: Calculation of soil–transport structure interaction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 135–146. Springer, Singapore (2020). https://doi.org/10.1007/ 978-981-15-0454-9_14 11. Smirnova, O., Kharitonov, A., Belentsov, Y.: Influence of polyolefin fibers on the strength and deformability properties of road pavement concrete. J. Traff. Transp. Eng. (English Edn.) 6(4), 407–417 (2019). https://doi.org/10.1016/j.jtte.2017.12.004
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12. Kharitonov, A.M., Tikhonov, Y.M., Belentsov, Y.A.: Influence of concrete strength evaluation method accuracy on reliability levels of geotechnical structures. In: Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations. CRC Press, London (2019). https://doi.org/10.1201/9780429058882 13. Egorov, V., Kravchenko, A., Abu-Khasan, M.: The application of evolutional algorithm optimization of Sprengel systems of transport buildings and structures for northern districts. IOP Conf. Ser. Mater. Sci. Eng. 753, 022020 (2020). https://doi.org/10.1088/1757-899X/753/2/ 022020
Modernization of Urban Planning Methods as a Condition for the Formation of the City Transport System Oleg Nikiforov(B) Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. Transport infrastructure was seen by the author as the most important component of the urban environment. The experience of foreign countries and statistical data of different countries in comparative aspect are analyzed. There are no requirements for the effective use of urban areas and the formation of the form of the city plan. An integrated approach was considered, which includes bringing the productivity of transport infrastructure to the modern level of motorization, measures to improve road safety, as well as the priority development of environmentally friendly, economical and high-speed public passenger transport. In this regard, the problems of improving the theory and practice of urban planning are being re-highlighted. In conclusion, the author makes a generalization and presents the main directions of an integrated approach to solving the problems of urban territories related to the optimization of transport infrastructure, the expected results of the implementation of measures in the main areas. Keywords: Urban planning · Master plan · Transport infrastructure · Ecology · Accessibility · Passenger transport · Development · Areas · Experience · City plan
1 Introduction The current level of urban development in most Russian cities is a source of concern for specialists and the general public. Accessibility and ease of reaching destinations is a key indicator of the efficiency of land use and of the transport system [1–3]. Accessibility and equity studies have focused on the distribution of the public transport system across different income groups [4, 5]. Transport service providers, carriers and passengers all treat the quality of transport services as a priority for their own interests. Systematic evaluation of quality measurement, passenger interaction with the transport system helps to improve them [6–8]. There is a shortage of social housing. Social rented housing is not provided for young families. This is being an important demographic factor. Russians have to take out a mortgage for 15–20 years to buy a house while in developed countries a working person can save for a flat in 5–10 years. Up to 70% of flats in new buildings are empty for long time. This suggests that housing provision in Russia is 2.2 and 3.5 © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 181–189, 2022. https://doi.org/10.1007/978-3-030-96380-4_21
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times lower than in the EU countries and the USA. All of this forces us to begin a serious situation analysis. Experts argue that by 2050 70% of the world’s population will live in cities [9]. The most important concern will be the redevelopment of areas that are already in use or occupied. It’s a lot harder to do than creating a city from scratch.
2 Methods The basic indicators of building density are: – the building factor is the ratio of the area occupied by buildings and structures to the area of the plot (residential quarter) ranging from 0.4 to 1.0; – the building density factor - the ratio of the area of all storeys of buildings and structures to the area of the plot (residential quarter) can be 1.6 in multi-family buildings and up to 3.0 in mixed-use public and business areas. Population density in the code SP 42.13330.2016 is regulated by the following value: “The estimated population density of the neighbourhood with multi-storey complex development and average housing provision of 20 m2 per person shall not exceed 450 persons/ha. Most cities have a low density that prevents the creation of a quality urban environment. The development of transport infrastructure is characterised by the linear density of the transport grid (km/km2 ). With a low gross population density, the density of the transport grid is also low affecting the transport accessibility of the areas and the travel times. Due to the increased length the cost of the transport grid is increasing. Population density by major Russian cities: Moscow - 12 thousand inhabitants/km2 , Omsk - 4.5 thousand inhabitants/km2 , Novosibirsk 4.0 thousand inhabitants/km2 . Cities in developed capitalist countries are oriented towards individual transport; this is particularly evident in the US where streets, pavements and car parks account for a third of the populated areas. In our country the proportion is less than 5%. Parking takes up substantial space and is expensive for American taxpayers. This is the main finding from a recent study of parking in 5 American cities: New York, Philadelphia, Seattle, Des Moines and Jackson. Philadelphia has more than 2 million parking spaces, New York has 1.85 million, Seattle and Des Moines have 1.6 million each and just over 100,000 in tiny Jackson where 10,000 people live. Parking takes up an enormous amount of space: Jackson has more than 50 parking spaces per acre. That’s 25 times the size of residential areas. There are an unimaginable 27 parking spaces per household (flat). The US is overspending resources on parking despite the fact that there are fewer car rides there. The percentage of Seattle households with cars has declined for the first time in 40 years and the percentage of senior drivers is at a record low of 71.5% as of 2015. That said, ridesharing is becoming popular and cities and developers are looking to reduce parking demand even further. With ridesharing travelling companions find each other on an online platform, the driver is reimbursed, users have ratings and reviews, the trip can be planned, etc. Meanwhile, an analysis of open sources reveals an unsightly picture in our cities in terms of these indicators. Thus, in Vladivostok there are virtually no car parks. There are a number of park points in the centre for a slender number of places on offer but they are occupied almost all the time. Pay only hourly with an average of
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100 roubles/hour. Evacuation business is seriously developed in the city. The houses in Vladivostok are being built higher and thicker. There is an entire residential area with new buildings that was not built chaotically but planned as a single project. Currently there are more than 30 multi-entrance buildings of 10 to 24 storeys. That is the number of families living there is enormous and the building density and topography make even spontaneous parking difficult [10].
3 Results 3.1 On the Current State of the Omsk Modern Planning Structure In 2020 work began on adjustments to the general plan in Omsk. The need therefore arose to assess and try to correct deficiencies in the planning structure namely: – the “discontinuity” of the urban fabric due to the topography formed by the confluence of the two rivers; – the lack of bridges over rivers. Congestion at a range of transport hubs, rush hour congestion on the city’s main thoroughfares; – the random zones alignment of different functional purposes; – Only develop the most accessible and easy-to-develop areas (embankments); – imbalance in the location of residence and workplaces as a consequence of uneven and extensive spatial development. These reasons resulted from the following problems affecting the life quality of the population and the Omsk economy: 1. With a high level of motorisation and lagging road capacity development passenger and freight travel times have increased significantly in the city. 2. Moral and physical ageing and a reduction in the number of public transport vehicles has resulted in public transport failing to cope with passenger traffic. 3. The high relative share of public transport costs and the use of liquid hydrocarbon fuels has a negative impact on the economy, the environment and public health. 4. The lack of bus stations and organised transfer points for passengers from cars to public transport is responsible for the poor quality of passenger service. 5. The parking problems create dissatisfaction among residents, degrade the quality of the residential environment and reduce the street capacity. 3.2 Route Map Optimisation The country’s transition to a market economy has led to a reduction in the share of urban passenger transport. The population has increased its use of individual transport. Still there is a part of the population that is unable to afford this so periodically there is a need to bring the route system in line with demand. The author’s analysis revealed that in 2019 the register of municipal regular transportation routes within the boundaries of the city of Omsk consisted of 49 municipal bus routes, 81 routes of non-municipal carriers,
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9 seasonal routes, 8 trolley bus routes, and 6 tram routes (Table 1). The number of routes has fallen by 17% in the last three years. The average length of scheduled routes was 22.9 km. The total length of routes decreased by 28% by 2017. The rolling stock has decreased by 8%. There are no articulated buses in the city after they were scrapped in 2018. Number of electric vehicles: 121 trolley buses (85%) and 75 trams (100%). Nowadays most people prefer individual transport by becoming drivers. This choice is based on a number of advantages - door-to-door travel, increased speed, independence from destinations and schedules and more comfortable travel conditions. At the same time there is a lack of road capacity and a shortage of parking space. Urban passenger transport lacks the advantages of individual transport, but is more productive. It occupies a smaller specific area per passenger [5]. In master plans it is advisable to prioritise the development of urban passenger transport in the future. Table 1. Main indicators of the route system in Omsk (2017–2019) Indicator
2017
2018
2019
%
Number of rolling stock units:
2711
2609
2505
92%
- MP bus
549
481
493
90%
Trolley bus
143
137
121
85% 100%
Tram
75
75
75
- buses of non-municipally owned carriers
1944
1920
1816
93%
Number of public transport routes (PTR) units:
174
147
144
83%
- MP bus
60
50
49
82%
Trolley bus
9
8
8
89%
Tram
6
6
6
100%
- buses of non-municipally owned carriers
99
83
81
82%
The length of the public transport routes in km:
3406.5
2640
2436.6
72%
- MP bus
1134.6
965.9
859.9
76%
Trolley bus
119.0
113.5
113.5
95%
Tram
62.8
62.8
62.8
100%
- buses of non-municipally owned carriers
2090.1
1497.8
1400.4
67%
3.3 On the State of Transport Infrastructure The availability of large numbers of parking spaces in the US with a car ownership rate of 800 cars per capita is offset by the near absence of public passenger transport. According to expert forecasts the motorization level in Russia should stabilize at the level of 350–400 cars per thousand inhabitants. This implies the need to bring the capacity of the transport network up to this level. The focus should be on the development of public passenger transport. In Omsk today the situation with bus terminals is difficult.
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One bus station is located in the city’s 6th microdistrict at 2 Komarova St., another one is located in the train station building at 1A Leconta St. There are no bus stations although there are organised and unorganised arrival and departure points for passengers. The main bus station’s location suggests that it is inadequate. It is located in a residential district which creates a negative environmental impact on residents in terms of traffic, noise and emissions. The building’s architecture could be described as peculiar and atypical of Siberia as it was designed in a southern climate zone. Passengers have to freeze and inhale exhaust fumes while waiting on platforms because the waiting room does not face them. There are no public transport stops in front of the station, no taxi and car parking in the station square: it is all located at a considerable distance. The bus station serves 349 destinations; the shortage of departures is evidenced by the schedule posted on the Omskoblavtotrans website. Apart from that there are plenty of unorganised places of departure. The bus station, train station, airport and river station are located in different parts of the city and are not connected by a system, for example. Improving the situation with passenger service on inter-municipal routes and combining external modes of transport will allow the implementation of the proposed concept of forming transport interchange complexes (TIC) on the key outbound routes of the city. The concept’s implementation will free up areas currently being used as a waste and turning area with limited functionality (e.g. Budarina Street, Partizanskaya Street, etc.) and use them for the city and regional development. All this calls for policy measures to streamline passenger departures, ensure their safety, comfort and legalise revenues to the municipal budget from out-of-town passenger transport services. 3.4 Urban Ecology Of the two sources of environmental pollution (natural and anthropogenic), the second is the most problematic. According to the Russian Statistics Agency and the Russian Ministry of Natural Resources and Environment emissions from cars in Russia reached 15.1 million tonnes in 2018, an increase of 19% compared to 2012. Regionally, the largest volume of emissions was recorded in Moscow (933.9 thousand tons, +2%) and the Moscow Region (805.4 thousand tons, +14%). These regions together accounted for 11.5% of total emissions from cars in Russia in 2018. The cars emissions growth is attributed to an increase in car sales. According to our country’s automotive market surveys sales of passenger cars increased by 13.2% in volume terms in 2018 compared to 2017, light commercial vehicles by 3.4% and trucks by 2.7%. An analysis of the author’s traffic flow survey for Omsk in 2020. A total of 25 main sections and traffic crossings were surveyed for an hour in each direction. During this time 141918 vehicles (100%) were recorded. Among them passenger cars accounted for 87.2%, minibuses 5.5%, buses 2.6%, trucks and other 2%. The change in the proportion of the different transport modes in the traffic flow is stable and fluctuates within 2% throughout the day.Analysis of traffic intensity from the survey of the opposite directions of one cross-section shows the presence of two peak periods during the day - from 7:00 to 9:30 and from 15:30 to 19:30 differently directed in the morning and evening hours. As a rule the intensity increases from the sleeping areas to the city centre in the morning and back in the evening. The way out of the difficult environmental situation should be sought by improving the environmental class of vehicles in use spreading the use of
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NGVs, electric vehicles and decommissioning obsolete models [11, 12]. Therefore, it is advisable to amend the current GOST R 56162-2019 with regard to the environmental class of the rolling stock. When developing the master plan this will make it possible to compare different transport system options for the design period. Improving road safety (RS). There is a strong correlation between the number of road fatalities and the economy. During economic recovery crash rates gradually recover and they are progressively higher the higher the growth of the economy. For the implementation of the Road Safety Strategy 2018–2024 the results must therefore be taken into account. 3.5 Shaping a Comfortable Urban Space From time to time there is a need for city dwellers to come together for public events. The theory is that community centres and squares should be at all planning levels - neighborhood, residential area, city district and city centre with a main square. Our ancestors created urban centres where important state problems were resolved and public events and veches were held. Unfortunately, not everywhere have these traditions survived - for example, Omsk does not have a town square despite its respectable age of over 300 years. The existing Cathedral Square in the city centre is placed on the roadway. The road must be closed in order to install the bleachers for the festivities. This results in traffic jams and makes the city centre inaccessible to traffic. The city has serious embankment problems. On the right bank of the Irtysh River it is made in sections, on the left bank it is not. The Om River is practically without embankments. There is such an indicator as the Urban Environment Quality Indicator [13]. Wetlands, wastelands, wild beaches and landfills on the coast significantly affect this figure. Historically, rivers have been natural means of transport so they have been developed in all major cities. With vertical embankments it will be possible to build thoroughfares and pavements along rivers in Omsk. This will increase the efficient use of the urban area, distribute traffic and pedestrian flows more rationally and enhance the city’s image. Improving the city’s plan form. This aspect is rarely mentioned in city master plans but studies have shown that the geometric shape of a city has an impact on the economy. It directly affects the length of engineering and transport links and the travel time between districts. European cities have historically developed on the basis of fortresses with roads leading to them. This type of transport layout is called a radial-circular layout. Most U.S. cities are rectangular in plan allowing for convenient transport links with alternating one-way streets. There are cities with a mixed transport layout in shape resembling a circle, square, triangle, rectangle, ribbon. Calculations have shown that if 100% of the population can be accommodated in a circular city, then 79% of the population can be accommodated in a square-shaped city, 53% in a triangular city, 50% in a rectangular city and 28% in a ribbon-shaped city. In shaping urban planning policy this indicator must be actively influenced by the future development of the city. 3.6 Accessibility of the Urban Environment Creating an accessible environment is a legal requirement. The current regulations, however, have made the process so complicated that it has come to a virtual standstill. The
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methodology for shaping an accessible environment includes object- and route-oriented approaches ensuring accessibility in the residential and urban environment, social and transport infrastructure, and rolling stock. In Omsk this work has been going on for a long time and is yielding positive results. There are already 3,235 facilities certified for accessibility and their accessibility has been mapped. The proportion of rolling stock that is accessible to disabled people and people with low mobility is increasing and in 2019 was 66% for buses, 16.5% for trolleybuses, and 23% overall (according to the author’s research) [13]. The problem with statistical reporting on accessibility remains unresolved. Thus, Canadian experts [14] look at accessibility on public transport for people in a wheelchair. The public transport grid accessible to a person in a wheelchair may differ significantly from the grid accessible to the rest of the population due to physical barriers such as stairs at underground stations or inaccessible buses. These obstacles and the associated difficulty in obtaining employment opportunities create problems for this category of people who are more likely to remain unemployed or underemployed than the general population for a considerable period of time. However, the authors do not propose units for measuring the accessibility of facilities and vehicles. They use unit values - the share of accessible facilities in the total number of facilities. This problem - the lack of accessibility indicators - has long needed to be addressed. Accessibility indicators are needed to reflect the achievements of accessibility policies enshrined in the UN Convention on the Rights of Persons with Disabilities which Russia ratified in 2012. In the Russian Federation federal statistical observation forms do not include records of the state of accessibility to facilities and settlements for persons with disabilities and groups of people with low mobility. Only the linguistic characteristic of areas and buildings is present: inaccessible, partially or fully accessible to all or to a certain category of persons with disabilities. It is proposed to use an accessibility scoring system where numerical parameters correspond to linguistic characteristics and are determined by visual and instrumental control: 1 - insurmountable obstacles exist; 2 - obstacles can be overcome with assistance; 3 - no obstacles, independent access to the facility and services is possible [15]. If you line up the scores in a specific order corresponding to the disability categories (C - wheelchair users, C - visually impaired, D - hearing impaired, O - locomotor impaired), you get an accessibility code for the facility, for example - 1223. This means that it is inaccessible for wheelchair users, for the blind and deaf with assistance. Whereas people with mobility impairments can access the service independently. The coding system makes it possible to obtain accurate accessibility values for individual elements, group average values, average values of functional areas, facilities and services and to monitor changes in their accessibility over time. The digital format allows for the coding and matching of links in the logistics chain along disabled people’s routes with defined accessibility parameters in different transport systems. The numerical assessment of accessibility can be used in the statistical recording system at municipal, regional and federal levels, as well as in assessing the implementation of the UN Convention on the Rights of Persons with Disabilities [16, 17].
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4 Discussion In most major cities of the Russian Federation there is an urgent need to ensure a shortterm balance between the transport modes used to serve the population. All this requires a comprehensive approach covering the following areas in the master plan: – Renewal of the public road transport fleet with Euro 4 and Euro 5 rolling stock up to 100% of the total number of vehicles in the fleets of the haulage companies; – Renewal of the urban electric transport fleet of trolley buses and tramcars with the simultaneous purchase of a new public transport mode - electric buses; – Ensure accessibility of public transport rolling stock for people with low mobility by 2030 at a level of 50–55%; – Ensure accessibility of public transport rolling stock for people with low mobility by 2030 at a level of 50–55%; – Implementation of a route-oriented approach to ensure an accessible urban environment by forming a pavement grid within the city that is accessible to pedestrians, cyclists and people with low mobility. Activities carried out on this basis will lead to the following results: – Reduction of travel time in the city for passengers and freight on major and minor routes. – The emergence of a reliable, fast, economical and environmentally friendly non-rail transport system that reduces travel times for passengers. – Ensure transfer from car and commuter routes to public transport, making public passenger transport more accessible, comfortable and popular. Improve drivers’ working conditions by equipping transport complexes. A tool to assess the appropriateness of the developed street and road network development option is the modelling of the transport system taking into account all socio-economic efficiency factors.
References 1. Bocarejo, J., Oviedo, D.: Transport accessibility and social inequities: a tool for identification of mobility needs and evaluation of transport investments. J. Transp. Geogr. 24, 142–154 (2012). https://doi.org/10.1016/j.jtrangeo.2011.12.004 2. Golub, A., Martens, K.: Using principles of justice to assess the modal equity of regional transportation plans. J. Transp. Geogr. 41, 10–20 (2014). https://doi.org/10.1016/j.jtrangeo. 2014.07.014 3. Guzman, L., Oviedo, D., Rivera, C.: Assessing equity in transport accessibility to work and study: the Bogotá region. J. Transp. Geogr. 58, 236–246 (2017). https://doi.org/10.1016/j.jtr angeo.2016.12.016 4. Delmelle, E., Casas, I.: Evaluating the spatial equity of bus rapid transit-based accessibility patterns in a developing country: the case of Cali, Colombia. Transp. Policy 20, 36–46 (2012). https://doi.org/10.1016/j.tranpol.2011.12.001
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5. Legrain, A., Buliung, R., El-Geneidya, A.M., et al.: Travelling fair: targeting equitable transit by understanding job location, sectorial concentration, and transit use among low-wage workers. J. Transp. Geogr. 53, 1–11 (2016). https://doi.org/10.1016/j.jtrangeo.2016.04.001 6. Zitrický, V., Gašparík, J., Peˇcený, L.: The methodology of rating quality standards in the regional passenger transport. Transp. Prob. 10, 59–72 (2015). https://doi.org/10.21307/tp2015-062 7. Belyi, A., Scestovitskii, D., Karapetov, E., et al.: Main solutions of structural health monitoring in managing the technical condition of transport objects. Paper presented at 2019 IEEE EastWest Design and Test Symposium. IEEE, Batumi, 13–16 September 2019. https://doi.org/10. 1109/EWDTS.2019.8884435 8. Gulyi, I.: Economic assessment of the implementation of the distributed data registry platforms in multimodal transport. E3S Web Conf. 220, 01068 (2020). https://doi.org/10.1051/e3sconf/ 202022001068 9. Mccarthy, G.W.: Construir las ciudades que necesitamos. Land Lines 32(2), 2–7 (2019) 10. Shvetsova, S., Shvetsov, A.: Safety when flying unmanned aerial vehicles at transport infrastructure facilities. Transp. Res. Procedia 54, 397–403 (2021). https://doi.org/10.1016/j.trpro. 2021.02.086 11. Kopytenkova, O.I., Afanaseva, T.A., Burnashov, L.B., et al.: Hygienic assessment of interventions for redusing excessive acoustic impact on residential areas. Gigiena i Sanitariya 98(6), 671–676 (2019). https://doi.org/10.47470/0016-9900-2019-98-6-671-676 12. Ivanova, K., Branzov, T., Ivanova, N.V.: IoT on the roofs of municipally governed vehicles for air pollution tracking. CEUR Workshop Proc. 2803, 172–177 (2020) 13. Grisé, E., Boisjoly, G., Maguire, M., et al.: Elevating access: comparing accessibility to jobs by public transport for individuals with and without a physical disability. Transp. Res. Part A 125, 280–293 (2019) 14. Benoit, C., Jansson, M., Jansenberger, M., et al.: Disability stigmatization as a barrier to employment equity for legally-blind Canadians. Disabil. Soc. 28(7), 970–983 (2013) 15. Safronov, K., Safronov, E., Mochalin, S.: Methods of managing city transportations of passengers with disabilities. MATEC Web Conf. 239, 02008 (2018). https://doi.org/10.1051/mat ecconf/201823902008 16. Belyi, A., Shestovitskii, D., Myachin, V., et al.: Development of automation systems at transport objects of MegaSity. Paper presented at 2019 IEEE East-West Design and Test Symposium. IEEE, Batumi, 13–16 September 2019. https://doi.org/10.1109/EWDTS.2019.888 4382 17. Efanov, D., Sapozhnikov, V., Sapozhnikov, V.: TWO-model weight-based sum code in residue ring modulo CIAO. SPIIRAS Proc. 19(3), 674–713 (2020). https://doi.org/10.15622/sp.2020. 19.3.8
Risks of Investing in Business Projects: Analysis, Evaluation, Management Tatiana Satsuk1
, Svetlana Zhutiaeva1(B) , Tatiana Vladimirova2 and Valentina Parshina3
,
1 Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9,
190031 Saint Petersburg, Russia 2 Siberian Transport University, Dusi Kovalchuk Street, 191, 630049 Novosibirsk, Russia 3 Ural State University of Railway Transport, Kolmogorova Street, 66,
620034 Yekaterinburg, Russian Federation
Abstract. The purpose of this study is to develop an understanding of investment risks in the Russian economy, to analyse and assess the current conditions for investing in projects and to substantiate risk management approaches. This article examines the current issues of risk and uncertainty in business investment. Developed a matrix of investment risks based on a survey analysis of small businesses that should be considered when planning business projects in Russia. Based on the risk classification, a risk management architecture for all phases of the business project life cycle is proposed. In order to improve performance an approach to risk management in the current operations of the company is justified including a modified 4W model. It raises questions such as: which unit is responsible for implementing the risk management system, how many employees should be responsible for risk management processes, how often to monitor changes in business processes and which methods to use to assess risks. Keywords: Uncertainty · Risk register · Risk matrix · Internal audit · Stages of an innovation project · Qualitative and quantitative methods
1 Introduction Investment activities are subject to a high level of uncertainty. It is characterised by the considerable duration of projects, the large number of factors determining the final project results, the variability of the results over time, etc. Every business project in the investment phase implies a deferral of income - hence the fact that risk is involved. Project development is based on financial investments, current and future costs, sales volumes and product prices. Despite the validity of these data it is not always possible to predict project-related developments. In addition, the global economy is increasing the importance of uncertainty, evolving exponentially. This massive change is due to the rapid pace of scientific and technological progress triggered by the Fourth Industrial Revolution. The complexity of the business model generates a thorough need for risk assessment. Inadequate risk assessment affects the future profitability and effectiveness of the business project. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 190–199, 2022. https://doi.org/10.1007/978-3-030-96380-4_22
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2 Methods Classical business risk theory (Marx, Mill, Seniors, etc.) treats risk as a potential economic loss or a mathematical expectation of loss. In 1921 Frank Knight formulates the concept of a trade-off between risk and return [1]. In modern times, the work of risk management auditor Norman Marks can be noted who substantiates the link between risk management and effective governance. He believes that when considering a new business start-up it is wise for an entrepreneur to focus on revenue first and then think about costs. Norman urges risk professionals to focus on achieving success rather than avoiding failure. Nanda and Rhodes-Kropf [2] argue in their writings that entrepreneurship is an experiment; the probability of success is low, extremely skewed and unknown until the investment is made. The uncertainty of new technology in its earliest stages means that it is virtually impossible to know the true potential of a venture without learning about its viability through the sequence of investments over time. Girotra Karan, Netessine Serguei researchers in the field of business model auditing propose an information and motivational risk management system to optimise the business model and improve its performance. In today’s world, the danger of information risk is increasing; information about hacks, data breaches and other technology failures has grown exponentially in recent years and companies are paying a lot of attention to the issue of cyber security [3]. The Multilateral Investment Guarantee Agency (MIGA) provides protection against political and non-commercial risks for corporations and financial institutions investing in projects in developing countries. Guarantees are given for a period of 1 to 15 years. MIGA guarantees are issued for up to USD 250 million and cover up to 90% of the equity investment or up to 95% of the loan in debt financing. Russia has been an important growth market for international investor companies for many years. Business in the Russian market is of the highest global standards. These are the key findings of EY’s Russian International Business Outlook survey. • 91% of international investors view Russia as a strategic market and plan to develop their business in Russia. • 61% of companies believe that the business climate has improved, and they appreciate the government’s efforts to improve it. • 51% of companies are involved in projects aimed at minimising their negative impact on the environment with a focus on sustainable development. In 2018, foreign investors invested in 211 new projects in Russia making it the ninth most attractive European country for investment. Among the important factors boosting Russia’s attractiveness in the eyes of foreign investors in 2018 were low inflation and solid economic growth to 2.3%. Moscow and the Moscow region with 61 new foreign direct investment (FDI) projects and St Petersburg and the Leningrad region with 25 new FDI projects remained the most attractive for investors ranking first and second respectively [4].
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Alongside the positive trends companies note a number of risks associated with entrepreneurial activity. These are presented in Fig. 1 on the basis of the Rosstat survey. A similar study was carried out by the Bank of England in 2016–2018.
Low profitability of investments in fixed assets Insufficient demand for products Imperfect legal and regulatory framework governing investment processes Investment risks High percentage of commercial loans Uncertainty of the economic situaon in the country Lack of own financial resources 80 60 40 20 0
2000
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
Fig. 1. Factors limiting investment activity of small businesses in Russia, % of the total number of organizations
Low: consequences are minor and often ignored. According to Fig. 1 there are four main reasons that limit the investment activity of small businesses in Russia the most - the difficult economic situation in the country, investment risks, high loan rates and insufficient own funds to finance activities. The last two reasons inhibit the launch of new projects because they limit funding [5]. Based on all the reasons that companies have identified as obstacles to investment let’s analyse the risks and compile a risk matrix one of the most popular tools for assessing potential threats. The percentage of risk probability was determined on the basis of data for 2010–2019 based on the average. The risk ranking presented in Table 1 can be described as follows: Medium: the likelihood of their occurrence makes it impossible to ignore them and the consequences can be tangible. If possible, measures should be taken to prevent medium risks but it should be remembered that they are not a priority and may not critically affect the success of the organisation or project. High: have serious consequences and are quite likely to be realised. They should be responded to in the near future. They are often coloured orange. Extreme: catastrophic risks that have serious consequences and have a high probability of occurring. Have the highest priority. Can threaten the existence of the organisation
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or the success of most tasks. Immediate action should be taken to eliminate or reduce the possible effects. Table 1. Matrix of risks hindering investment in Russia Probability of risk Exposure risks
Risk of cyberattacks targeting financial activities - 8%
Risks of Skills shortage rising prices 25% for raw, materials and equipment 23%
High commercial loan interest rate - 39%
High domestic inflation rate of 50%
Unsatisfactory state of the technical base 16%
Imperfect legal and regulatory framework governing investment processes 22%
Difficult Investment mechanism for risks-34% obtaining credit for investment projects - 29%
Uncertainty about the economic situation in the country - 42%
Low return on capital investment 15%
Insufficient demand for products 23%
Third party risks (partners, counterparties, etc.) - 25%
Currency risks - 39%
Lack of own funds - 53%
Medium
High
Extreme
Risk rating Low
Problems in legislation that have a negative impact on investment attractiveness in Russia include frequent changes in legislation, high administrative barriers, inconsistency of legislation with the prevailing conditions, selective interpretation and application of laws and insufficient or no transition periods. However, the following examples of positive changes in the regulatory environment in Russia were noted by the survey participants: – Developments in employment law such as the experiment in the use of electronic digital signatures in personnel documents. – Development of legislation in the field of investment protection. Traditionally, risks have been assessed along two dimensions: potential impact and probability. Today, however, a third dimension is crucial - the speed when risks that cannot be prevented can lead to losses or damages or risks of increased profitability that are spotted in time and could lead to a rapid increase in profits. Continuous monitoring of critical controls through new tools (e.g. DXC Technology Data Lake for internal audit)
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based on data and technology is needed to monitor high-risk areas in real time and to expand the coverage of risks by adding risk areas that were not monitored before [6]. It is advisable to begin risk management by analysing and assessing the risks that are specific to each stage of an innovation project. It is advisable to divide the business project into stages and identify the main risks. A register of the most significant risks at each stage of the project with an indication of the measures required for risk management is formed and presented in the work. Risk identification is an iterative process, the systematic implementation of which is central to building an effective risk management system. The risk is unevenly spread over the project life cycle. In projects with a high degree of new technology adoption most risks may be in the early stages of the project. In projects with large equipment budgets the greatest risk may be in the equipment procurement. In global projects with high political risk most risk may occur at the end of the project [8]. Reference should be made to the well-known 4W concept [9] highlighting four main interventions in risk management decision-making: 1. WHICH goals the management decision will focus on. 2. WHEN the decision is to be taken. Many decisions should be made before you have enough information to make them confidently. 3. WHO should make the decision. Each decision dictated by the business model is made by a specific person(s): a company employee, regulator, committee or other organisational structure. 4. WHY the decision will affect the actions of those involved in the process affected by the decision. The model can be modified and supplemented with the following questions to increase the effectiveness in deciding on a risk management option: 5. WHERE. Which unit is responsible for implementing the risk management system? Most often, a separate unit is set up in large companies with between 1,000 and 5,000 employees. The head of such a unit reports directly to the chief executive officer. This ensures a sufficient level of authority and also avoids the conflict of interest associated with combining responsibility for managing one of the company’s functional areas and implementing risk management approaches. 6. WHO. A modern risk manager should conduct an objective and independent risk assessment, have a good knowledge of ISO 31000-2010 international standards, be skilled in quantitative risk assessment, be a good psychologist and be able to avoid mental traps in decision-making and have industry knowledge. 7. HOW MUCH. How many staff should be responsible for risk management processes. The expert method found that in companies with 500 to 5,000 employees one person is responsible for risk management processes. In companies with annual revenues of 50 to 500 billion roubles one person is responsible for risk management processes more than 5 people. 8. WHEN. How often to monitor changes in business processes. If a production facility is running a continuous process cycle then risk monitoring should be continuous. Only such discrete work will enable risks to be identified in a timely manner and
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responded to promptly. Since risk is a variable and depends on specific values at the moment. 9. HOW. Which methods to use to assess risks. To determine the materiality levels of risks companies assess risks using qualitative or quantitative methods. Qualitative methods are used by 85% of Russian companies. Quantitative risk analysis methods are only used by companies that have established a risk appetite approach which may indicate a more mature risk management system in such companies [10]. In order to start using quantification when calculating certain operational risks,it is necessary to establish a process for collecting data in a common format, a template, using IT systems. In Russia only two companies out of five use IT tools to automate the risk analysis process. Companies mostly use tools that are available in IT solutions packages for internal audit, risk management and internal control (SAP, SAS). Also, a number of companies separately mentioned having their own models to perform probabilistic analysis or using tools based on MS Excel.
3 Results The main reasons limiting investment activity and having serious consequences and high probability of occurrence for small enterprises in Russia are the rather high inflation rate in the country, the uncertain economic situation in the country, the insufficient amount of own financial resources. Such risks can threaten the existence of the organisation or the success of the tasks bulk. It is advisable to begin risk management by analysing and assessing the risks which are specific to each activity. Risk analysis begins with the identification and classification of risks. There are many classification criteria, e.g. according to degree of impact, source, scale, stage of occurrence. Each stage of an innovation project has its own individual risks that affect the project’s development and also condition the risks of the following stages. It is important to divide the project into stages or business processes and to identify the main risks realised at each particular stage of the project. [11] Table 2 presents a risk register for the project lifecycle stages and recommendations for mitigating them. Table 2. Investment project risk register Stage
Internal-organisational
Internal-financial-economic
Inadequate operation of company legal services Problems in recruiting sufficiently qualified staff
External Information risks and cyber risk
Preparatory stage (pre-project investment feasibility study) (continued)
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Stage
Internal-organisational
Internal-financial-economic
External
-shaping investment objectives and areas of focus, - engineering
- the risk of choosing an ineffective concept, - the risk of choosing an object location, - the risks of licensing and obtaining a building permit
- insufficient funding to launch the project
- negative attitude of local authorities towards the project
Ways to mitigate
- choosing experienced - detailed stake-holder counterparties with review of the business case good financial standing at the planning stage and reputation, - timely and complete preparation and submission of the necessary documentation to the public authorities
- analysis of the political and economic situation in the country, region
Investment stage (project implementation) - construction
- changes to the project, - the risk of an extension of the deadline, - risk of poor workmanship
- lack of cash to pay suppliers and contractors and banks, - risk of exceeding the estimated project cost
Ways to mitigate
- the construction - establishment of cash contract should contain reserves for the timely an adequate level of payment of current liabilities compensation in case of delay in commissioning or failure to achieve the contracted production level
- increased costs due to unexpected government tax and customs regulations, - interest rate risk - credit risk insuance, diversification of the loan portfolio, creation of an equity reserve, increasing the share of equity in the capital structure
Operational phase (reaching design capacity) (continued)
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Table 2. (continued) Stage
Internal-organisational
Internal-financial-economic
External
- project development - project closure
- failure to meet production unit plans in terms of volume, deadlines or product quality, - unclear division of responsibilities and powers between structural units, - environmental pollution and civil liability risks - transport and logistics risks
- the risk of capital misallocation for business development - the risk of financing project closure works, -the risk of non-performance of payments, contracts
- the shortfall in revenue due to changes in product demand, - risks of changes in market inventory prices, - rising exchange rates and the consequent increase in the cost of imported components
Ways to mitigate
- clear responsibility al-location when making strategic and operational decisions, - environmental consultant, plan
- financial analysis and management, free cash flow allocation analysis, - the use of cash-pooling tools
- diversification of the sales market, - the use of currency hedging instruments
The effectiveness of the risk register depends on the analysis of both the internal and external company environment. However too much detail as well as too superficial an analysis can reduce the risk register’s effectiveness and have a negative impact on the company’s performance. The establishment and delineation of responsibility is equally important when drawing up a risk register. The risk owner is responsible for the management of a particular risk, its timely identification, assessment, monitoring and prevention [12]. External risks can have positive and negative consequences and are unpredictable because they are outside the organisation’s control. This group may include the actions of existing and emerging competitors, as well as geopolitical, economic, demographic and environmental factors that may directly or indirectly affect the company. Project managers must be well aware of the positive or negative effects of these risks and be prepared to respond more quickly and effectively than their competitors to increase profits. Internal risks include the following: risks of project cost overruns due to inaccurate cost estimates or gradual changes in scope, the risk that activities will take longer than expected which in turn usually results in higher costs and possible loss of competitiveness, risks that the project will not deliver the planned results with the promised performance and quality.
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4 Discussion Risk management techniques are actively evolving these days. Douglas W. Hubbard, a researcher in applied information economics is a proponent of quantitative risk assessment methods; his developments help to reduce risk, plan capital allocation, solve management problems and calculate potential benefits. He offers effective methods that can start out simple and evolve as needed. Michael Rees an independent expert in quantitative decision support and risk modelling solves simulation tasks that are designed to help business risk managers, modelling analysts and general management understand, conduct and use quantitative risk assessment in their own situations [13]. Cognitivists Amos Tversky and Daniel Kahneman rely on qualitative risk assessment methods and have published Perspective Theory: Decision Analysis in Risk. The theory reveals the importance of getting risk right, the consequences of cognitive biases in how we view risk [14]. Norman Marks looks at how risk relates to the company’s objectives and strategy setting examining each risk management action from its identification to its treatment as an integral part of day-to-day management rather than as a separate periodic activity. Julia Graham and David Kay were among the first to recognise the relationship between risk management and business continuity and demonstrate how to integrate them with enterprise-wide corporate governance. They focus on all the factors that need to be considered when developing a comprehensive business continuity plan.
5 Conclusion The risk matrix for the Russian economy provides a visualised and comprehensive view of the probability and impact of risks. This helps the organisation improve its risk management and governance by prioritising risk management allowing it to focus time and money on the most potentially damaging risks. The risk matrix also improves the accuracy of the organisation’s risk assessment strategy and identifies gaps in the organization’s risk management processes. The high structured nature of the risk system is the rationale for increasing the degree of objectivity and expanding the list of methods that can be applied to assess and manage them. According to the proposed classification the risks studied are specific to project business and should be taken into account when building the risk management system of the investment process system.
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Stages and Directions of Innovative Development of the Transport Industry: Digitalization of Russian Railroads Elena Fursova(B)
, Maria Drozdova , and Lubov Kravchenko
Emperor Alexander I St. Petersburg State Transport University, Moskovsky pr., 9, 190031 Saint Petersburg, Russia
Abstract. The article reflects the main current stages and directions of innovative development of Russian railroads. Russian Railways’ place in world rankings is evaluated integrally, indicating a stable high position of the domestic railway industry, at the same time reflecting the places where efforts are still required to improve parameters and characteristics. An illustrative scheme - routing of the implementation of the innovation strategy of the Russian railway industry, taking into account the plans and actual results achieved (based on the data published in official sources of information reflecting the activities of Russian Railways) - has been drawn up by the authors of the article. Significant attention in the study is paid to the digitalization of business systems in the industry, automation of document management and optimization of the organization of freight transportation on the example of the project “ETRAN”. The existing INTERTRAN project, whose main objective was to develop multimodal transport in the Asia-Pacific region and increase the competitiveness of rail transport, was discussed in detail. Discussed issues of legal regulation, application of legislation in the field of digitalization of the sectoral economy, and information support for rail transport are reflected in the article. Experience gained in developing the space, creating and maintaining the transport system and innovative development of our country’s railway complex, highlighted in this study, may be of interest and use to specialists involved directly in the process of transport management, as well as to a wide range of people in the international scientific community. Keywords: Innovation · Digitalization · Transport economy · Transport industry · Railway infrastructure · Industry development · Electronic document management · Legislation on digital technologies
1 Introduction Transport industry transport plays an important role in any country’s economy, ensuring its territorial cohesion and the possibility of international cooperation with partners in the global ecosystem. Innovation development as an area of research is extremely relevant, rich in data for analysis, the subsequent formulation of patterns and the development of proposals of scientific and practical significance. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 200–210, 2022. https://doi.org/10.1007/978-3-030-96380-4_23
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Russia’s special geographic location - the vast stretch of territory from east to west and from north to south, the diversity of relief and climatic zones - has led to historically established routes for the creation, expansion and improvement of the road network and transport and logistics infrastructure of the country. Pandemic 2020–2021, causing the need for remote working in many areas, has boosted the digitalisation of the economy and many logistics and management processes at an accelerated pace. Various business segments have urgently switched to remote methods of interaction over the past year. Numerous applications, databases and electronic platforms for interaction and communication between different economic actors from a wide range of sectors have been created, developed and put into widespread use. The rail transport industry, having started the process of going electronic back in 2000, has proved to be sufficiently prepared for the challenges of the past year. The dramatic increase in demand for information and logistics services has, however, also helped to identify weaknesses in the functioning of digitalisation of rail transport and to adjust plans for its further development. This article proposes to consider the main stages and directions of innovative development of the transport industry, the program “Digital Railway”, including the transition of rail transport to electronic document management. Results from the author’s analysis of the work towards digital transformation, the benefits already achieved, and discussion issues that require scientific and practical work are highlighted. Particular attention is paid to the problem of imperfections in the current regulatory framework governing the legal aspects of the digital economy.
2 Methods Supporting research is based on competencies from transport economics, macroeconomics, logistics, economic analysis, economics of innovation, digital economics, legal studies, international business law and other fields of scientific knowledge and practical skills. In terms of how information is collected and processed: monitoring, grouping, compiling, making comparisons, visualising, tabulating. By method of data processing: macroeconomic analysis, sectoral analysis, retrospective and prospective analysis based on statistical data (planned and actual), calculation of relative and absolute values, indicators of dynamics and structure, ranking and rating of indicators, expert assessment methods, situation modelling, forecasting methods and others. The globalization of the economic space, on the one hand, creates new opportunities for cooperation in various fields and activities and, on the other hand, intensifies competition in the global marketplace. Companies with considerable accumulated scientific and technological expertise, experience and an excellent reputation, as well as the flexibility to respond to the rapidly changing demands of consumers and society as a whole, will benefit.
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A considerable amount of research has been devoted to railway development in the scientific literature [1–5]. Driven both by the demands of increasing globalisation processes, which are increasing pressure on all logistics systems, including railway transport, and by the constant introduction of innovative processes and products in this field [6–11], although assessing their effectiveness is sometimes difficult [12, 13]. The digitalization and facilitation of rail transport is now well developed [1, 3, 4, 8]. Global processes of introducing innovative ways of doing business, however, require a corresponding development of logistics services and an increase in the efficiency of their document management process. Today’s realities require the continuous development of business information systems that can keep up with the growing level of intensification of economic relations. Legislation, however, lags far behind the level of development in the field of digital technology: – Order of JSC “Russian Railways” On the Procedure for providing services for connection, support of AS ETRAN and other services related to the organization of electronic document management (including third-party services) ([URL]: http://docs.cntd.ru/ document/456054868); – Presidential Decree of May 9, 2017. N 203 “On the Strategy for the Development of Information Society in the Russian Federation for 2017–2030”. ([URL]: http://www. kremlin.ru/acts/bank/41919); – Federal Law “On Personal Data Protection” № 152 of 26.07.2006. ([URL]: http:// www.consultant.ru/document/cons_doc_LAW_61801/); – Federal Law № 149-FZ “On Information, Information Technologies and Information Protection” of July 27, 2006. ([URL]: http: //www.consultant.ru/document/cons_doc_ LAW_61798/); – ETRAN. ([URL]: http://www.rzd-expo.ru/innovation/sovremennye-informatsion nye-tekhnologii-na-zheleznodorozhnom-transporte/elektronnaya-transportnaya-nak ladnaya-etran/).
3 Results Transportation plays an important role in any country’s economic development, territorial cohesion and ability to interact internationally with its partners. The railway infrastructure occupies a special place in Russia - it ensures the functioning of the country’s economy as a whole and as part of the global economic space: it accounts for more than 40% of passenger turnover and 80% of the country’s total freight turnover. Globally, the picture is no less impressive: Russia’s rail transport industry is one of the largest in the world, accounting for 25% of global freight turnover and around 15% of global passenger turnover. Seeking to substantiate the significance of the subject of the study (as well as the results and directions of its activities on a global scale from a scientific and practical point of view), Table 1 presents an integral assessment of the place of Russian railways in the global railway industry (compared with the largest railway companies). Given the transformation of the global ecosystem into a digital one in today’s market environment, innovative solutions aimed at creating and implementing the most advanced technologies are required to improve the efficiency of railway business, the significance and competitiveness of railways.
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Table 1. Integral ranking result of the world’s rail companies* Indicators
China Railways (China)
Russian Railways (Russia)
Indian Railways (India)
Deutsche Bahn (Germany)
Union Pacific (USA)
Total length
1
2
2
6
5
The size of the rolling stock fleet
1
2
3
6
5
Revenue
1
2
4
3
7
Freight turnover
2
1
4
9
3
Passenger turnover
1
3
2
5
7
Number of employees
1
3
2
4
6
Total rating score
8
15
17
33
33
Place
1
2
3
4
5
Note: the largest railway companies were selected for expert evaluation. *The full listing includes also BNSF (North America: USA, Canada) SNCF (France), CSX Transportation (USA), CN (North America: Canada USA), CPR (Canada).
Since in the Russian Federation it is Russian Railways that guarantees the ground economic connectivity of the regions within the country and their connectivity with foreign countries, it is this structure that is expected to demonstrate the results of innovative development of the domestic transport industry at local levels (in the interests of Russian consumers) and on a global scale (as the flagship of Scientific and technological progress (STP) engineering thought). With its scientific and practical relevance, this study is of interest to a wide range of specialists involved both directly in the railway industry and in related sectors and areas of transport and logistics activity, as well as those planning domestic regional development and international cooperation.
4 Discussion Based on the results of the author’s research, blocks were identified and the outline of innovative routing, including activities in the direction of digitalisation of JSC “Russian Railways”, which is shown in the diagram (Fig. 1), was drawn up. Figure 1 shows that the company seeks to maximise the use and development of its established corporate organisational and management structure, its established networks, and its accumulated scientific, technical and intellectual potential. Methodologically, it is possible to monitor and analyse the main areas of innovation development of the Russian railway complex and to take practical part in the implementation of the innovation development strategy through the open electronic platform “Single Window of Innovation” of JSC “Russian Railways”.
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Notes: Block A - organization and management, Block B - R&D (Research and development), Block C - international cooperation. Fig. 1. Routing the innovative development of the Russian railway industry according to the plan and actual data of JSC “Russian Railways”
Table 2 compiles current at the time of the study and promising requests, as well as company proposals for consideration and subsequent cooperation both for legal entities of various organizational and legal forms, as well as for individuals with advising level of competence and innovative ideas. Recognizing that it is not possible to identify and characterise all demands for innovative solutions in a single study, the authors present examples of scientific interest and practical relevance in the context of technological improvement, economic impact and reflections of societal requirements at the same time. The development and digital transformation of the Russian railway complex is not only about freight transport itself, according to Table 2, although it is also about the social services of the corporation’s employees in terms of health care. This demonstrates not only the company’s desire to correspond to the advanced level of scientific and
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Table 2. Current requests for innovative developments for the railway complex in the “Single Window of Innovation” in 2021. Name of request for research and development
Problem statement, problem description
Expected result
Creation of the Digital Freight Yard through the introduction of modern digital technology in all areas of the business
The overall task of the company’s branches together with the Center for Innovative Development and others. Central Directorate and other Centers Several stages and areas of activity to solve a set of problems as part of the implementation of the Digital Railway program by digitalizing production processes, including the technological processes of the Central Directorate for the management of the terminal and warehousing complex
Increase labor productivity, the quality of services and goods provided, and the customer focus of the company
Including: remote control of container gantry cranes
The branch’s task, together with the Innovation Development Centre, is to organise remote management of container gantry cranes Problem: Cranes are operated directly from the crane control cabin. During a shift, the crane operator has to climb from one crane to another many times, which takes up a considerable amount of time; if the crane operator is absent, another employee must be replaced, which entails additional costs as well as the risks of disruption of work
To provide remote control of all container gantry cranes within the boundaries of one yard from a single workstation, increasing productivity, reducing risks associated with violations of health and safety requirements
(continued)
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Name of request for research and development
Problem statement, problem description
Expected result
Mobile weighing systems for railway rolling stock
Corporate Transport Service Centre’s mission is to find innovative solutions and technologies for mobile weighing systems for railway rolling stock Constraints: wagon scales are time-consuming and costly to install; choosing an installation site is complicated by the need to select level ground; moving the scales when the inspection point is closed is complicated by the need for labour-intensive removal and subsequent installation at the new site
The ability to weigh cars without interfering with the track structure, to move the weighing device with less money and time than when moving already functioning counterparts
Using Artificial Intelligence (AI assistant) when admitting patients
Central Health Care Directorate and the Innovation Development Centre are tasked with finding innovative solutions for the use of AI assistants in patient admissions Issue: When doctors at health care institutions in the RZD-Medicine network receive a patient, up to 70% of the total time spent on manual completion of the patient intake protocol, there is duplication of effort, as the doctor first interviews the patient verbally and then records all the data in the protocol
Streamlining of patient appointments by means of speech recognition of doctors for automatic completion of patient examination protocols, as well as voice self-recording of patients to doctors
technological progress in the country and in the world, but also to implement an effective social and economic policy based on the implementation of AI technologies to optimize communications, improve service quality, and automate document management. The digitalization of rail transport became a priority in the early 2000s to improve the efficiency of the transport sector. By means of electronic document flow, the transparency of rail transport operations could be increased, quality control could be improved and
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many processes could be optimised, and of course the turnaround time and thus the overall duration of the material flow could be reduced. Established in 2002, the main objective of the ETRAN project was the full transition to electronic processing of documents for freight transport on the railway. The gradual introduction of digital registration of logistics services has begun. The Russian legislation at that stage, however, had very little regulation on the use of digital platforms for data storage as well as data exchange. Thus, the main document in force in this area - the Federal Law №152 “On Protection of Personal Data” was adopted only on 26.07.2006. At the same time the Federal Law № 149-FZ “On Information, Information Technology and Information Protection” of July 27, 2006 was adopted. Both of these documents were only a rather belated reaction of the legislator to the already accomplished changes in the economic sphere, caused by the growing use of digital document management, the emergence of virtual automated platforms for data exchange. Numerous amendments have since been made to these laws, but they have also become a way of filling gaps in IT legislation that does not regulate all necessary areas of the process. Monitoring and retrospective analysis of data showed that in JSC “Russian Railways” the process of implementation of electronic document management was becoming more widespread. So, an automated platform was created by 2013 that allowed for the processing of documents required for transport organisation electronically, using a digital signature. It provided the ability to generate, transfer, sign, record and store all Russian Railways’ documentation. In 2013 the new portal was introduced to enable wagon repairs. A system was set up in 2014 to create an electronic document flow with the FCS. The information system for the organisation of railway freight transport between Finland and Russia and between Russia and Estonia was made available at the same time, the electronic clearance of empty wagons (CIM/SMGS) for the Ust-Luga-Sassnitz railway ferry service was opened, and an electronic system for the transfer of wagons between Russia and Lithuania, Latvia, Finland, Estonia, Ukraine and Belarus began to operate. The development of the ETRAN platform made it possible to begin electronic documenting of all freight traffic by rail in Russia by 2017. A new project was launched by Russian Railways in 2019, resulting in the creation of an automated platform that enables the electronic clearance of international freight traffic. About 5 million electronic documents are processed every month, and about 1.5 million tons of different types of freight pass through ETRAN every year. Under the International Union of Railways Asia-Pacific Regional Assembly, with the support of the UN Economic and Social Commission for Asia and the Pacific, Russian Railways established the INTERTRAN project, the main objective of focusing on developing multimodal transportation in the Asia-Pacific region and increasing the competitiveness of rail transport. The INTERTRAN project, created in 2019, is aimed at introducing a new digital environment of interaction between seaports, railroads and government agencies that control the sphere of transportation. Increasing the level of containerization of external and internal trade flows is one of the important goals of the project. A new electronic service was used for the first time at the Commercial Seaport of Vladivostok on 4 September 2019 as part of the 5th Eastern Economic Forum to clear foreign trade cargo shipments as part of this project. Shipments from Japan went from
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Vladivostok to Moscow using electronic document management, reducing the clearance time by four days. As an information and logistics service, the new information technology enables electronic document management for any operator or freight forwarder along the entire route of a consignment. The INTERTRAN project provides mobile workstations for railway station employees, thereby leading to the optimization of technological operations. Currently, the transition to a fully electronic document management system is only a matter of time. Already a large proportion of rail transport is accompanied by paperwork electronically. Electronic document management has been in use for 10 years on the route of the Belarusian Railway to the Russian Railways and vice versa. One of the main problems of the project remains the inaccuracy of the data entered into the electronic document management system, but despite this, INTRAN technology is working very effectively. Work is currently underway to introduce this service in all international transport corridors. Established new electronic document flow technology allows for unified paperless processing of legal relations arising from the transportation contract between Russian Railways, customs authorities, consignees and consignors. Digital signatures allow all the necessary paperwork to be completed at loading and unloading points within 21 h. Russian Railways has now actively and effectively introduced electronic document management systems in freight transport and continues to introduce technological innovations to reduce the costs and time of transport services. It is worth noting, however, that Russian legislation in the area of legal regulation of information technology and cloud storage systems for personal and corporate databases has not always kept pace with the processes of digital transformation in various areas of the economy. For instance, there is currently no legal regulation of cloud storage services. There is no definition or legal regulation of “cloud services” in the laws governing the field of information services. By definition, cloud services are defined as computing “an information technology model for providing ubiquitous and convenient Internet-based access to a common set of configurable computing resources (‘cloud’), storage devices, applications and services that can be rapidly provisioned and offloaded with minimal operational costs,” the only document in which it is mentioned is the Strategy for Information Society Development in the Russian Federation for 2017–2030. However, these technologies have not received a developed legal status. This document also enshrines the concept of “fog computing” − “a system-level information technology model for extending cloud-based storage, computation, and networking functions in which data processing is performed on endpoint equipment (computers, mobile devices, sensors, smart nodes, and others) on the network rather than in the cloud.” Thus, the regulation of data transmission, its legal status, protection requirements and other issues remain unresolved. Relations between service users in rail transport are currently regulated by Russian Railways’ Orders.
5 Conclusion Integral comprehensive comparative evaluation of the object of research - the railway industry in Russia - confirmed the importance of the experience of JSC “Russian Railways” on a global scale, demonstrating a high position in the ratings and the final 2nd
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place. Accordingly, the results and discussion points of the study are of scientific and practical relevance and are of interest to management specialists in the industry as well as to academics involved in the study of transport economics. Russia’s railway industry is clearly and visibly planned from a management perspective, starting with the already established corporate innovation management system, to the inclusion of R&D (Research and Development) and international cooperation both in the areas of scientific approaches and improvement of legislation. The framework developed by the authors of the study appears to be a universal algorithm and can be recommended for use in other sectors of the economy at the macro level. The areas of railway development outlined in the Digital Railway Programme have been reflected in the requests and suggestions of the Single Window of Innovation, which is certainly an effective innovative tool for attracting interested partners, encouraging active action and contributing to the digital transformation of the industry. Technological and social orientation of the company’s innovation policy has been identified by the authors of the study. Digital platforms for both electronic undocumented rail transport and other logistics services are a fast-growing area of innovation in transport. The INTERTRAN and ETRAN projects solve problems of automation and digitalization of international transport and logistics operations. Existing deficiencies in legal regulation, in particular the lack of a clear definition of cloud services and their use, and requirements to ensure security measures for information storage, can be an obstacle to industry development towards digital process optimisation. Theoretical developments in legal regulation as well as the implementation of positive experiences from other countries in the direction of sectoral digitalisation [1–4, 12] offer an interesting perspective for studying the implementation of innovative technologies as well as their reflection in the field of rail transport legislation and the transport industry as a whole.
References 1. Baranovskaya, T.P., Satsuk, T.P., Torikov, V.E., et al.: The main stages of digital modernization of economy. In: Popkova, E.G., Krivtsov, A., Bogoviz, A.V. (eds.) The Institutional Foundations of the Digital Economy in the 21st Century, De Gruyter Oldenbourg, Berlin (2021). https://doi.org/10.1515/9783110651768 2. Fortunatov, V.V., Kiselev, I.P.: Augustine Augustinovich Betancourt as chief director of the ways of communication of the Russian empire. Voprosy Istorii 11(2), 226–236 (2020). https:// doi.org/10.31166/VoprosyIstorii202011Statyi46 3. Guliy, I., Satsuk, T., Tatarintseva, S., et al.: Economic evaluation and future growth trends of railway transport development. Am. J. Pharm. Sci. 3, 6294–6301 (2019) 4. Kravchenko, L.A., Fursova, E.A.: Some global trends of the transport industry transformation in the digital economy: the world experience. J. Econ. Stud. 6(3), 47–56 (2020). https://doi. org/10.12737/issn.2500-0527 5. Svatovskaya, L., Kabanov, A., Sychov, M.: The improvement of foam concrete geoecoprotective properties in transport construction. IOP Conf. Ser. Earth Environ. Sci. 90, 012010 (2017). https://doi.org/10.1088/1755-1315/90/1/012010
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6. Agunov, A.V., Titova, T.S., Kruchek, V.A.: On the construction of power quality control systems. Russ. Electr. Eng. 87(5), 251–255 (2016). https://doi.org/10.3103/S10683712160 50023 7. Ivanov, I., Rubin, P., Tarapanov, A., et al.: The possibilities of improving the operational characteristics of vehicle gear by the use of cylindrical arched tooth gear drive. Transp. Probl. 11(2), 61–66 (2016). https://doi.org/10.20858/tp.2016.11.2.6 8. Kanaev, A.K., Oparin, E.V., Oparina, E.V.: Model of the synchronization network functioning process in the context of intellectualization of network control functions. E3S Web Conf. 224, 01028 (2020). https://doi.org/10.1051/e3sconf/202022401028 9. Kim, K.K., Panychev, A.Y., Blazhko, L.S., et al.: Properties of a synchronous machine with self-regulating magnetic suspension of the rotor when its axis is skewed. Russ. Electr. Eng. 91(10), 597–603 (2020). https://doi.org/10.3103/S1068371220100053 10. Svatovskaya, L., Kabanov, A., Sychov, M.: Lithosynthesis of the properties in the transport construction on the cement base. IOP Conf. Ser. Earth Environ. Sci. 90, 012009 (2017). https:// doi.org/10.1088/1755-1315/90/1/012009 11. Svatovskaya, L., Kabanov, A., Urov, O.: Soling in transport construction technologies. J. Eng. Appl. Sci. 12(S11), 9126–9128 (2017) 12. Beltiukov, V., Shehtman, E., Malikov, O.: Evaluation of effectiveness of separating layers in railroad track structure using life cycle cost analysis. Procedia Eng. 189, 695–701 (2017). https://doi.org/10.1016/j.proeng.2017.05.110 13. Satsuk, T.P.: Key indicators of assessment of effectiveness of railway transport innovative development strategy. Transp. Syst. Technol. 5(3), 45–58 (2019). https://doi.org/10.17816/ transsyst20195345-58
Weight and Speed Optimization for Goods Trains on Cargo-Intensive Railway Sections Adnan Al-Shumari(B) Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr, Saint Petersburg 190031, Russian Federation
Abstract. This article focuses on the issue of optimising the transport process of cargo-intensive sections analyses the section capacity and outlines the most relevant ways of increasing carrying capacity and throughput today. In order to reduce capital expenditures for capacity enhancement the optimization task on revealing and determining the factors’ values influencing the carrying capacity was formed. Rational location of locomotive fleet on the sections allows to increase weight standards of goods trains on the one hand and on the other hand with useful track length less than 1050 m a reserve of locomotive capacity appears. On sections with low gradient up to ip < 8‰ the reserve should be used to increase running speed while on sections with difficult profile ip > 20‰ the reserve should be used to increase weight standards of the train. The proposed methodology made it possible to determine the optimum values of weight norms and speeds on the basis of the obtained values of running speed parameters and the division of the train traffic into three categories (light, mixed and heavy) using the optimum type of locomotive 2TE116. The results obtained prove the relevance of the study and show that the main factor that has a significant impact on carrying capacity is the locomotive performance. When determining carrying capacity the average train weight should be used rather than the weight standard set by the train schedule. Keywords: Transport capacity · Carrying capacity · Throughput · Train weight · Running speed · Goods wagon parameters
1 Introduction The transport capacity of railway lines is determined by their carriage and throughput capacity. In the face of capacity and carrying capacity shortages on railway lines there is a need to analyse the key factors affecting capacity [1]. An assessment of the available freight carrying capacity of railroad sections with critical infrastructure elements [2] shows the need to investigate and find specific solutions for determining the capacity and freight carrying capacity and to optimise the routes [3] and the size of goods train movements as noted in the authors’ work [4–6]. Classification of goods trains by weight and speed (heavy, mixed and light) based on the technical characteristics and fleet parameters of different types of freight wagons] allows longer and heavier trains to be operated when allocating traction capacity of the locomotive fleet [7, 8]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 211–220, 2022. https://doi.org/10.1007/978-3-030-96380-4_24
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Energy efficiency and train length can be crucial in determining capacity especially when limiting the length of the station line [9, 10]. It is known that capacity is directly related to three main parameters: – capacity, i.e. the maximum possible number of goods trains that a given line can carry per unit time in a parallel timetable [11]; – the operational parameters of the wagon fleet the impact of in terms of wagon fleet utilisation factor, – the net weight of a goods train that might be realised under the given conditions on that line [12]. The value of the boundary gradient affects the weight rating of trains and the carrying capacity of the designed railway section. It determines the complexity of the longitudinal profile, travel speeds, fuel or energy consumption. The track profile has a significant role amongst the external forces that impede the train’s movement. On average, the mechanical work inputs of locomotive traction to overcome the traffic resistance of goods trains are distributed as follows: 60% - basic resistance, 35% - track profile gradients, 5% - track curvature. On average, the mechanical work inputs of locomotive traction to overcome the traffic resistance of goods trains are distributed as follows: 60% - basic resistance, 35% - track profile gradients, 5% - track curvature. If the speed of the trains is unchanged use to increase their weight and length, then the capacity of the section will decrease but the carrying capacity will increase allowing fewer trains to carry significantly more wagons (freight) [13].
2 Materials and Methods 1. Capacity dependence on individual factors 1.1. Problem statement, main factors The capacity value is determined by the formula: C=
av 365.Nf .ϕ.Qgr
106 kn
(1)
Where Nf – capacity for freight traffic, train pairs. ϕ – the wagon fleet utilisation factor; av – average train weight, t; Qgr Qgr – the weight standard of the train set in the timetable, t; kn – is the coefficient of monthly traffic irregularity. Z – the coefficient of the weight rate utilisation set in the timetable, Z=
av Qgr
Qgr
(2)
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It is known that the carrying capacity of a railway line (section) is determined by the carrying capacity of its technical equipment elements: runs, track development of intermediate and technical stations, power supply system, locomotive facilities, signalling and communication system, etc. Consider the line capacity determined by the bounding line. The throughput with a parallel schedule then depends on the travel speed (Vr ), the station intervals (τs) and the acceleration and deceleration times (tas ). In general terms, the nature of this dependence is expressed by the following formula: Nf =
24Vr 2Llim+ Vr τs+tas
(3)
Where Llim is the length of the boundary line, km. The wagon fleet utilisation factor ϕ is expressed in terms of average weight or wagon capacity utilisation factor (Klp): ϕ=
Klp qn or ϕ = qgr Klp + Kc
(4)
Where qn – net wagon load, tonnes; qgr – the average gross wagon weight, tonnes; Klp – the load capacity utilisation factor of the wagon, Klp =
qn qlp
(5)
kc =
qc qlp
(6)
qlp - wagon load capacity, tonnes. kc - the wagon tare factor,
Formulas (1)–(3) show that the reserves for improving the capacity of railway lines are increasing the running speed of the goods train, reducing the station intervals, improving the performance of the rolling stock and increasing the average weight of the goods train. For the purpose of this study let us consider the factors that determine the average weight of a goods train. The main ones are locomotive pulling power, track profile and useful length of the receiving track. In addition, the freight flow in each direction is significantly influenced by the completeness of the goods trains and therefore the static load of the wagons and the structure of the wagon fleet (availability of four- and eightaxle wagons). The static load of wagons is increased by densified loading and rational allocation of empty wagons for loading of certain types of cargo [14]. Rational deployment of the locomotive fleet on the railways also allows for higher weight standards for goods trains [15]. It is important to allocate the most powerful locomotives for sections with difficult profile conditions and for lines where the main flows are heavy loads. Low-power locomotives should be used on the easiest profile conditions. The train’s weight has two limitations:
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1) in terms of locomotive traction force Qgr
Fap − P Wo + ip ≤ Wo + ip
(7)
Where Fap is tangential traction force of the locomotive, kN; P – locomotive weight, tonnes; Wo , Wo – is the basic specific resistance of the locomotive and wagons respectively at design speed, N/kN; ip – design elevation, ‰. 2) along the station track length: Qgr ≤ (Ls − Ll )q
(8)
Where Ls – usable track length, m; Ll – locomotive length including distance to stop accuracy within usable track length, m; q – design load from the static distribution series, t/m2 . The weight standards set in terms of locomotive pulling power ensure better use of the locomotive. The weight standards set by track length at the highest line load ensure the smallest traffic sizes. When heavy trains are used the issue arises of the underutilisation of station track length and the unjustified increase in traffic size. When light trains are used there is excess locomotive capacity which can partially be used to increase running speeds. This raises the problem of selecting the optimum train weights and traction support for the transport process. Let’s show one possible solution to this problem. Taking into account (1)–(3) the carrying capacity as a function of train weight and throughput as well as the operational parameters of the wagon fleet can be expressed as follows: 1) When limiting train weight by locomotive pulling power using formula (4) (9) 2) When limiting train weight by track length using (5) (10)
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Based on the analysis of the dependence of capacity on individual factors the following may be noted. The estimated train weight is significantly influenced by the degree to which the lifting power of the wagons is utilised. The lower the steering gradient and the higher the speed of goods trains on this gradient the greater the effect of wagon weights on the calculated train weight. The saturation of the wagon fleet with heavy multi-axle wagons with high loads can significantly increase capacity. Currently, Russian Railways is introducing new technology for the use of cassette-type tapered axlebox bearings making it possible to significantly increase the weight and speed of goods trains for the same length of station tracks. Where the effective length of the station tracks is less than 1,050 m this raises the issue of locomotive capacity underutilisation. Therefore, on sections with low gradients up to ip < 8‰ the underutilised power can be allocated to increase the travelling speed. On sections with large rises of ip > 20‰ it can be directed towards ensuring weight standards. It follows from the above that the weight of a goods train on railway sections with low gradients is determined not by the type of locomotive but by the length of station tracks and the calculated load depending on the freight turnover structure and the wagon fleet [16–18]. As a result, the impact of the locomotive on the line capacity becomes significant on the sections with high gradients when on the other sections (with light gradients) the level of train speed of a given weight realized with a given locomotive becomes decisive [19, 20]. When locomotive pulling power is limited it is possible to increase the weight of a goods train by 1) increasing the tangential pulling power of the F ar locomotive (new pulling, nudging, connection of additional sections, introduction of more powerful locomotives) while increasing the tangential pulling power of the locomotive; Qgr 2) reduction of the wagon’s tare utilisation factor. In this case it is possible to increase the net weight of the train.
3 Results Analysis As already shown in (6) and (7) capacity is directly related to gross train weight and running speed of goods trains: C = f (Qgr , Vr )
(11)
Qgr , Vr = D
(12)
The work
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Characterises the performance of a locomotive. The D value must be maximised in order to obtain the highest capacity. This requires either accurate traction calculations for different gradations of train weight on the bounding line or an analytical determination of the relationship between running speed and gross train weight: (13) Vr = f Qgr This dependency was first identified by Professor N.A. Vorobiev Vr = a − b Qgr 10−3
(14)
Where a and b are parameters that take into account the running speed of goods trains. One of the authors of this article carried out traction calculations using a 2TE116 diesel locomotive where parameters a i b depending on profile types including for mountainous terrain were derived (Table 1). Table 1. Parameter values determining the weight and speed of goods trains Type of profile
Leadership bias ‰
Parameters
Diesel locomotive 2TE116, Vr = 100 km/h Train
Plain
Light
Mixed
Heavy
From 8
ab
64.8 1.1
70.6 6.9
66.0 5.3
Up to 10
ab
52.2 1.3
56.7 4.6
69.9 6.5
Hilly
12
ab
63.9 5.7
64.2 5.4
66.9 6.5
Mountain
20
ab
71.5 13.6
69.9 12.1
79.7 16.9
Using the data in the table the dependence of locomotive performance D o on the obtained dependence shows that with some Qcr the value of D takes the maximum value. A further increase in the average train weight leads to a decrease in locomotive performance associated with a decrease in running speed [21, 22]. Thus, it is possible to increase the capacity of a line by increasing the average train weight to Qcr with some reduction in running speed. Increasing the average train weight above the value Qgr is not advisable as it leads to a reduction in capacity Fig. 1
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Fig. 1. Locomotive performance as a function of average train weight
Fig. 2. Train weight vs steepness of design gradient with diesel locomotive traction
Figure 2 shows the relationship between train weight and steering gradient when operating different types of locomotives. Determining the optimum average weight of a goods train. To justify the average train weight standard using formulas (9) and (10) carry out the following conversions: 2 D = Qgr a − b Qgr 10−3 = aQgr − bQgr 10−3 (15) Let us differentiate the resulting expression:
We express a by
dD = a − 2b Qgr 10−3 = 0 dQgr
(16)
a = 2b.Qgr .10−3
(17)
:
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Then the optimum value of the average train weight Qop will be: Qop =
a 2b.10−3
(18)
The resulting expression can be used to determine the optimum value for the average train compound. Qgr lc = 14.q we have: Since Qgr = lc .q, a m = 14 op
mc =
Qgr a Ls − Ll = ≤ mc = 14q 28 q.b.10−3 14
(19)
Where mc is the train’s train size limited by the length of the station’s receiving and departing tracks, m; lc − train length, meters.
4 Summary An important element in organising the operational work of railways is the weight and length of goods trains affecting the throughput and carrying capacity of sections. One of the main solutions for increasing the carrying capacity of freight sections and routes is to optimise the weight standards and running speeds of goods trains and to efficiently distribute the traction capacity of the locomotive fleet. The above methodology provides a consistent solution for setting the average train weight, the length of the receiving track and the average train composition.
5 Conclusion 1. The main factor that has a significant impact on the capacity of a rail line is the locomotive performance depending in turn on the average weight of the train and the running speed. 2. A certain average train weight corresponds to the maximum carrying capacity deviating from this value either to the lower or to the higher side will result in a negative result - a reduction in carrying capacity. 3. When determining capacity the average train weight should be used rather than the weight standard set in the train timetable. 4. With constant station track lengths the difference between the average train weight and the graphical weight standard shows that there are reserves for increasing the train weight.
References 1. Fenling, F., Dan, L.: Prediction of railway cargo carrying capacity in China based on system dynamics. Procedia Eng. 29, 597–602 (2012). https://doi.org/10.1016/j.proeng.2012.01.010
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2. Pascariu, B., Coviello, N., D’Ariano, A.: Railway freight node capacity evaluation: a timetable-saturation approach and its application to the Novara freight terminal. Transp. Res. Procedia 52, 155–162 (2021). https://doi.org/10.1016/j.trpro.2021.01.017 3. Zhengwen, L., Haiying, L., Jianrui, M., et al.: Railway capacity estimation considering vehicle circulation: Integrated timetable and vehicles scheduling on hybrid time-space networks. Transp. Res. Part C Emerg. Technol. 124, 102961 (2021). https://doi.org/10.1016/j.trc.2020. 102961 4. Mussone, L., Calvo, R.W.: An analytical approach to calculate the capacity of a railway system. Eur. J. Oper. Res. 228(1), 11–23 (2013). https://doi.org/10.1016/j.ejor.2012.12.027 5. Khaled, A.A., Mingzhou, J., Clarke, D.B., Mohammad, A.: Hoque, train design and routing optimization for evaluating criticality of freight railroad infrastructures. Transp. Res. Part B Methodol. 71, 71–84 (2015). https://doi.org/10.1016/j.trb.2014.10.002 6. Dolgopolov, P., Konstantinov, D., Rybalchenko, L., et al.: Optimization of train routes based on neuro-fuzzy modeling and genetic algorithms. Procedia Comput. Sci. 149, 11–18 (2019). https://doi.org/10.1016/j.procs.2019.01.101 7. Schwerdfeger, S., Otto, A., Boysen, N.: Rail platooning: Scheduling trains along a rail corridor with rapid-shunting facilities. Eur. J. Oper. Res. (2021). https://doi.org/10.1016/j.ejor.2021. 02.019 8. Siroky, J., Siroka, P., Vojtek, M., et al.: Establishing line throughput with regard to the operation of longer trains. Transp. Res. Procedia 53, 80–90 (2021). https://doi.org/10.1016/j.trpro.2021. 02.011 9. Toletti, A., De Martinis, V., Weidmann, U.: What about train length and energy efficiency of freight trains in rescheduling models. Transp. Res. Procedia 10, 584–594 (2015). https://doi. org/10.1016/j.trpro.2015.09.012 10. Domanov, K., Nekhaev, V., Cheremisin, V.: Optimization of operating modes of a train by the haul distance. Transp. Res. Procedia 54, 842–853 (2021). https://doi.org/10.1016/j.trpro. 2021.02.142 11. Ljubaj, I., Mikulˇci´c, M., Mlinari´c, T.J.: Possibility of increasing the railway capacity of the R106 regional line by using a simulation tool. Transp. Res. Procedia 44, 137–144 (2020). https://doi.org/10.1016/j.trpro.2020.02.020 12. Abdullaev, Z.Y.: Features of determining the capacity of two-track sections (Features of determining the capacity of two-track sections). Proc. Petersburg State Transp. Univ. 16(3), 361–371 (2019). https://doi.org/10.20295/1815-588X-2019-3-361-371 13. Jamili, A.: Computation of practical capacity in single-track railway lines based on computing the minimum buffer times. J. Rail Transp. Plan. Manag. 8(2), 91–102 (2018). https://doi.org/ 10.1016/j.jrtpm.2018.03.002 14. Nikiforova, G.I.: Construction of a descriptive model of the logistics chain for the delivery of goods in the interaction of rail and sea transport. Proc. Petersburg State Transp. Univ. 17(4), 545–551 (2020). https://doi.org/10.1016/S1570-6672(11)60217-1 15. Rybin, P.K., Gorin, R.V.: Decision support model for the effective control of train admission to port stations. Bull. Res. Results (4), 69–79 (2019). https://doi.org/10.20295/2223-99872019-4-69-79 16. Liu, Z., Zhou, X., Fang, Q.: Data mining on index of static load of freight cars. J. Transp. Syst. Eng. Inf. Technol. 12(4), 128–134 (2012). https://doi.org/10.1016/S1570-6672(11.602 17-1 17. Nikiforova, G.I.: Research on the operation of the car fleet of operator companies. Proc. Petersburg Transp. Univ. 17(3), 282–287 (2020). https://doi.org/10.20295/1815-588X-20203-282-287
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18. Kovalev, K.E., Kizlyak, O.P., Galkina, J.E.: Automation of management functions of operational personnel of railway stations. In: 2019 International Multi-Conference on Industrial Engineering and Modern Technologies, FarEastCon: 8933836 (2019). https://doi.org/ 10.1109/FarEastCon.2019.8933836 19. Milenkovi´c, M.S., Bojovi´c, N.J., Švadlenka, L., et al.: A stochastic model predictive control to heterogeneous rail freight car fleet sizing problem. Transp. Res. Part E Logistics Transp. Rev. 82, 162–198 (2015). https://doi.org/10.1016/j.tre.2015.07.009 20. Armstrong, J., Preston, J.: Capacity utilization and performance at railway stations. J. Rail Transp. Plan. Manag. 7(3), 187–205 (2017). https://doi.org/10.1016/j.jrtpm.2017.08.003 21. Abdullaev, Z.Y., Groshev, G.M., Grachev, A.A., et al.: The choice of railway train load and length rate. Bull. Sci. Res. Res. 2019(3), 25–37 (2019). https://doi.org/10.20295/2223-99872019-3-25-37 22. Weik, N., Warg, J., Johansson, I., et al.: Extending UIC 406-based capacity analysis – new approaches for railway nodes and network effects. J. Rail Transp. Plan. Manag. 15, 100199 (2020). https://doi.org/10.1016/j.jrtpm.2020.100199
Digital Integration of the Entity’s Risk Management with Strategy and Business Performance Sergey Oparin(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky pr, Saint Petersburg 190031, Russian Federation
Abstract. This article discusses the challenge of integrating entity’s risk management with strategy and performance in the context of digital transformation and the unprecedented growth of risk tensions in the economy. The aim of the study is to develop a theoretical framework, digital distributed performance assessment methods and a new digital risk management schedule that reflects the link between risk management and organisational strategy with performance taking into account the synergies between the factors at play and providing the necessary confidence in assessments for practice. Digital methods for the distributed assessment of the cost, effectiveness and efficiency of building and implementing an integrated risk management system in an entity performance are explored. In contrast to existing Monte Carlo simulation methods the proposed methods are based on the assumption of non-linearity and an arbitrary (not necessarily normal) distribution of the desired cost, efficiency and effectiveness parameters, as well as the application of the mathematical apparatus of integral number convolution. To assess the efficiency of risk treatments a modification of Hauston’s Value for Organisation model has been developed. It distinguishes by the ability to value risk by taking into account the ‘price of risk’. A numerical risk management graphics is proposed that relies on a distributed assessment of cost, quality and performance using a discrete risk function and reflects the relationship between strategy, risk level and performance and subject to the required performance between strategy, risk level and cost of risk. The findings of the study and the new risk management graph make it possible to make informed decisions on the manner and scope of the necessary risk management measures. Keywords: Risk management · Business performance · Digital integration · Distributed performance assessment · Risk level
1 Introduction With the unprecedented growth of risk tensions in the economy the impact of risk on the performance of organisations, projects and business processes is constantly increasing. The level of risk, risk appetite and the price of risk are increasingly becoming determining factors in strategic decision-making [1–3]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 221–229, 2022. https://doi.org/10.1007/978-3-030-96380-4_25
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However, international statistics show that only 16.2% of projects are considered successful - implemented on time and within budget, 52.7% are implemented over budget an average of 89% and 31.1% are considered unimplemented - cancelled, targets not met [4]. The main cause of this unfavourable situation, experts say, is the inability to effectively manage risk. In truth, the problem is much more complex arising from a number of factors and requiring deep understanding and scientific and practical solutions. To date, the world has accumulated considerable positive experience in risk management in various fields and areas of activity. international ISO standards for risk management have been developed and are constantly being improved [5–7] while existing risk management methods are increasingly used in the economics of entities, project management and business processes [8, 9]. One of the most well-known and increasingly used documents worldwide on the integration of risk management with organisational strategy and performance is the COSO ERM - 2017 Framework for Organisational Risk Management: Integration with Strategy and Performance Management [5]. The secret is clear: the Framework explicitly focuses on proactively identifying and exploiting new organisational opportunities to create value and improve the products and services quality. The concepts of “risk appetite” and “risk capacity” which limit the capacity to manage risk are also crucial. The risk management process contributes to value creation [5]. However, the Framework does not reflect in sufficient detail the links of risk management to value creation and efficiency, approaches to quantifying risks and opportunities for practice-oriented visualization of risk management. The purpose of this study is to develop a theoretical framework, digital distributed performance assessment methods and a new digital risk management schedule. It reflects the link between risk management and organisational strategy and performance considering the synergy of the factors at play and ensuring the credibility of assessments required for practice.
2 Materials and Methods Order to achieve the goal it is necessary to make wider use of positive experience in risk management, to improve and develop existing risk management methods, to continuously assess the impact of risks on the competitiveness, economy and finances of organisations, to develop and implement integrated risk management systems in the activities of organisations [10, 11]. In the practice of economic systems, however, this inevitably leads to the need for a process approach to risk management. At the same time, the problems of insufficient reliability of existing standardized models and methods of risk assessment, including universal and widespread probabilistic-statistical and logicalprobabilistic risk models are dramatically exposed [10, 12]. Research conducted by the author has shown that completeness and reliability of input data and regulations, accuracy of business process description, selection of criteria and evaluation methods, as well as validity of risk management, responsibility and risk allocation are of utmost importance in the process approach. The methods currently used in risk management vary in the way they describe the sources of risk and risk factors, the models used and the reliability of the resulting estimates. Each method has advantages and disadvantages but only Monte Carlo simulation
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methods provide a formalised description of the uncertainty of the risk factors involved and a quantitative description of the distribution to be sought. The mathematical expectation defines the expected outcome of an activity, business process or project while the standard deviation serves as an indicator of the credibility of the result obtained under conditions of uncertainty and risk. However, when using the universal Monte Carlo method and its modifications it should not be forgotten that it is based on the laws of large numbers, limit theorems of probability theory and the assumption of a normal distribution of the output parameters. This only allows correct conclusions to be drawn about their average values. In general, when the desired distribution differs from the normal distribution the problem of constructing it is solved by trial and faults. Even if the type of distribution sought is established estimating its numerical characteristics may not be appropriate for practical application. The hypothesis of a standard distribution of cost and performance indicators does not correspond to real-world processes. Despite this the simulation method is often useful for obtaining point estimates under high levels of uncertainty and risk. Beyond the assumption of a normal distribution much of the economic theory and empirical work is called into question because the trade-off between cost and risk, risk and performance. It seems almost impossible to achieve this. The essence of the numerical method of distributed assessment of cost, efficiency and effectiveness proposed by the author consists in the construction of a discrete risk function for the considered output parameter of risk management system (hereinafter RMS) by repeatedly applying the integral convolution of numbers - conditional discrete distributions of the sought RMS parameter [13]. Explicitly, a discrete risk function is defined by a vector of possible values of a cost, efficiency or effectiveness indicator - result or effect {Ej} depending on the problem statement and a numerical sequence {rj}. Each element describes the probability that a random variable E will be less than the expected value E0: R(NPV ) = rj = {ak }∗{bτ }
(1)
⎧ min(j,ω) j−s ⎪ ⎪ aj−γ+1 bγ + as bγ , if j > s; ⎪ ⎪ ⎪ γ=1 ⎨ γ =max(1,υ) min(j,ω) rj = ⎪ aj−γ+1 bγ , if j ≤ s; ⎪ ⎪ ⎪ γ =max(1,υ) ⎪ ⎩ j = 1, . . . , n; n = s + ω − 1; υ = j − s + 1.
(2)
The integral number convolution (1) is applied (z − 1) times for z random risk factors. An important condition for the convolution application is a constant duration of the simulation step lj = const when for all j = 1, …, n the following equality is true: Ej + Ej + 1 = Ej– Ej + 1. In contrast to existing Monte Carlo methods the numerical integral convolution method is based on the assumption of non-linearity and an arbitrary (not necessarily normal) distribution of the required cost and performance parameters. The method does not require intermediate stylisation of statistical data and a priori information about the
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distribution sought. The main advantage of the integral number convolution method is the distributed risk assessment without and with risk exposure given a defined structure and known dimensions of RMS. This is precisely what makes it possible to account for synergies through the uncertainty and randomness of a range of heterogeneous risk factors operating in RMS. Synergy, synergistic effect is seen as an increase in the efficiency of activities as a result of joining, integration, merging of individual parts into a single economic system due to the so-called system effect, emergence [13]. The mutual influence and adjustment of the RMS elements to each other means that the system relies on a distributed assessment of cost and performance. Development of an RMS takes place at life-cycle stages through successive “narrowing” of uncertainties in its operating conditions and structural changes which are the aggregate result of the integrated interaction of heterogeneous elements. Thus the business processes implemented in an RMS become decentralised, interactive and distributed. This enables a synergistic approach in a digitally transformed economy describing uncertainty and dynamic chaos in risk management using discrete integral number convolution models.
3 Results As demonstrated by the numerical results of the computational experiment conducted by the author, the discrete risk function (Fig. 1) can serve as an objective risk profile providing a link between strategy, risk level, risk cost and performance. A digital risk management schedule opens up new possibilities for strategy selection, risk management decision-making and performance assessment within tolerance boundaries with a given confidence. The research was conducted on real investment projects. Based on the process approach and the digital risk management approach the concept of organizational effectiveness has been formulated. Its implementation mechanism was proposed using the Hauston method and the criteria of comparative effectiveness of risk exposure methods subject to the organization’s goal achievement and resource constraints [14]. The essence of this method is to assess the impact of various risk management techniques on the value of the organisation which is determined through the value of free (net) assets - the difference between the value of all its assets and liabilities. The choice of risk management method is based on the criterion of comparative cost-effectiveness of insurance and self-insurance in the form of: Cs > Cr
(3)
Where Cs is the value of the organisation including risk insurance; Cr is the value of the organisation including provisioning. If the inequality is met it is more efficient to insure the risk. Otherwise, it is more efficient to form and use a reserve fund.
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Risk level
1.0
0.8
Risk appetitle
0.6
0.4
0.2
0.0 2
4
6
Project and technical factor Price factor Risk function T+ tolerance
T- 8
T+ 10
12
14
16
Performance¹
Manufacturing and technology factor Target of company T- tolerance Risk appetitle ¹ The more, the more effective
Fig. 1. New digital chart integrating risk management with strategy and performance
For the purposes of this work, a modification of the Houston method for various commonly used methods of influencing risk has been developed, an important difference between which is the cost assessment of risk according to the “risk price” indicator. Explicitly, the value of the organization Ct at the end of the calculation period can be determined by modeling the costs, results and effects associated with the activities of the organization, the implementation of projects and business processes:
t
t αi εi (Ui + Zi − Vi ) + da αi εi (Co − Ui − Zi + Vi ) (4) Ct = Co − i=1
i=1
where Co is the value of the organisation at the beginning of the calculation period without risk exposure; αi - the discount factori at the m modelling step; determined for constant (E) and variable (Ei) discount rates αi = (1 + E)−m ; i = 1, . . . , ti = 1, . . . , t I = 1, …,t i = 1, . . . , t i = 1, …,t modelling step; εi - is the inflation rate ε_i = 1/G_i where G_i is the benchmark inflation index; Ui - the amount of damage (loss) expected to be incurred by the organisation if the risk materialises at step i; Zi - the costs related to the development and implementation of the RMS ensuring property liability in step i; Vi - the amount of damage (loss) expected to be recovered according to the risk treatment adopted in step i; da - the average yield on an organisation’s free (net) assets. Obviously, an important distinction here is the possibility of costing the risk of harm by R-the price of risk taking into account the harm caused by U, the costs Z involved in
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the design and implementation of the RMS and the possible compensation for the harm by V: R = U + Z − V.
(5)
Damage will be caused if the amount of actual damages (losses) is either insufficient to compensate them fully or untimely in relation to the costs incurred. Obviously, this condition occurs when R > 0. The digital and Hauston method in the innovation setting makes it possible to justify the choice of risk exposure as well as the fair allocation of responsibility and risk between investment actors.
4 Results Analysis Consider the advantages of digital distributed risk assessment and synergy in RMS using the risk of cost overruns on the project for the overhaul of the 1st Yelagin bridge over the river The Neva in St. Petersburg. In order to better manage the risk of cost overruns during the project design phase the objective was to define a contingency reserve for works and costs. At the same time, the formation and reservation of funds for unforeseen works and costs (reservation) is considered as the main way to manage the risk of exceeding the cost of the project. If the risk tolerance level is exceeded other ways of dealing with the risk may also be used such as risk insurance, contract security, irrevocable bank warranty. A risk factor identification and sensitivity analysis of the model and the degree of influence of the operating risk factors on the value of the project have been carried out. The results are represented by conditional discrete distributions of the project value. The design, engineering, manufacturing, contracting and pricing risk factors of construction cost overruns are considered. The discrete distributions of the risk assessment model parameters derived from the sensitivity analysis are shown in the risk profile. The risk profile is understood as a set of information on the sources of occurrence and risk factors necessary and sufficient for the purpose of risk assessment. They include the parameters of the risk assessment model, their degree of influence on the credibility of the valuation, their textual and graphic description based on a process approach. Under this approach the provision for contingencies and costs in the Bill of Quantities is based on the risk price of exceeding the cost of the major maintenance project at a given level of exposure. An important distinction of the numerical integral convolution method of conditional discrete distributions under consideration is the possibility of almost unlimited expansion of the occurrence sources and risk factors. Figure 4 shows the conditional discrete project cost distributions for the above risk factors and the risk function of exceeding the project cost using the numerical real number integral convolution method and its software implementation in Microsoft Excel. The risk function thus obtained defines the probability that a random value of the actual project cost will exceed or equal the planned (estimated) project cost excluding the provision for unexpected works and costs.
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The cost of the bridge overhaul project excluding the contingency reserve and costs is RUR 28038 thousand (Fig. 2). Then for a given risk level of 10% the project cost including provisions should be at least RUB 30,000 and the risk price of exceeding the project cost (the need for additional financing) is equal to: 30000 − 28038 = 1962 [thousand roubles]. At a defined hazard level the risk price reflects the total expected contingencies and costs of the risk and is the basis for determining the need for additional funding for the project. Risk pricing is essential for understanding the possible deviation of the actual project cost from the planned (estimated) cost and for justifying ways of dealing with the risk. The risk level reflects the credibility of the project cost estimate - the degree of confidence in the results of risk identification and determination of the planned (estimated) project cost.
Risk level [%]
100 80 60 40 20 0 20,000
25,000
Project and technical factor Price factor Risk function
30,000
35,000
Project cost [thousand rubs]
Contract factor Manufacturing and technology factor Planned cost (without reserve)
Fig. 2. Discrete risk function of project cost overruns
According to the outcome of the computational experiment it may be concluded that for a given risk level the contingency reserve for works and costs of 1962 thousand rubles exceeds the estimate reserve of 576 thousand rubles set at 3% of the total of chapters 1–9 of the Bill of Quantities inclusive of VAT. It is also easy to observe that the risk level would be 23.5% if an estimate of RUB 28614 thousand was approved for the bridge overhaul. Transport infrastructure design practice shows that two main strategies can be adopted to bring the risk level in line with the requirements of the design brief for major repairs and the objectives of the project:
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1) Risk reduction of project cost overruns to a specified level (10%) by carrying out additional bridge inspection and verification of bridge load capacity in view of defects detected considering the reconstruction of the cultural heritage object, agreement of additional design assignment and re-evaluation of the risk; 2) Maintaining a contingency reserve for works and costs within the established limit of RUB 576 thousand and covering unallocated risk (risk price) of RUB 1,385 thousand through additional compensating risk management measures including risk insurance and contract security. Given the specifics of project preparation of transport infrastructure facilities the statutory rights of the St. Petersburg State Client and the relatively low value of the unallocated risk. It is recommended that a contingency reserve for works and costs within the set limit be accepted and the unallocated risk of 1,385 thousand roubles be covered by the 5% security of the State Contract.
5 Conclusion The increasing risk tensions in the economy and the volatility of the business environment, on the one hand, and the insufficient reliability of estimates for practical purposes and the need to ensure operational efficiency, on the other, raise the question of the appropriateness of an organisation’s risk management system in the value creation process. However, the current situation in risk management reveals insufficient detail about the link between risk management and value creation and performance. The business processes implemented as part of an integrated risk management system are decentralised, interactive and distributed thereby making the use of digital technology in risk management worthwhile. The new digital risk management paradigm is legitimate, involves abandoning the hypothesis of a normal distribution of the output parameters of the ecosystem under study. Also reflects the result of a digital transformation in the practice of implementing integrated risk management systems, linking risk management to value creation, strategy and performance with the reliability of estimates needed for strategic decision-making. By applying the numerical method of integral number convolution to describe nonlinearity and uncertainty in an unsustainable business environment a synergistic approach to risk management becomes possible moving through uncertainty description to a new numerical visualisation of the integration of risk management with strategy and performance. The new digital integration of risk management with strategy and performance, building integrated risk management systems, ensuring that they are effectively embedded in organisations and enabling reliable assessments can be an additional growth driver for national economies.
References 1. Bykov, A.A.: About creation of risk management systems at the enterprises. Issues Risk Anal. 16(3), 8–9 (2019). https://doi.org/10.32686/1812-5220-2019-16-3-8-9
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Technical and Economic Efficiency of Intelligent Data Analysis on the Railways of the Uzbekistan Republic Otabek Khamidov
and Daria Udalova(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, Saint Petersburg 190031, Russian Federation [email protected]
Abstract. Current technical condition and development prospects of the locomotive fleet of JSC “Uzbek Railways” are presented in the article, and the trend of increasing negative consequences of the aging of the traction rolling stock fleet is highlighted. The main provisions of the infrastructure improvement and locomotive fleet renewal programme developed by Uzbek Railways are described. Presented are the main technical characteristics of new generation locomotives and the prospects for their use in the Republic of Uzbekistan. This research paper highlights a topical set of technical and economic calculations in the field of data mining. Its primary research objective is to assess the economic effect of applying neural network technology to assess the technical condition of asynchronous traction motors on locomotives. The study focuses on a set of indicators for calculating the technical and economic efficiency of data analysis. Research Methods. The net income, net discounted income or integral effect and payback period have been studied and calculated. The data for calculating the economic effect of the diagnostic system is grouped as follows. Results and conclusions. The conclusions are summarised in terms of comparing the cost of existing locomotive repairs with a diagnostic system based on Intelligent Analysis. The findings of this article may be applied to university teaching and research in the field of technical condition monitoring of locomotives. Keywords: Economic calculation · Neural network technology · Locomotive induction motors
1 Introduction The Uzbek Railways JSC has recently experienced a boom, thanks to the active implementation of a number of programmes to improve infrastructure and upgrade the locomotive fleet. Uzbekistan Railways’ locomotive facilities are one of the leading structural units of the road in terms of fixed assets, electricity consumption, material and labor resources involved [1, 2]. Under operating conditions, one of the main ways to improve the fuel and energy efficiency of JSC Uzbek Railways’ locomotives is to replenish (renew) the operating © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 230–239, 2022. https://doi.org/10.1007/978-3-030-96380-4_26
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fleet of traction rolling stock with the most highly efficient locomotives. Meeting this challenge is directly linked to the modernisation of existing and acquisition of new, advanced series of locomotives, thereby increasing the operational reliability of the locomotive fleet and the efficiency of train traction on existing and newly built (or already built) railway lines and sections, taking into account a variety of conditions for organising the transport operation of traction rolling stock. Uzbekistan Railways already has (and will continue to expand) part of its fleet of traction diesel and electric rolling stock with such mainline (train) locomotives of the “new” generation: UzTE16M freight diesel locomotives in various sectional designs, TEP70 BS passenger diesel locomotives (Russia), O’ZBEKISTON, UZ-EL, UZ-ELR freight and passenger electric locomotives (People’s Republic of China - Uzbekistan), by means of which freight and passenger train traffic on various railway sections is organized. Figure 1 shows the main assemblies and units of the “O’Z-ELR” series electric locomotives.
Fig. 1. Main assemblies and units of O’Z-ELR series electric locomotives
Uzbekistan Railways’ contemporary electric locomotives are equipped with TCMS (which is a centralised network control system), being designed to monitor, diagnose and control the movement of electric locomotives. Primary objective of the locomotive monitoring, diagnosis and control system: real-time control of the main converter and asynchronous traction motor on driver’s command, assistance for real-time control of the auxiliary converter, locomotive towing/braking control, sequential drive system logic control, display of locomotive operating status, full protection against locomotive failure, storage and display of fault information, self-service The TCMS hardware mainly consists of a power supply module, an arithmetic and logic unit, a value I/O unit, an analogue signal acquisition unit, and a communication unit. An AVR power supply module is built into the hardware box which supplies the TCMS system with DC current of different voltages, e.g. DC 24V, ±15 V, 5 V. The PUZ processor unit contains the central processing unit (CPU), the software and the interface to the display. Measurement and control unit DET is designed to verify that the main control system does not malfunction in order to realise change-over to a standby control
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system in the event of a main control system failure. The SIF serial communication interface is used to provide communication between the TCMS system and the two main inverters and the auxiliary inverter, communication between the TCMS system, the 110 V direct current power supply module and the braking system. The DI value input module is designed to receive and process signals from different switches and then transmit these processed signals to the processor unit. The AUX auxiliary module has value output, analog value input and pulse signal input functions and can realize input of auxiliary relay control signal and special signals. Multipurpose traction control module MDM is designed to transmit data from this locomotive to other locomotives via Ethernet network and to transmit data received from other locomotives to the processor unit in order to realize multipurpose train traction. The TCMS plays a leading role in overall locomotive management. Operating condition of the TCMS directly determines the possibility of stable and normal locomotive operation. Basically, the TCMS performs the following works: reception of all input command signals via human-computer interface, collection of various feedback signals, on-line signal processing, issuing command control signal to main converter, auxiliary converter, transmission of calculation results, fault information and other relevant technical parameters to display them, transmission of command signal of train multiple traction to other locomotives via local network. Should the main control system fail, it automatically switches to the auxiliary control system by means of a hot standby device. The TCMS performs the locomotive control and protection function as follows: • Intelligent diagnostics and fault indication, locomotive protection control. • In the event of a locomotive failure, the TCMS notifies operators of the occurring fault via the display and signalling device, then performs the appropriate protective actions and stores the fault information in order to provide the necessary data for further fault diagnosis. • The TCMS also enables fault data to be uploaded to a laptop computer for analysis and storage. • Generic data such as time, speed, operating mode, multiple traction status of the train are usually shown at the top of the window. • Generic data such as time, speed, operating mode, multiple traction status of the train are usually shown at the top of the window. To date, the number of electric locomotives in the locomotive fleet of JSC “Uzbek Railways” has reached 183 units. In addition, its fleet consists of 489 mainline diesel locomotives and 258 shunting locomotives. Uzbek Railways’ operating fleets include 88 electric locomotives, 128 mainline diesel locomotives and 176 shunting diesel locomotives (Table 1).
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Table 1. Operational locomotive fleet Type of locomotive Mainline electric locomotives
Operating fleet 2020 year Operating fleet 2021 year (forecast) 88
102
114
94
18
21
Shunting locomotives
167
172
TOTAL
387
389
Mainline diesel locomotives Electrosections
Among the company’s locomotive fleet, there are also BL60K and BL80S locomotives manufactured at the Novocherkassk plant in the 1980s, but today these locomotives have exhausted their service life. Twelve and 15 O’zbekiston electric freight locomotives and 15 O’Z-Y electric passenger locomotives, respectively, were purchased to replace them. During 2013, 11 modern O’ZEL series electric locomotives were received. Developed to the engineering specifications of Uzbekistan’s specialists, the O’ZEL series electric locomotives differ significantly in appearance and design from electric locomotives currently available in the world. Chinese locomotive builders, together with Japan’s Toshiba, produced these electric locomotives according to the technical requirements submitted by Uzbek railway specialists. O’ZEL series electric locomotives have been successfully road tested and are in operation in freight traffic. Refer to Table 2 for the main technical characteristics of the “UZ-EL” series electric locomotives. When building the new O’ZEL electric locomotives, the following design and technical characteristics of the locomotive were refined and improved: • • • •
working conditions in mountainous areas (up to 1800 m above sea level). increase in short-term power from 6.000 to 7.200 kW). availability of on-board video surveillance. application of an electronic driver’s crane to control the brakes.
Developed with the latest technology, power-consuming and environmentally friendly components, O’ZEL series electric locomotives are a locomotive of today that meets all international standards. Table 2. Technical characteristics of UZ-EL series electric locomotives № p/p
Name of indicators
Meaning of indicators, explanations
1
Service type
Cargo
2
Nominal voltage of the contact network, kW
25
Minimum
19 (continued)
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O. Khamidov and D. Udalova Table 2. (continued)
№ p/p
Name of indicators
Meaning of indicators, explanations
Maximum
29
3
Frequency, Hz
50
4
Electric locomotive power
6000
5
Height above sea level, m
1800
6
Ambient temperature (C) at 90% relative humidity
−30 + 50
7
Weight with 0.67 of the sand stockpile, tn
138
8
Maximum axle load on the rail, kN (tf)
235 (24)
9
Regenerative braking power, kW
5400
10
Power of one traction motor, kW
1020
11
Number of traction motors, units
6
12
Maximum thrust force, kN
450
13
Construction speed, km/hour
120
14
Track width, mm
1520
15
Continuous mode speed at least, km/h
51
16
Minimum radius of passable curves at 10 km/h, in meters
125
17
Wheel diameter on the rolling circumference with new tires, mm
1250
18
Height of coupler axis from rail head level with new tires, mm
1080
19
Elevation from rail head level to the working surface of the current collector rail, mm: with the current collector lowered
5100
with the current collector lifted
7000
20
Type of coupler
CA-3
21
Electric locomotive efficiency at least, %
85
The acquisition of O’ZEL electric locomotives produced tangible technical and economic effects for the company, namely, it allowed reducing labour input during locomotive repair by 25%, reducing material and resource consumption during repair by 40%, reducing electricity consumption by 10% due to application of regenerative braking, raising the cultural and aesthetic level of locomotive fleet operated with goods trains, increasing the weight of transported trains by 14%. The acquisition and use of O’ZEL series electric locomotives, belonging to the new generation locomotives, has become a significant impetus in the field of technical re-equipment and renewal of the locomotive fleet of JSC Uzbek Railways [3].
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The major result of the renewal of the company’s locomotive fleet will be a large progressive and technological, economic and social effect that will allow the company to successfully perform its freight and passenger transportation objectives, provide Uzbek Railways JSC with modern types of traction and meet the planned objectives of the Government of the Republic of Uzbekistan in a timely manner. At present, the mileage of locomotives with asynchronous traction motors between maintenance, current repairs, medium repairs and overhauls is regulated by an Uzbek Railways JSC decree. Under conditions of deployment of diagnostic complex based on intelligent data analysis for assessment of technical condition of asynchronous traction motors of locomotives allows to carry out their maintenance and repair according to their actual technical condition. Economic effect of applying intelligent data analysis to assess the technical condition of asynchronous traction motors of locomotives has been calculated in accordance with the methodological provisions and recommendations of JSC “Uzbek Railways”.
2 Materials and Methods The net income, net discounted income or integral effect and payback period have been studied and calculated. The data for calculating the economic effect of the diagnostic system is grouped as follows. Persuasiveness and consistency of presentation, conclusions, suggestions are due to research materials: using sources from scientific journals, dissertation research. Among other things, the nature of the results is ensured by using different ways of calculating the efficiency of applying intelligent data analysis to assess the technical condition of asynchronous traction motors in locomotives. The conditions for proving the calculation of the economic effect of the implementation of the diagnostic system were the fixation of the annual economic benefit of implementing a diagnostic complex using an artificial neural network on one locomotive, as well as compliance with the principles of focus, objectivity, applicability, systematicity and integrity.
3 Results Maximum return on investment is the criterion for the efficient use of diagnostics on Uzbek Railways’ locomotives. The net present value (NPV) or integral effect has been taken as the main measure of profitability. By using intelligent data analysis to assess the technical condition of asynchronous traction motors for locomotives, the commercial effectiveness was determined by the ratio of financial costs to the results, providing the required rate of return. In calculating the economic effect, the cost indicators of the implemented systems for diagnostics of asynchronous traction motors and their current maintenance on locomotives are considered as costs; the annual running costs of the neural network systems are considered as results (Table 3).
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O. Khamidov and D. Udalova Table 3. Economic impact calculation of the diagnostic system
Indicator
Existing repair system
Repair system using artificial neural network diagnostics
Average annual repair costs per locomotive
876,804.54 thousand totally
15% increase in mileage between overhauls. Reduced costs (701443.62 thousand totally). Efficiency (Eff) will be 175362.54 thousand totally
Maintenance and repair costs
83,129.79 thousand totally
Service and repairs will be on a pay-as-you-go basis. Reduced costs by an average of 45%. Efficiency (Eff) will amount to 45721.74 thousand totally
Lubrication costs
The average consumption per Cost reduction of 55%. The locomotive per year is costs will be 668.5 thousand 185.6 kg of grease. At the cost totally of 1 kg–17203.78 totally. The costs amount to 3.192.87 thousand totally
Economic damage associated The average loss from a The implementation of the with the failure of the train one-hour delay of a train is complex will reduce costs by schedule 3.663.16 thousand totally. 29157.89 thousand totally Specific delay time is 2.5 h for each locomotive of passenger traffic per year Economic benefits from the introduction of ANN-enabled diagnostics on one locomotive are therefore
Eff = 175362.54 + 45721.74 + 2524.037 + 29157.89 = 252766.54 thousand totally
Implementing an ANN-assisted diagnostic system to assess the Eff (general year) = technical condition of O’ZBEKISTON electric locomotives 252766.54(120 + 30 + 18 + 4) = 43475844.88 thousand totally
The following dynamic indicators based on discounting have been calculated to assess economic efficiency: 1. net income for the calculation period (for one locomotive). NV = (252766.54 – 85070.4) + (252766.54 – 8004.33) * 9 = 2370556.03 thousand totally. Capex for equipment with artificial neural network based diagnostic system is 65070400 soums per locomotive, running costs for maintenance are 8004.33 thousand soums per year per locomotive.
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2. net discounted income (cumulative discounted effect). E is the discount rate taken in economic calculations as the refinancing rate of the Central Bank of the Republic of Uzbekistan, which in 2020 is –10% (E = 0.1) (Table 4).
Table 4. Calculation of net income for the calculation period Calculation period by years T = 5 years
Indicator
1
2
3
4
5
Revenues achieved in the 252766.54 252766.54 252766.54 252766.54 252766.54 calculation period Pt, thousand totally Costs (capital expenditures and current expenditures) achieved in the calculation period 3t, thousand totally
8004.33
8004.33
8004.33
8004.33
8004.33
Current profit (Pt-3t), thousand 121352.13 244762.21 244762.21 244762.21 244762.21 totally Current discounting (1 + E)t
1.10
1.19
1.28
1.38
1.49
Discounted income (DI), thousand totally
110320.12 205682.52 191220.47 177363.92 164269.93
Net present value (NPV), thousand totally
110320.12 316002.64 507223.11 684587.03 848856.96
Table 5. Calculation of net income for the calculation period Indicator
Calculation period by years T = 6–10 years 6
7
8
9
10
Revenues achieved in the calculation period Pt, thousand totally
252766.54
252766.54
252766.54
252766.54
252766.54
Costs (capital expenditures and current expenditures) achieved in the calculation period 3t, thousand totally
8004.33
8004.33
8004.33
8004.33
8004.33
244762.21
244762.21
244762.21
244762.21
244762.21
Current profit(Pt-3t), thousand totally
(continued)
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O. Khamidov and D. Udalova Table 5. (continued)
Indicator
Calculation period by years T = 6–10 years 6
7
8
9
10
Current discounting (1 + E)t
1.61
1.74
1.88
2.03
2.19
Discounted income (DI), thousand totally
152026.21
140667.96
130192.67
120572.51
111763.57
Net present value (NPV), 1000883.17 1141551.13 1271743.75 1392316.26 1504079.83 thousand totally
When determining the Profitability Index PI, the amount of investment in the implementation of the investment project (diagnostic equipment) c is taken into account. The value of K = 65070400 sum for this calculation is the cost of equipping one locomotive with an artificial neural network diagnostic system. Since the profitability index PI is greater than one, the investment project is economically attractive (Table 5).
4 Discussion/Analysis of Results Thus, based on the performed technical and economic calculation we can conclude that the introduction of neural network diagnostic systems to assess the technical condition of locomotive induction motors is appropriate and cost-effective (NPV > 0 value), the payback period of the investment project is PP = 1 .7 months.
5 Conclusion Thus, it has been shown that the comprehensive measures implemented in JSC “Uzbek Railways” to renew the traction rolling stock fleet and the introduction of neural network systems can provide the transportation process with the required number of locomotives and reduce operating costs, as well as reduce overall depreciation of the locomotive fleet. The deployment of new generation locomotives on the new electrified railway sections reduces maintenance and repair costs, increasing the average train weight and freight turnover on the operating sections with a mountainous profile.
References 1. Agunov, A.V., Grishchenko, A.V., Kruchek, V.A., et al.: A method of using neural fuzzy models to determine the technical state of a diesel locomotive’s electrical equipment. Russ. Electr. Engin. 88, 634–638 (2017). https://doi.org/10.3103/S1068371217100029 2. Burkov, A.T., Valinsky, O.S., Evstaf’ev, A.M., et al.: Modern locomotive traction drive control systems. Russ. Electr. Engin. 90, 692–695 (2019). https://doi.org/10.3103/S10683712191 0002X
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3. Evstaf’ev, A.M., Nikitin, V.V., Telichenko, S.A.: Energy converters for hybrid traction power systems used in electric transport. Russ. Electr. Engin. 91, 77–81 (2020).https://doi.org/10. 3103/S1068371220020042 4. Grachev, V.V., Grishchenko, A.V., Kruchek, V.A.: Automation of adjustment of the selective characteristic of a locomotive traction generator with electric transmission. Russ. Electr. Engin. 89, 581–587 (2018). https://doi.org/10.3103/S1068371218100036 5. Grishchenko, A.V., Kruchek, V.A., et al.: Diagnostics of the technical condition of rolling bearings of asynchronous traction motors of locomotives based on data mining. Russ. Electr. Engin. 91(10), 593–596 (2020). https://doi.org/10.3103/S1068371220100119 6. Kanaev, A.K., Oparin, E.V., Oparina, E.V.: Model of the synchronization network functioning process in the context of intellectualization of network control functions. Web Conf., 217–224 (2020). https://doi.org/10.1051/e3sconf/202022401028 7. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng., 441–447 (2019). https://doi.org/10.35940/ijrte.B2821.078219 8. Murin, J.: Some properties of a diesel drive line with hydrodynamic torque converters of the latest generation. Mech. Mach. Theory 40, 99–117 (2005). https://doi.org/10.1016/j.mechma chtheory.2004.06.010 9. Takhumova, O., Ryakhovsky, D., Satsuk, T., et al.: Ways to assess and improve the financial sustainability of Russian organizations development. Int. J. Eng. Adv. Technol. 9(1), 1568– 1571 (2019). https://doi.org/10.35940/ijeat.A1360.109119 10. Titova, T.S., Evstaf’ev, A.M., Nikitin, V.V.: The use of energy storages to increase the energy effectiveness of traction rolling stock. Russ. Electr. Engin. 89, 576–580 (2018).https://doi. org/10.3103/S1068371218100097 11. Titova, T.S., Evstaf’ev, A.M., Sychugov, A.N.: Improving the energy performance of alternating-current electric vehicles. Russ. Electr. Engin. 88, 666–671 (2017).https://doi.org/ 10.3103/S1068371217100145 12. Saharova, M.A., Prisyazhniuk, S.P., Kanaev, A.K., Oparin, E.V.: Model of the technical diagnostics process and control of the functional subsystem of the telecommunications network. Wave Electron. Appl. Inf. Telecommun. Syst., 311–319 (2020). https://doi.org/10.1109/WEC ONF48837.2020.9131534 13. Valinsky, O.S., Evstaf’ev, A.M., Nikitin, V.V.: The effectiveness of energy exchange processes in traction electric drives with onboard capacitive energy storages. Russ. Electr. Engin. 89, 566–570 (2018).https://doi.org/10.3103/S1068371218100103 14. Yan, Q., Li, J., Wei, W.: Research on effect of working oil temperature for hydraulic torque converter performance using CFD and test. J. Mech. Eng. 50(12), 118–125 (2014). https:// doi.org/10.3901/JME.2014.12.118 15. Zaitsev, A.A., Evstaf’ev AM, Pegov DV, et al.: Intelligent technologies applied to increase the energy efficiency of electrified direct-current rolling stock. Russ. Electr. Engin. 88, 676–680 (2017). https://doi.org/10.3103/S1068371217100169
Volume Accounting of Buildings and Premises and the Use of Mobile LIDAR Technology in the Cadastre Alina Rybkina(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Avenue, Saint Petersburg 190031, Russian Federation
Abstract. The article deals with the problems of state cadastral registration of buildings and premises. The article deals with the problems of state cadastral registration of buildings and premises. Research has established the need to take into account the volume of objects as the main characteristic to be entered in the Unified State Register of Immovable Property. The possibility of using mobile LiDAR technology to measure and prepare 2D and 3D floor plans has been revealed. It has been determined that the maximum effect of mobile LiDAR technology can be obtained in the cadastral registration of apartment buildings. The article provides illustrative examples to prove that the proposals can be applied. Keywords: Cadastral registration · Real estate · Volume calculation · 3D cadastre · Iphone 12 pro · LIDAR technology
1 Introduction In the Russian Federation, cadastral records of buildings and premises are currently maintained using 2D and 3D technologies. However, the main characteristic to be entered into the Unified State Register of Real Estate (hereinafter referred to as the USRRE) is the area of such objects. Also on the basis of this characteristic capital construction objects are evaluated: cadastral and market. For example, the unit value of the cadastral or market value is the value of 1 square metre. In this respect, the property tax calculated from the cadastral value also depends on the value of the property’s area. The cadastral survey of buildings and premises in 2D format does not include information on their height or volume in the USRRE. The preparation of 3D models is not obligatory and is carried out at the customer’s request. In addition, the volume is not calculated in 3D modelling either. In this case only the height (depth) is provided. It should be noted that the main characteristic of an object entered in the USRRE should adequately reflect its geometric structure. However, to date, “area” does not always cope with this task due to the individual characteristics of the volume-planning solutions [1–4]. For example, flats over 3 m high have the option of a entresol or sleeping area on the second level (Fig. 1,a). While in detached houses attics are constructed which are not actually full-fledged floors (Fig. 1,b). © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 240–249, 2022. https://doi.org/10.1007/978-3-030-96380-4_27
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a)
b) Fig. 1. Structural solutions of buildings and rooms: a) - Apartment with entresol, Source: https:// theloftsatsevensf.com; b) - Dormer floor of an apartment building, Source: https://krovlyakrysh i.ru
For the purposes of cadastral accounting requirements for calculating the area of real estate have been developed according to those principles for measurements and calculations including the abovementioned cases. However, these requirements are valid for a limited period and may change over time, the main amendments of 2021 are presented in Table 1. Table 1. Principles of measurement for calculating building and room areas Order of the Economic Development Ministry of the Russian Federation No. 90 of 01.03.2016. (ceased to be in force from 01.01.2021)
Order of the Federal Service for State Registration, Cadastre and Cartography No. P/0393 of 23.01.2020 (in force from 01.01.2021)
Measurements at height (continued)
242
A. Rybkina Table 1. (continued)
Order of the Economic Development Ministry of the Russian Federation No. 90 of 01.03.2016. (ceased to be in force from 01.01.2021)
Order of the Federal Service for State Registration, Cadastre and Cartography No. P/0393 of 23.01.2020 (in force from 01.01.2021)
1.1–1.3 m from the floor with sloping exterior Zero to 1.10 m from floor level (skirting walls at floor level boards, decorative elements, cable ducts, heating or air conditioning systems are not taken into account) Entresol Guidelines for area accounting for non-residential buildings and premises only
Guidelines for area accounting for non-residential buildings and premises only
Dormer floor The distances used to determine the area of the dormer floor of a building, the dormer room, are measured at the height of the sloping ceiling (wall): 1.5 m - at an inclination of 30° to the horizon; 1.1 m at 45°; 0.5 m - at 60° or more For intermediate values the height is determined by interpolation
1. For non-residential buildings and premises the previous requirements apply 2. For dwellings and attic floor rooms the area is defined within the height of the sloping ceiling (wall) up to 45° inclination - from 1.6 m, for inclinations of 45° and more - from 1.9 m. For ceiling heights of less than 1.6 m and 1.9 m respectively at the respective slope angles the area is not taken into account (not included)
Table 1 shows that from 1 January 2021 there has been a fundamental change in the calculation of the area of attic floors of residential buildings and the rooms located in them. Thus, the areas calculated under Order No. 90 do not currently meet the stated requirements and must be recalculated. However, in this case, the owners of previously registered properties must bear the costs of cadastral works to update the information in the Unified State Register of Real Estate Also the normative and methodological literature does not justify the choice of parameters for measuring and determining areas on attic floors and in buildings/premises with sloping walls and/or roofs. Considering the volume of buildings and premises in the cadastre will solve the problems of describing such properties as specifying volume as the main characteristic has a number of advantages: – is a constant, independent of the measurement height; – this characteristic most adequately describes the geometric structure of the object; – considering the value of 1 cubic metre as a unit value will solve cadastral valuation and taxation problems as the height of buildings and premises will be taken into account in the calculations. If the heights have different values this will affect the value of the volume and therefore the value of the property [5–7].
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Thus, the aim of the study is to justify the feasibility of switching to volume accounting in cadastral surveys and to justify the use of mobile LiDAR technology to reduce the time required to carry out measurements and prepare floor plans. It should be noted that using volume as the main feature does not impose an obligation to display the building or room plan in 3D format as the feature belongs to the semantic database. The search for ways to move from 2D to 3D inventories has been intense in the Netherlands, Israel, Sweden, Norway, Finland, Hungary, Denmark, Poland, Greece, Turkey, China, Singapore, Canada, Australia, Latin America and many others [8–12]. However, despite the existing developments in this area, the issues of determining the volume of buildings and premises have not yet been resolved. The possibility of obtaining reliable information about buildings and premises by means of modern mobile LiDAR technology available to the general public has not yet been investigated.
2 Materials and Methods The study was carried out on objects located in the Leningrad Region and St. Petersburg: a dwelling house with a loft and a dwelling - a flat. The analysis was also carried out with the help of Occipital, Inc. (USA), the developer of Canvas, an application for creating 3D models of real-world spaces and converting them into CAD (computer-aided design) system. The measurements were taken with a Leica DISTO laser rangefinder and an iPhone 12 Pro equipped with a LiDAR scanner. Materials were processed using AutoCAD, SketchUp and mobile apps: Magicplan and Canvas.
3 Results and Discussion As a result of the measurement work for cadastral registration purposes a plan of the attic floor of the residential building was drawn up in accordance with the requirements of Order No. 953 of the Ministry of Economic Development of the Russian Federation (Fig. 2). It is not sufficiently informative as it does not contain information about the roof pitch and does not allow visual identification of the structural features of the object. At the same time, the 3D model shown in Fig. 3 provides a complete picture of the accounting object.
Fig. 2. 2D plan of attic floor
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Fig. 3. 3D model of attic floor
The calculation of the area based on the requirements in Table 1 showed a significant (1.7 times) discrepancy in the values caused by the different methodologies (Table 2). Table 2. Determining the area of the attic floor of a dwelling house Area, sq.m.
Background document
Hight
Until 01.01.2021 Order No. 90
45° – 1.1m 55° – 0.7m
(4.07*8.58)+(0.77*1.86)=36.4
After 01.01.2021 Order No. P/0393
from 45° and more from 1.9m
(8.58*2.41)+(1.61*0.58)=21.6
Section
Thus, the use of area as the main characteristic in cadastral registration from 2021 will lead to an underestimation of indicators including a decrease in the cadastral value of the object and, consequently, in the amount of tax. In order to improve the quality of cadastral information it is therefore proposed to determine volumes by dividing the object into simple geometric figures and adding the volumes of such figures (rounded to 0.1 m3 ). For the site shown in Fig. 2, the attic volume was 72.2 m3 .
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The necessity of determining volumes imposes an obligation to take additional measurements of room heights. The Leica DISTOc laser distance meters are now widely used in cadastral surveying. However, the use of conventional laser tape measures increases the time required for cameral processing of measurements as the drawing is done manually from the field sketches (blueprints). Professional 3D laser scanners have not been widely used in this field because of their high cost (over $13,000) partly due to their high accuracy (1–4 mm). According to the current regulations established by Order No. 953 of the Ministry of Economic Development of the Russian Federation all linear measurements for cadastral works are carried out to an accuracy of 0.01 m (1 cm). Research has shown that the iPhone 12 Pro equipped with a LiDAR scanner is capable of meeting these requirements. For research purposes two apps Magicplan and Canvas were selected from the App Store to collect and process the information obtained through space scanning. They were best suited for the task at hand. The work identified the advantages and disadvantages of these applications (Table 3). It should be noted that the principle of scanning in these applications also has significant differences: Magicplan involves identifying characteristic points of structural elements (rotation angles, etc.) needed to form a floor plan in real time. While Canvas involves a complete scan of the space with a 3D reality model for subsequent processing of the complete point cloud in the specialised software of the developer Occipital. Table 3. Comparison of Magicplan and Canvas for cadastral purposes Indicator
Magicplan
Canvas
Application price, USD
0
0
Automatic recognition of planning elements, windows, doors etc.
+
+
Scanning of furniture and furnishings
–
+
Automatic calculation of volumes, areas and other indicators
+
–
2D plan (CAD)
+
+
3D model (CAD)
+
+ (continued)
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A. Rybkina Table 3. (continued)
Indicator
Magicplan
Canvas
2D and 3D model of reality
–
+
File formats
2D: PDF, JPG, PNG, SVG, DXF 3D: OBJ, USDZ
SketchUP: .skp, .dwg, .dae Revit: .rvt, .dwg, .ifc Chief Architect: .plan, .dwg, .dae 2020: .kit, .dwg, .dae 2D Floor Plan: .pdf, .dwg, .rvt
Room statistics file
+
–
Features
Requirements: Good lighting, free view of turning angles
- Requirements: good light, no mirrors - Disadvantage: There is a charge to obtain a processed CAD file 1–1.5 USD/m2
The measurement results of the iPhone 12 Pro using the aforementioned apps are in perfect agreement confirmed by laser rangefinder measurements and shown in Figs. 4 and 5.
Fig. 4. Preview of corridor images
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Fig. 5. Apartment layout in 2D and 3D
The statistical conclusion for this object showed full compliance of the area contained in the Unified State Register of Real Estate with the value obtained from measurements –36.0 m2 (Table 4). Table 4. Room characteristics Indicator
Scan results
Official cadastral data
Type of object
Flat, Residential Accommodation
Flat, Residential Accommodation
Square
36.0 m2
36.0 m2
Volume
89.5 m3
–
In addition, Occipital has published information on the accuracy of LiDAR-enabled Canvas models for iPad or iPhone [13]. According to the data presented the accuracy of 3D scanning is 1–2% depending largely on the user and the environment. So, for example, a football pitch or a mirror room will have a higher number of absolute errors as opposed to a kitchen. Under favourable conditions, however, millimetre precision can be achieved. Developers have identified the following main negative factors affecting the quality of models. – poor lighting; – the presence of a large number of mirrors; – no measurement of wall, floor and ceiling thicknesses. These indicators are not directly observable. This leads to the use of construction standards as well as analysis of the aggregate of all scanning materials to determine the best value. A 1-inch difference in the accuracy of wall thicknesses can be critical in relation to the entire building [13].
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Thus, object scanning with the iPhone 12 Pro with LiDAR support gives the best results when the wall thickness does not affect the detection of the main object characteristic. In cadastral activities, internal walls and partitions are not taken into account only when determining the area of premises including flats. Therefore they do not affect the value of these properties. The maximum effect of mobile LiDAR technology may be obtained in the cadastral registration of apartment buildings, as in this case there is a simultaneous mass registration of all flats located within each building [14]. According to current legislation cadastral works and the preparation of a technical plan are carried out during the commissioning phase of an apartment building. In this way, the flats are built, electrified and free of furniture and furnishings. This provides favourable conditions for 3D scanning and reliable information about the characteristics of the rooms.
4 Conclusion When researching buildings and premises with complex configurations, in particular those with mansard floors the need for the introduction of ‘volume’ as a key feature of the property in the inventory was proven. This innovation will solve the problem of cadastral information inconsistency in relation to objects recorded according to different methods as the volume is a constant value that does not depend on the height of measurements taken and internal restructuring of the real estate object. In addition, this characteristic most adequately describes the geometric structure of the object. However, the need to determine volumes imposes an obligation to take additional measurements of room heights. In order to reduce labour costs the possibility was identified of using mobile LiDAR technology (iPhone 12 Pro) to measure and prepare 2D and 3D plans of rooms only including flats. This method is not applicable to buildings due to the lack of wall thickness measurements affecting their area. It has been found that the best accuracy can be achieved under the following conditions: good lighting, free view of turning angles, no furniture or furnishings. In addition, it has been found that Magicplan [15] is the best application to collect and process information for cadastral purposes obtained through 3D scanning as it performs automatic calculation of volumes, areas and other indicators in addition to graphical information. However, the 3D model format requires conversion according to the file formats accepted in cadastral activities: DXF, RVT, PLN, SKP. The iPhone 12 Pro as a cadastral measurement tool is an alternative to professional laser scanners at a cost ten times lower. The maximum effect of mobile LiDAR technology may be obtained in the cadastral registration of apartment buildings, as in this case there is a simultaneous mass registration of all flats located within each building.
References 1. Bryn, M.Y., Lobanova, Y.V., Nikitchin, A.A.: About designing the internal layout grid of the main NPP building. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042040 (2020). https://doi.org/ 10.1088/1757-899X/913/4/042040
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2. Egorov, V., Belyy, G.: Nonlinear properties of hybrid construction of coatings of buildings and structure. E3S Web Conf. 217, 01001 (2020). https://doi.org/10.1051/e3sconf/202021 701001 3. Egorov, V., Kravchenko, A., Abu-Khasan, M.: The application of evolutional algorithm optimization of Sprengel systems of transport buildings and structures for northern districts. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022020 (2020). https://doi.org/10.1088/1757-899X/753/ 2/022020 4. Ulitsky, V., Bogov, S.: Restoration engineering of historic structures: case study of building 12 on new Holland Island in Saint-Petersburg. In: Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, pp. 390–395 (2019).https://doi.org/10.1201/9780429058882-75 5. Gusev, N., Svatovskaya, L., Kucherenko, A.: Effect of changing of the parameters of the cable network of monitoring systems of high-rise buildings on the basis of string converters on their operability. E3S Web Conf. 33, 02069 (2018). https://doi.org/10.1051/e3sconf/20183302069 6. Maslennikova, L.L., Babak, N.A., Naginskii, I.A.: Modern building materials using waste from the dismantling of buildings and structures. Mater. Sci. Forum 945, 1016–1023 (2018). https://doi.org/10.4028/www.scientific.net/MSF.945.1016 7. Seliutina, L.G., Bulgakova, K.O.: Basics of investment projects selection for the implementation of regional investment programs in the sphere of social house building. Espacios 39(26), 9 (2018) 8. Karabin, M., Kitsakis, D., Koeva, M., et al.: Layer approach to ownership in 3D cadastre in the case of underground tunnels. Land Use Policy 98, 104464 (2020). https://doi.org/10.1016/ j.landusepol.2020.104464 9. Griffith-Charles, C., Sutherland, M.: 3D cadastres for densely occupied informal situations: necessity and possibility. Land Use Policy 98, 104372 (2020). https://doi.org/10.1016/j.lan dusepol.2019.104372 - M., Vrani´c, S., Roi´c, M.: Initial 3D cadastre registration by cadastral 10. Vuˇci´c, N., Mader, resurvey in the Republic of Croatia. Land Use Policy 98, 104335 (2020). https://doi.org/10. 1016/j.landusepol.2019.104335 11. Griffith-Charles, C., Sutherland, M.: Analysing the costs and benefits of 3D cadastres with reference to Trinidad and Tobago. Comput. Environ. Urban Syst. 40, 24–33 (2013). https:// doi.org/10.1016/j.compenvurbsys.2012.07.002 12. Shojaei, D., Kalantari, M.D., Bishop, I., et al.: Visualization requirements for 3D cadastral systems. Comput. Environ. Urban Syst. 41, 39–54 (2013).https://doi.org/10.1016/j.compen vurbsys.2013.04.003 13. Blazing-Fast 3D Capture for Interior Spaces. https://canvas.io/. Accessed 31 Mar 2021 14. Atazadeh, B., Olfat, H., Rajabifard, A., et al.: Linking land administration domain model and BIM environment for 3D digital cadastre in multi-storey buildings. Land Use Policy 104, 105367 (2021). https://doi.org/10.1016/j.landusepol.2021.105367 15. The sketching app every contractor loves. https://www.magicplan.app/. Accessed 31 Mar 2021
Application of the Hierarchy Analysis Method in Assessing the Efficiency Real Estate Use of Railway Transport Dmitriy Afonin
and Victoria Merkusheva(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, Saint Petersburg 190031, Russian Federation
Abstract. The economic assessment of the effectiveness of the use of real estate objects and the choice of the most effective type of their use for such large property complexes as the railway should take into account not only economic criteria, but also informal criteria that do not have a quantitative dimension, such as sociocultural values, environmental indicators, etc. To solve this optimization problem, it seems more reasonable to use the method of hierarchy analysis. In the article, the use of this method is considered on a specific example – the determination of the most effective type of operation for the basement of the railway station at the station New Peterhof. For making management decisions, the possible types of transactions and operations (alternatives) and factors (criteria) that determine the effectiveness of transactions are determined. For each level of the hierarchy, matrices of paired comparisons of elements placed at the lower level relative to the elements of the upper level are compiled. The matrices of paired comparisons are formed using the fundamental Saati scale based on expert assessments of a team of specialists in the field of real estate management and valuation. The result of evaluating alternatives relative to the optimization goal is a ranked vector of global priorities, which allows you to make operational decisions in the management of railway transport real estate. Keywords: Hierarchy analysis method · Properties · Efficiency of real estate transactions and operations · Net present income · Discounted operating costs · Capitalisation ratio
1 Introduction At present, when restructuring the railway transport the ability to rationally manage the existing fixed assets of railways where 65% is real estate [1, 2], in order to increase profits from the use of real estate and obtain additional income is becoming particularly important. This process is based on an objective economic assessment of the use of real estate assets forming part of the railway’s property complex and on making operational decisions on the following issues: – what kind of transaction or operation with the property to carry out in order to increase the income from the use of railway properties; © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 250–259, 2022. https://doi.org/10.1007/978-3-030-96380-4_28
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– which kind of utilisation of the railway transport property should be carried out to reduce the costs of its maintenance. Traditional approaches to assessing the current level of real estate management efficiency are based on economic evaluation. Such indicators as return on assets, return on equity, return on production, and return on sales are taken into account [3–5]. However, researchers in the field of real estate management have suggested that not only financial criteria but also other criteria some of which are not unambiguously quantifiable should be taken into account [6–8], such as. – socio-economic performance criteria (strategic purpose in terms of the railway’s needs and fulfilment of the railway service users’ needs) [9]; – criteria of environmental-energy efficiency (production capacity of the property railway complex, indicators of energy consumption and amount of emissions) [10]; – spiritual and cultural values. Thus, selecting the most efficient use of a railway transport property is a complex optimization task in a management decision-making system with criteria of a different nature. This challenge must be addressed at different levels of government: – of the Russian Federation - the general economic efficiency of the railway transport real estate use; – region (region, district) - regional efficiency of railway transport real estate use; – private - self-supporting (commercial) efficiency of railway transport real estate use [11–14]. The use of the hierarchy analysis method which is widely used in quality management in various fields of production activities seems more reasonable for solving this problem. It allows expert judgement to consider optimization problems with hierarchical structures involving both tangible and intangible factors than the linear logic approach. Hierarchical analysis of a decision-making problem in hierarchical analysis begins with the construction of a hierarchical structure that reflects the decision-maker’s understanding of the problem and includes the goal, criteria, alternatives and other factors under consideration that influence the choice.
2 Research Methods Let’s consider the use of hierarchy analysis method on a concrete example - determining the most efficient type of transaction for the basement of the railway station at N Peterhof station located in the right risalit with a total area of 100 sq. m. Objective of the task is the optimal choice (the top level of the hierarchy). The following possible types of transactions and operations have been identified as alternatives (lower level of the hierarchy): – lease (A1);
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– – – – – – –
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a contract for paid services (A2); a contract for paid services entered into in conjunction with a lease (A3); sale (A4); mortgage (A5); a simple partnership agreement (A6); agreement on the formation of a legal entity (A7); storage agreement (A8).
The calculation of the transaction and operating efficiency of railway real estate depends on many factors accounting for the feasibility of transactions and deals with real estate, the conditions of the contracts to be concluded, the situation on the railway real estate market and the physical characteristics of the objects being valued. These factors form the optimal choice criteria (the middle level of the hierarchy). We considered the following main factors: – the tax regime in force in the area, as well as the availability of real estate-related tax exemptions (K1); – the existence of requirements in the contract for property insurance and procedures for compensating third parties or, conversely, for liquidating damage to the object of the transaction being valued by them (K2); – how the contract is to be settled - frequency (once a month or other unit of time) (K3); – the timing of payments (in advance or at the end of each payment period) (K4); – market situation (K5); – the term of the contract (K6). The essence of the hierarchy analysis method is to represent the optimization problem as a hierarchy and to perform a comparative evaluation of elements at lower levels of the hierarchy with respect to elements placed at higher levels of the hierarchy. This assessment is carried out by constructing matrices of pairwise comparisons compiled for each level of the hierarchy (except the highest) starting at the top levels and moving successively downwards to compile matrices of pairwise alternatives comparisons. Thus, Table 1 presents a matrix of paired criterion comparisons relative to the highest level of the hierarchy, i.e. the objective of the optimization problem. Table 2 shows an example of a pairwise comparison matrix of alternatives with respect to criterion K1 (the taxation regime in force in the area, as well as the availability of real estate-related tax exemptions). Table 1. Matrix of paired criterion comparisons Kij
K1
K2
K3
K4
K5
K6
K
V%
K1
1
1
5
5
1
1/9
1.19
12
K2
1
1
5
5
1
1/9
1.19
12
K3
1/5
1/5
1
1
1/2
1/9
0.36
4 (continued)
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253
Table 1. (continued) Kij
K1
K2
K3
K4
K5
K6
K
V%
K4
1/5
1/5
1
1
1/2
1/9
0.36
4
K5
1
1
2
2
1
1/9
0.87
9
K6
9
9
9
9
6.24 K = 10.21
61
K 12 2/5 12 2/5 23 23 K 1.45 0.81 0.81 V 1.45 CI = 0,11; RI = 1,24; CR = 0,09 < 0,1
9
1
13
1 5/9
1.11
0.95
V = 100%
Table 2. Matrix of pairwise comparisons of alternatives according to the K1 criterion Aij
A1
A2
A3
A4
A5
A6
A7
A8
A
V%
A1
1
1/3
1
1/9
1/8
1/7
6
1/8
0.39
3
A2
3
1
3
1/3
1/3
1/2
9
1/3
1.05
9
A3
1
1/3
1
1/9
1/8
1/7
6
1/8
0.39
3
A4
9
3
9
1
1
1
9
1
2.62
22
A5
8
3
8
1
1
1
9
1
2.54
21
A6
7
2
7
1
1
1
9
7/8
2.3
19
A7
1/6
1/9
1/6
1/9
1/9
1/9
1
0
0.13
1
A8
8
2
8
1
1
1
9
1
2.41 A= 11.83
20
A
37 1/6
11 7/9
37 1/6
4 2/3
4 2/3
4 8/9
58
4 1/2
A/V
1.23
1.05
1.23
1.03
1.01
0.95
0.64
0.91
V = 100%
CI = 0,006; RI = 1,41; CR = 0,004 < 0,1
Paired comparison matrices have been generated using the fundamental Saaty scale which reflects the relative strength of expert judgement of the property management team. The matrices take into account the integrity principles of the heterogeneous elements of the complex and the targeting of development. Persons familiar with a particular issue are able to reflect objective reality in their subjective judgements. The real values of the alternatives can also be used to compare criteria using formal criteria. However, this approach can lead to error, especially when the ratios of real values do not reflect the usefulness of the expert’s relative judgement. In this situation, the original values of the alternatives can be recalculated to the values defined by the T scale. Saaty. The result of processing the pairwise comparison matrix is the calculation of the main eigenvector which after normalisation is called the priority vector (V ). It reflects the importance (weight) of the lower hierarchical level elements of the higher level.
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In order to assess the internal convergence of expert assessments which characterises to some extent their objectivity and credibility a procedure for controlling the consistency of priority assessments is carried out within the hierarchy analysis method. It consists of calculating a consistency index (CI) and a consistency ratio (CR). The ratio of CI to random index (RI) for a matrix of the same order is called a consistency relation (CR). The values CR ≤ 0, 10 indicate the organicity of the expert’s judgement. At the final stage of hierarchy analysis method implementation based on the established priorities of the criteria relative to the optimal choice objective and the priorities of alternatives relative to each criterion the global priorities of alternatives relative to the highest hierarchy level, i.e. the optimal choice objective are established. To calculate a vector of global priorities (G) for each criterion it is necessary to multiply the priority of each alternative by the priority of that criterion and sum up the values obtained for each alternative for all the criteria. Thus, the global priority vector (G) takes into account all the criteria of the optimization problem according to their weight. Accordingly, the alternative with the highest value of G is optimal. The derivation of the global alternatives priorities for the optimisation problem under consideration is presented in ranked form in Table 3. Table 3. Global priorities for alternatives Alternatives
Prioritisation of alternatives by criteria % K1 12%
A6
19
K2 12% 8
K3 4%
K4 4%
33
11
G% K5 9%
K6 61%
6
32
25
A7
1
2
2
3
2
37
23
A4
22
36
37
44
27
3
13
A8
20
28
2
3
42
5
12
A1
3
8
8
11
6
13
10
A5
21
2
8
4
6
4
6
A3
3
8
8
11
6
5
5
A2
9
8
1
11
6
3
4
3 Results As a result of calculations using the method of hierarchy analysis we determined that the most important criterion for assessing the most efficient transaction type for the real estate under consideration is the contract term (K6). The alternatives - a simple partnership agreement (A6) and an agreement to form a legal entity (A7) were determined as the optimal use of the real estate. The final choice of the most efficient use is recommended to be made based on the calculation of the key valuation indicator - net present value (NPV) for the most rational real estate operation already selected - the basement of the
Application of the Hierarchy Analysis Method
255
railway station at N Peterhof station. The NPI is calculated using the following formula proposed by the authors: NPV =
T i=0
NOIi , Ri
(1)
Where NOI is the net operating income from the transaction or operation with the railway real estate that can be obtained (projected) at theicalculation step, rub./year; Ri is the capitalisation ratio corresponding to the i calculation step, parts of one; Tis the duration of the calculation period taken into account the typical life cycle of this railway real estate such as the duration of leasing. The duration of the period T is measured by the number of calculation steps. The calculation step can be a year, a quarter, a month or a shorter time interval. The results of determining the net present income for each type of basement operation are shown in Table 4. Table 4. The NPV value for the identified transactions of the property being valued is basement of the railway station at N Peterhof station Type of transaction
Terms of the deal
NPV, RUR/year
Limited partnership contract
The risk is 22%
353182
Agreement on the formation of a legal person
The authorised capital is 2000000 roubles Owner’s share = 25.2% Fixed payments
810811
Agreement on the formation of a legal person
The authorised capital is 2000000 731703 roubles Owner’s share = 25.2% Payments are made in proportion to the amount of the legal entity’s profits
This table shows that the most efficient transaction for the property in question “the basement of the railway station at N. Peterhof station” at this point in time on 01.01.21 is the transaction on the formation of a legal entity with fixed payments. This table illustrates the functionality of our proposed methodology and the possibility of using it in practice.
4 Analysis of Results As a result, we have reduced the number of calculation steps in determining the most efficient use of the property and identified the more preferable transactions and operations with the property being valued at the valuation stage using the hierarchy analysis method. To verify that our proposed methodology is correct we have calculated the NPV (net present value) and discounted operating costs net (NOC) performance for all possible
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transactions and operations with the property being valued. The results are shown in Table 5. Cost savings (a type of income or profit of an economic entity (entrepreneurial activity)) - is the difference between the costs (reduced to a single point in time) associated with the property before the operation (transaction) and after the operation (transaction) with it. Cost saving is an absolute figure which is determined using the formula: NOC = NOC1 − NOC2 ,
(2)
Where NOC 1, NOC 2 are the discounted operating costs associated with the property before and after the property transaction (operation), respectively, RUB. Discounted operating costs (DOC) is the present (current) cost of maintaining a property over an estimated period T which is determined by the formula: NOC = OC /(1 + i)t
(3)
Where OSe is the value of annual operating costs for the property, roubles; i is the discount rate taken for each specific property, region and time of calculation, fractions of one. The OCe includes all items of operating costs including depreciation charges. This indicator can be used to assess the efficiency of transactions with non-revenue real estate, with real estate involved in a common technological process in which its “contribution” cannot be precisely defined in transactions aimed at reducing notional fixed costs or obtaining any tax exemptions. Also budgetary subsidies, including the modernisation of utilities, equipment or building structures (elements) to save on utility bills and other operating costs (e.g. installation of water meters, heat meters, replacement of roof types, insulation, etc.). We recommend that cost savings be used when assessing the efficiency of operations with highly specialised facilities or unprofitable facilities when transferring them off the balance sheet. Narrowly-specialised properties are understood here to be properties that allow almost no options for the best and most efficient use. Examples of such facilities are, for example, the railway sidings of industrial enterprises. When using cost savings as a measure of transaction and transaction efficiency the most efficient transaction will be the one with the highest cost savings. These calculations also indicate that the most efficient transaction for the property in question (the basement of the railway station at N.Peterhof station) is the contractual arrangement of a legal entity for fixed payments, just as in the application of the hierarchy analysis method. The table shows the results of calculations for 15 different transactions and operations with the premises being valued. It is a fairly complex and time-consuming process to determine the performance indicators for each possible transaction with the property being valued. As this calculation had to identify the various conditions of the contract, the transaction, calculate possible risks and other necessary and important indicators and factors for calculating performance indicators. The hierarchy analysis method, on the other hand, reduces the time for all these calculations by deforming the calculations on the basis of expert judgement.
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Table 5. Calculation of NPV and discounted operating costs Type of transaction
Terms of the deal
NPV, RUR/year NOC, roubles/year
Short-term rentals
Advance payment of all rent by the tenant. Double renegotiation of the contract
191627
Short-term rentals
Advance payment of rent 121160 by the tenant on a monthly basis. Double contract renegotiation
Short-term rentals
Payment of rent at the end of each month Double renegotiation of the contract
122674
Long-term rental
Payment of rent at the end of each month
474310
Contract for compensated Price of services = services without a lease 3300rub./month Contractual price for railroad services = 10118 rbl./year
22744
A service contract is Contractual price for concluded together with a railroad services = 4554 lease agreement RUR/year
200597
Sale
Market value = 504000 RUB
Mortgage
Market value = 504000 129285 RUB. Return on investment 20% per annum
220373
Further exploitation
29109
Limited partnership contract
The risk is 22%
353182
Agreement on the formation of a legal person
The authorised capital is 2000000 roubles Owner’s share = 25.2% Fixed payments
810811
(continued)
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D. Afonin and V. Merkusheva Table 5. (continued)
Type of transaction
Terms of the deal
NPV, RUR/year NOC, roubles/year
Agreement on the formation of a legal person
The authorised capital is 2000000 roubles Owner’s share = 25.2% Payments are made in proportion to the amount of the legal entity’s profits
731703
Transfer from balance sheet to balance sheet Temporary gratuitous use agreement Storage agreement
3721 All costs are borne by the borrower OC = 3721rub./year
2408
200597
5 Conclusion The analysis carried out in the article has shown the feasibility of using the method of hierarchy analysis in assessing the efficiency of railway transport real estate use. The method allows operational decisions to be made when managing railway real estate. The main attribute of an ‘efficient owner’ is the achievement of high returns for the owner in the operation and development of the property ensured by the efficiency of its economic activities. The rational use of railway transport real estate included in the property complex of the railway and the adoption of operational decisions on its use will improve not only the economic but also the social and environmental industry efficiency. The conclusions and proposals of the authors as a result of this study can be further used both in the elaboration of the financial policy of state management of territorial development at the federal and regional levels [14, 15].
References 1. Tsurkan, M., Andreeva, S., Lyubarskaya, M., et al.: Organizational and financial mechanisms for implementation of the projects in the field of increasing the energy efficiency of the regional economy. Probl. Perspect. Manag. 15(3), 453–466 (2017). https://doi.org/10.21511/ ppm.15(3-2).2017.13 2. Merkusheva, V.S.: Improving the management of industrial property complexes in the context of the modernization of the Russian economy. Vector Econ. 1(20), 68–71 (2020). https://doi. org/10.36807/2411-7269-2020-1-20-68-71 3. Viktorova, N.B., Rytova, E.V., Koroleva, L., et al.: Determinants of tax capacity for a territory (the case of the Russian Federal districts). Int. J. Technol. 11(6), 1255–1264 (2020). https:// doi.org/10.14716/ijtech.v11i6.4421 4. Liubarskaia, M.A., Tsurkan, M.V., Vorotnikov, A.M.: Implementation of project management in eco industrial parks development in Russian cities. IOP Conf. Ser. Earth Environ. Sci. 3 (2018). Cep. “International Conference on Sustainable Cities” 2018:012039. https://doi.org/ 10.1088/1755-1315/177/1/012039
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5. Burakov, V.V., Volkov, V.F., Potryasaev, S.A., et al.: Formalized approaches to the study of the accuracy of economic systems models. SPIIRAS Proc. 4(47), 191–210 (2016). https:// doi.org/10.15622/sp.47.10 6. Zubova, O.G.: Assessment of the quality of the management system based on indicators of socio-economic development of the municipal district. Bus. Law 2(43), 125–130 (2018). https://doi.org/10.25683/VOLBI.2018.43.229 7. Kazanskaya, L., Shaykina, E.: Management and economic efficiency criteria in the organization of safe rail transportation. E3S Web Conf. 157, 05007 (2020). https://doi.org/10.1051/ e3sconf/202015705007 8. Palkina, E.S.: Mechanism of realization economic strategy of transport organization. IOP Conf. Ser. Earth Environ. Sci. 90(1), 012070. https://doi.org/10.1088/1755-1315/90/1/012070 9. Kolankov, S.V., Voronova, S.P., Golikova, U.A.: Development of methods of assessing the land market value. Mater. Sci. Forum 931, 1137–1141 (2018). https://doi.org/10.4028/www. scientific.net/MSF.931.1137 10. Agarkov, S., Matviishin, D., Gutman, S.: Environmental status of continental shelf in the Pechora sea: analysis and recommendations. IOP Conf. Ser. Earth Environ. Sci. 2019, 012144 (2019). https://doi.org/10.1088/1755-1315/302/1/012144 11. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 4302–4305 (2019). https://doi.org/10.35940/ijrte.B2821.078219 12. Bezdudnaya, A.G., Smirnov, R.V., Treyman, M.G., et al.: Enhacing the environmental safety of the region by introducing innovative methods for recycling of production biowaste. Int. J. Innov. Technol. Exploring Eng. 9(1), 3902–3908 (2019). https://doi.org/10.35940/ijitee. A4987.119119 13. Kovalenko, N., Volkov, B., Kovalenko, A., Kovalenko, N.: Budgeting direct costs of track complex of JSC “Russian Railways” in the light of modern classification of railway lines. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1115, pp. 177– 183. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37916-2_19 14. Lebedev, N.A., Mammaev, R.A., Evdokimov, S.Y.: Investment process mechanisms based on improving regional and municipal infrastructure in the context of digital development. In: Bogoviz, A.V., Ragulina, Y.V. (eds.) ISCI 2019. LNNS, vol. 115, pp. 542–547. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-40749-0_64 15. Paptsov, A.: Formation of a common agrarian market of the eaeu: problems and prospects. IOP Conf. Ser. Earth Environ. Sci. 2019, 012085 (2019). https://doi.org/10.1088/1755-1315/ 274/1/012085
Gender Characteristics of Psychological Well-Being and Control Locus of Future Transport Professionals Diana Cerfus(B)
and Maria Karagacheva
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. In order to study the gender-specific psychological well-being and control locus of future transport professionals a study involving 103 people was conducted. The survey included: 1 - World Health Organisation Quality of Life Questionnaire (Core Module); 2 - J. Rotter’s Locus of Control Scale 3 - “Measurement of personality social adaptability” methodology by O.G. Posypanov. The study found that psychological well-being in groups of boys and girls is related to control locus as a characteristic of the responsibility of the individual for their actions, their independence, purposefulness and autonomy. The article presents the gender-specific analysis of psychological well-being (psychological and social quality of life, assessment of overall life satisfaction) and control locus. The results of the study suggest that females with an internalizing locus of control have significantly higher pain control, vitality, satisfaction with their physical state, and quality of sleep and rest. Based on the conducted study it can be argued that the indicators of psychological well-being (in the context of assessing the quality of life) can serve as an integral indicator of the successful adaptation of personality to the conditions of educational environment and determine the need to include this parameter in the system of psychological and pedagogical support measures in a transport university. Keywords: Psychological well-being · Quality of life · Adaptation · Locus of control · Transport psychology
1 Introduction The role of the human factor in the transport industry can hardly be overestimated. One of the important transport safety tasks is to study the impact of the human factor on the built environment. Transport psychology has analysed studies aimed at identifying factors affecting safety culture in road, sea, air and rail transport companies [1]. However, the authors of this study Nævestad T.-O., Storesund H. I., Phillips R. O. conclude that there has been little attempt to understand the mechanisms of cultural change leading to changes in behaviour and improved safety performance. The link between gender and transport security has received sufficient attention. A study conducted in Spain, involving 1,574 students with driving experience, found that © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 260–268, 2022. https://doi.org/10.1007/978-3-030-96380-4_29
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male drivers used all safety devices less frequently than women were more likely to engage in risky driving behaviour and that men reported accidents less frequently than women [2]. B. González-Iglesias conducted on a sample of 541 drivers found significant differences in driving behaviour between men and women [3]. Men were more inclined to violate traffic rules. Differences were found in the way anger was expressed and women showed more adaptive behaviour. The problem of psychological well-being and subjective assessment of life quality takes on particular significance in the context of promoting the idea of a health-saving approach and preserving healthy longevity in modern society [4–6]. Regular exposure to daily stressors is a source of psychological and somatic ill-health having a negative impact on health which ultimately leads to the depletion of human resources [7, 8]. This problem is of particular importance within the framework of psychopedagogical support in higher education the main aim of which is to preserve the health of students. The period of higher education is associated with a high level of mental stress in boys and girls caused by a complex of negative influences (sleep disturbance, uncertainty about their future, the impact of social media, deteriorating material situation, etc.) affecting the well-being of the person [9, 10]. However, some of these influences, as well as a number of objective difficulties accompanying student life (intense study activities during the session, often distance from family, high volume of tasks) allow students to gain experience in overcoming difficulties and mastering new competences. It is believed that it is people who overcome life-changing events and acquire new psychological skills and attributes that psychological well-being increases [4]. Psychological well-being is one of the most important conditions for a harmonious life and optimal human functioning; therefore, the study of this phenomenon in scientific research has not lost its relevance for many years [11]. The main theoretical approaches to the study of this issue include the research of M. Jahoda, K. Riff, Ed Diener, N. M. Bradburn et al. [12]. An analysis of Russian literature sources has shown that the problem of studying psychological, psycho-emotional and psychosocial well-being has been touched upon in the research works of L.A. Golovey, L.V. Rykman, M.V. Danilova P. P. Fesenko, T. D. Shevelenkova O. A. Idobaeva, R. M. Ryan, E. L. Disi et al. [4, 12, 13]. In the scientific works of R. M. Shamionov, S. A. Vodiaha this phenomenon is considered as a factor of safety in higher education and the success of learning activities [12]. In studies by I. O. Dubrovina, E. A. Sergienko psychological well-being is one aspect of mental health. The study of this phenomenon in the context of the educational environment in higher education are devoted to the works of P. A. Kisliakov, E. C. Polischuk, M. V. Danilova, L. V. Rykman, D.A. Leontieva et al. [6, 12–14]. In the scientific work of P.A. Kisliakov, a theoretical analysis of this phenomenon and a study of the level of subjective well-being of over 700 students was carried out [6]. According to the results of the study, the author argues that psychosocial well-being can serve as an indicator of social security of an individual and society and determines the need to include this parameter in the system of psychological and pedagogical support measures in higher education institution. The study of student youth was conducted without a gender perspective.
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In these studies, the authors emphasise the necessity and importance of studying human well-being given that it incorporates individual and social preconditions and provides a necessary measure of sustainability, the integrity of the individual [6, 12, 13]. However, within the different approaches many researchers have differing understandings of the term and study directions of the construct of psychological well-being. In many ways, this construct correlates as an emotional sense of happiness, life satisfaction, subjective, psychological, psychosocial, emotional well-being, quality of life, etc. The complexity of the terminological distinction between this phenomenon is the subject of various scientific debates and studies on the essence of a single optimal human functioning, in terms of conditions for its formation and support, evaluation criteria, dependence on various factors (socio-economic, demographic, spiritual and moral, psychological). In recent years, a sufficient number of studies have focused on the relationship between psychological well-being and individual personality traits, value orientations, communication skills, the leading type of activity, psychological defense mechanisms, adaptation resources, etc. According to many authors, the psychosocial well-being of the individual is a systemic entity and its consideration should take into account the individual-psychological, value and semantic levels [4, 6, 12]. According to T. D. Shevelenkova and Fesenko P. Psychological well-being is a subjective reality that exists in a person’s mind [12]. Within life quality analysis one of the most important aspects is the study of the individual psychological characteristics that determine the psychological well-being of the individual. A review of foreign and domestic literature on the problem of this study showed that many authors consider the following individual psychological features that determine the psychological well-being of an individual, such as self-esteem, activity, responsibility, optimism, ability to express oneself, low conflict and locus of control [12]. One of the most important areas of study of psychological well-being as a determinant of this phenomenon is the study of the individual psychological characteristics of the individual including locus of control. In many ways, according to some authors, it is the locus of control that results from a person’s understanding of the world around him or her and his or her place in it (15). D.V. Karas, following an analysis of theoretical and methodological approaches to the study of internalisability as a psychological phenomenon argues that internalisability can be seen as an integral personality trait of one’s ability to master one’s own behaviour [15]. According to E. C. Polischuk the result of this comprehension depends on the experience of interpersonal relations a person’s ability to maintain communicative relations with other people, the level of social adaptability of a person as a complex property of personality, the level of formation of which will be different for each individual [12]. The study of this phenomenon in a gender-sensitive way has been devoted to the work of P. A. Kisliakov, M. V. E. C. Polischuk, Danilova, L. V. Rykman, and other researchers [6, 12, 13]. As part of E. N. Vasilieva, A. V. Shcherbakova while examining the gender specificity of the personality component at the initial stage of higher education obtained significant
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differences in the course of adaptation processes in boys and girls [16]. E.N. Vasilieva argues that the success of girls’ relations with the people around them is due to the activity of communication partners while showing passivity in the formation of social environment [16]. Thus, there has been practically no study of psychological well-being as an integral characteristic that has a multidimensional organization including physical, psychological, social, and economic parameters which allows obtaining important information about subjective perception of human life and locus of control of future specialists in the transport industry taking into account gender specifics. The topic of the research is also addressed due to the fact that the results can be useful in improving the effectiveness of the system of psychological and pedagogical support in the transport university in order to make young men and women aware of the ideas about themselves and the objects of their activities, their life situation to improve psychological well-being, quality of life-perception, formation of a solid foundation of professional health.
2 Materials and Methods The study of gender-specific features of psychological well-being (psychological and social quality of life, assessment of overall life satisfaction) and locus of supervision of university students determined the purpose of the study. The hypothesis of the study was that there are differences between the indicators of psychological well-being and locus of control of gender-specific learners in higher education. The structure of the links between psychological well-being indicators for boys and girls with an internalizing and externalizing locus of control has its own characteristics. A total of 103 people aged between 17 and 23, 1st year students at the Emperor Alexander I St Petersburg State University of Railway Transport (hereafter referred to as students) took part in the study of whom 54 were boys and 49 were girls. The methodology used to study the psychological well-being of university students was the WHOQS 100 (core module) measuring quality of life which included 6 main areas of human life: “Physical area, I”, “Psychological area, II”, “Level of independence, III”, “Social relationships, IV”, “Environment, V”, “Personal beliefs, VI”, and “Spiritual area, VI”. In the study the following methods were also used: “Measurement of personality social adaptability” by O.G. Posypanov [12] and the Locus of Control Scale by J. Rotter [5]. Statistical methods of data processing included: descriptive statistics (arithmetic mean and standard deviation); reliability study of differences between students’ groups with internal and external locus of control (Student’s t-test); correlation analysis using Spearman’s ρ criterion.
3 Results A comparative analysis of the study results of students with an internalizing (hereinafter referred to as “internalisers”) and externalizing locus of control (hereinafter referred to as “externalisers”) revealed significant differences on the quality of life questionnaire
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“WOQLQ-100” (World Organisation Quality of Life Questionnaire) on the “Physical Sphere, I” scale indicator. It should be noted that significantly significant differences were obtained mainly for the subscale “Physical pain and discomfort F1” included in this physical domain. The results are presented graphically in Table 1. Table 1. Significant differences between students with an internalising and externalising locus of control on the quality of life questionnaire «WOQLQ-100» SCALES
“externalisers”, scores (n = 46) M
σ
“internalisers”, scores (n = 57) M
t–Student’s criteria
Level of significance
σ
Quality of life questionnaire “WOQLQ-100” Physical sphere, 12.268 I
± 2.901
13.747
±2.874
−2.408
0.05*
Physical pain and discomfort, F1
11.945
± 3.578
13.897
±2.838
−2.913
0.01**
Vitality, energy and fatigue, F2
12.082
± 3.218
14.828
±3.546
−1.668
0.05*
Sleep and rest, F3
12.779
± 4.256
15.657
±4.477
−1.364
0.05*
The results of the study indicate that internaliser respondents had significantly higher pain control and lack of physical discomfort (at p ≤ 0.05). These results can be interpreted to mean that the lower the fear and control of pain the lower the magnitude of its impact on quality of life. This category of respondents also has higher levels of vitality, sleep and rest quality which has a direct impact on psychological well-being and indicates optimal functioning of the students’ bodies. In a further study, the entire sample was divided by gender bearing in mind the purpose and hypothesis of the study. In a comparative analysis, significant differences were found between the groups of male and female respondents on the “Spiritual Sphere, VI” scale of the WOQLQ 100 quality of life questionnaire and the “Adaptability-Creativity” method of measuring personal social adaptability. Further analysis of the survey results revealed significantly higher scores on the “Spiritual Sphere, VI” scale for female respondents amounting to 15.65 ± 2.90 at p ≤ 0.01. This may be due to the fact that personal beliefs, experience, the system of spiritual values help them better cope with difficulties in life being reflected in the quality of life. However, young males are more capable of finding and establishing new rules of social interaction between the individual and the group with a score on the adaptability-creativity scale of 3.25 ± 1.36, p ≤ 0.05 (Table 2). In line with the aim of the study, a comparative analysis was carried out to determine whether there was a significant difference between male and female respondents with
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an externalizing and an internalizing locus of control. No significant differences were found in the group of male respondents. However, when dividing girls into ‘externalisers’ and ‘internalisers’ significant differences were found for the subspheres ‘Vitality, Energy and Fatigue, F2’ and ‘Sleep and Rest, F3’. Table 2. Significant differences between male and female students on the quality of life questionnaire “WOQLQ 100” and the Social Adaptability of Personality Measurement Methodology (O.G. Posypanov) SCALES
Girls, points (n = Boys, points (n = t–Student’s criteria 49) 54) M
σ
M
Level of significance
σ
Quality of life questionnaire “WOQLQ-100” Spiritual sphere, (VI)
15.65
±2.90
13.81
±3.51
2.73
0.01**
The methodology for measuring the social adaptability of the individual according to O.G. Posypanov Adaptability creativity
3.25
±1.36
3.79
±1.24
−2.01
0.05*
The results may suggest that internaliser girls have a higher level of vitality, enthusiasm and stamina for the tasks of daily activities reflected in a higher quality of life experience. The results for the Sleep and Rest, F3 sub-score of the “internaliser” girls were. They were more satisfied with their sleep quality had less difficulty falling asleep and complained of any disorder. Only statistically significant relationships were considered in analysing the correlations between the quality of life domains, locus of control and social adaptability. No significant correlations were found in the overall sample of students. The analysis of the correlation matrix in the studied sample of girls revealed a direct (positive) relationship between the indicators “Physical Sphere, I” subsphere “Physical pain and discomfort, F1” and “adaptability - conformity”. The results of the study may be interpreted to mean that “adaptability - conformity» as a way of organising social interaction that allows a person to learn new behaviours adopted by the group is closely related to pain control. A further analysis of the correlational relationships between the scores of the scale “Physical Sphere, I” and its subscale “Vitality, Energy and Fatigue, F2” showed a negative (inverse) relationship with the scores of the “externality” locus of control, J. B. Hodges. Rotter. The analysis of the survey results shows that the respondents’ level of energy, enthusiasm and stamina in performing the tasks of daily life is closely related to locus of control. Thus, it could be argued that the more a person attributes responsibility for performance to external forces (“externality”), the lower their level of vitality and energy
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which affects their quality of life. Conversely, the more a person shows responsibility for their own performance (“internalisability”), the higher their level of vitality and quality of life. Further, the sub-sphere “Sleep and Rest, F3” is related by the positive relationship of the “internalizing” locus of control scale of J. R. B. Hughes. Rotter (r = 0.45 at p ≤ 0.01). The analysis of the study results shows that the ‘internalisers’ have a higher quality of sleep, no difficulty falling asleep accompanied by an inability to fall asleep, no nocturnal awakenings. Indicators of the sphere “Environment, V” including the sub-scales “Financial resources, F18” (r = 0.39 at significance level p ≤ 0.05), “Transport, F23” (r = 0.35 at p ≤ 0.05) had direct (positive) connection with the indicators of the scale “adaptability - conformity” of the social adaptability study method by O.G. Posypanov. In our view, the results of the study indicated that the higher the conformity as a personality trait as a result of being able to assimilate the forms of behaviour adopted by the group, the higher their needs for a comfortable lifestyle are met resulting in an impact on their quality of life.
4 Discussion Thus, an analysis of the literature on the research problem has revealed that psychological well-being is a systemic entity and involves the consideration of the developing individual at the individual psychological and value-semantic levels. Ppi paccmotpenii pcixologiqeckogo blagopolyqi neobxodimo yqityvat ppedctavlenie o neppepyvnom elanii i cpocobnocti liqnocti pazvivatc, ot ycpexnocti kotopogo qelovek qyvctvyet cobctvenny pcixologiqecky celoctnoct i ydovletvopnnoct izn. In our study we considered psychological well-being in the context of personal life quality serving as an indicator of the wholeness and fullness of different spheres of human life. Significant differences were found in the individual quality-of-life domains of those studied. Students with an internalising locus of control have more control that the individual has over pain. Girls’ personal beliefs help them cope with difficulties in life to a greater extent than those of boys. When dividing girls into ‘externalisers’ and ‘internalisers’ it was identified that the girls with an internalising locus of control had a higher quality of life at the expense of sleep quality and enthusiasm for daily tasks. The results of P.A. ‘Kislyakov’ research were confirmed. [6] suggesting that human well-being is characterised by the degree where the following needs are satisfied such as physiological needs, the need for security, the need for social contact and group inclusion, the need for recognition and self-actualisation. Research by P.A. Kislyakov, E.S. Polishchuk, M. V. Danilova [6, 12, 13] confirmed the idea that personal well-being is a systemic entity and its consideration should take into account the individual-psychological, value-and-conceptual levels. The results of research have been confirmed by E.N. Vasilieva, A.V. Shcherbakov [16] indicating differences in the course of adaptation processes in boys and girls, as boys have a significantly higher level of social adaptability, aimed at maintaining communicative relations with others and the ability to establish new rules of social interaction.
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5 Conclusion 1. The results obtained in the study indicate that the ‘internaliser’ respondents have more control over their pain and no physical discomfort (at p ≤ 0.05). These results can be interpreted to mean that the lower the fear and control of pain, the lower the magnitude of its impact on quality of life. 2. The analysis of the research results showed that the personal beliefs, experiences and spiritual value system in the group of female respondents help them to cope with difficulties in life. This is reflected in a higher level of life quality and psychological well-being. Girls with an internalising locus of control had significantly higher levels of vitality, satisfaction with their physical condition and quality of sleep and rest. 3. Correlation analysis showed that girls’ level of vitality in completing necessary tasks of daily life is related to locus of control. The more a person tends to attribute responsibility for the results of an activity to external forces the lower his level of vitality and energy and vice versa the more a person shows responsibility for his own results of an activity the higher his subjective feelings about the quality of sleep and rest. The results of the study lead to the following practical recommendations: Psychological well-being (in the context of life quality assessment) can serve as an integral indicator of successful adaptation of an individual to the conditions of the educational environment. This also determines the need to include this parameter in the system of psychological and pedagogical support measures in a transport university. Students with low levels of psychological well-being in the system of psychological and pedagogical support measures are recommended to be trained in psychological selfregulation methods in order to increase adaptation capabilities to learning activities and to improve personal and professional development in the transport industry. During higher education girls are encouraged to develop communicative skills for interacting with the people around them in order to be aware of their perceptions of themselves and the objects of their work, their life situation in order to improve the quality of their sense of life in general and their professional development.
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Application of Steel-Concrete Beam Structures in Transport Construction Vitaliy Veselov(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy pr, Saint Petersburg 190031, Russia
Abstract. Possibility of efficient application of innovative combined steelconcrete and steel-reinforced concrete (hybrid) constructions in load-bearing elements of buildings and constructions on transport is considered. Innovative designs of load-bearing beams and floor and roof trusses and coverings, bridge spans, crane structures, columns, supports, frame and arch structures, calculation methods, design features, ways to ensure the joint operation of concrete and steel shell elements are presented. The load-bearing capacity calculations have been carried out according to current and proposed methods including the use of calculation complexes. The main advantages and directions of rational application of innovative steel-concrete and steel- reinforced concrete structures in load-bearing elements of buildings and structures on transport have been revealed and confirmed. A comparison has been made of the material, labour and operational reliability of innovative and conventional load-bearing structures. The design of various load bearing elements for prospective applications under moving dynamic loads is described. Keywords: Combined structures · Hybrid structures · Steel-concrete · Steel reinforced concrete · Beams · Trusses · Columns · Supports · Slabs · Bridge spans · Crane structures · Frame · Arch structures · Transport constructions · Material intensity · Labour intensity · Reliability
1 Introduction The search for new, more efficient structural solutions including for transport facilities remains an urgent priority in the 21st century. A wide range for the search for innovation in the design of load-bearing building structures is possible using the bionic approach [1] especially for transport structures developing in the context of increasing traffic flows with increasing overall dimensions and carrying capacity. The classic standard solutions for building structures do not always provide the necessary reliability and durability [2–4]. The classic standard solutions for building structures do not always provide the necessary reliability and durability [2–4]. Combined steel-concrete and steel reinforced concrete structures being innovative at the moment have good prospects for use particularly in the transport sector.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 269–277, 2022. https://doi.org/10.1007/978-3-030-96380-4_30
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The advantages of combined steel and reinforced concrete structures over steel and reinforced concrete structures are obvious: no formwork and high technological effectiveness, concrete compression and increased strength by 2–3 times, aesthetics, resistance to mechanical stress, reduced creep and shrinkage of concrete (in a closed circuit), reduced flexibility and increased local stability of steel elements, increased dynamic rigidity, steel shell spacing with concrete, increased fire resistance and corrosion resistance. As a consequence there are economic advantages: reduced steel consumption, lower weight, less need for labour, higher reliability, etc. Steel reinforced concrete as a building material has been known since the early 20th century. However, its legitimate use has been made possible by the accumulation of theoretical and practical material as well as more in-depth research in Russia and abroad [5–9] and the appearance of Rulebook SP 266.1325800.2016. Research and development of such structures is being carried out at the Department of Structural Engineering, SPSURT (St Petersburg State University of Railway Transport) [10]. The implementation of steel concrete and steel reinforced concrete could be effective in structures working mainly under compressive forces and stresses especially under the mobile dynamic loads and influences which are always present in transport structures. Maximum efficiency is achieved when the concrete is placed inside the steel shell. Obviously, it is rational to locate the concrete predominantly in the compressed zone of the structural elements and sometimes in the tensile zone as well but with the condition that the concrete is compressed by pre-stressing it. The steel shell shape, the concrete zones, the presence of prestressed elements, the means of ensuring a secure bond between the shell and the concrete, the size ratio of the structure parts are the subject of scientific research and optimisation of the combined structure. The design standards (SP 266.1325800.2016) suggest a narrow range of steel reinforced concrete structures for use so far. The actual implementation of combined (hybrid) structures is well ahead of the regulatory framework [5–9]. In transport construction in Russia and abroad steel reinforced concrete is mainly used in the form of combined steel reinforced concrete slabs and pipe-concrete piers and beams of bridge structures.
2 Methodology The analytical calculation methods given in modern standards for design of steel and reinforced concrete structures (RCS) 266.1325800.2016) and scientific and technical literature as well as methods of numerical modelling of structures using the design and computational complex (DCC) SCAD were used.
3 Results With the participation of the author a number of load-bearing elements of buildings and structures using combined structures have been developed (patents: RU 2621247, RU 2627810, RU 176462, RU 2675002, RU 2677188, RU 170094, RU 182163, RU 2740608, RU 185035, RU 2702032, RU 192327, RU 2745287 and etc.). Some developments relevant to transport applications (beams, including bridge and crane beams, trusses, supports, frames) are shown in Figs. 1, 2, 3, 4.
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Fig. 1. Structural solutions for steel concrete beams a) Patent RU 2621247, b) Patent RU 2627810, c) Patent RU 176462, d) Patent RU 2675002, e) Patent RU 2677188, f) Patent RU 2745287: 1 steel shell, 2 - concrete, 3 - pillars, 4 - tie rods, 5 - wall, 6 - prestressed element, 7 - perforation, 8 - tubular insert
The proposed structures are suitable for use in bridge structures, crane structures, stanchions, catenary supports and bridge structures. Given the potential for progressive collapse in accordance with the requirements of SP 296.1325800.2017 such structures would be relevant for use in the load-bearing structures of industrial buildings in the KC-3 transport and KC-2 classes with large crowds of people. Existing standards (SP 266.1325800.2016) offer calculation methods for steel reinforced concrete structures depending on their structural design. However, the calculation options are not provided for all possible cross-sectional solutions for the elements which is relevant given the increasing number of steel and reinforced concrete structures. There are problems of a similar nature in foreign Norms [11]. In such cases, the calculation is possible by individual methods including the use of calculation programmes and packages [12, 13]. The cross sectional calculation of a hybrid structure as a heterogeneous elastic element allows the stress values to be established with a minimum of effort. The crosssectional calculation of a beam with heterogeneous elasticity is reduced to the determination of the stresses acting in the cross-section reduced to the selected material. After
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Fig. 2. Structural solutions for steel-concrete crane structures (a) Patent RU 170094, (b) Patent RU 182163, (c) Patent RU 2740608: 1-steel casing, 2-concrete, 3-wall/grid/standpipes, 4-stretch studs, 5-brake structure, 6 Elastic gasket, 7 rail element, 8 prestressed element, 9 perforation
Fig. 3. Structural solutions for steel-concrete props (a) Patent RU 185035, (b) Patent aplication: 1-steel shell, 2-concrete, 3-supports, 4-pins, 5-perforation, 6-support slab
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Fig. 4. Structural solutions for steel-concrete frame structures (patent RU 2702032) 1-steel casing, 2-concrete, 3-tension, 4-flange, 5-fascias, 6-support plate, 7-perforation
Fig. 5. Structural solutions for steel concrete arch structures (patent RU 192327) 1-steel casing, 2-concrete, 3-tensioner, 4-flange, 5-grid, 6-belt
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determining the total stress state of the reduced section the stresses acting in the section elements with heterogeneous elasticity are calculated and the diagrams are drawn. It is rational to convert the element cross-section to steel. In the following, the basic geometric characteristics of a reduced cross-section and their calculation are discussed using the example of a steel-concrete beam. The cross-sectional area of the hybrid beam reduced to steel: Fs,red = Fs + Fb ∗
Eb Es
(1)
The static moment of the section reduced to steel relative to the top of the section: Ss,red = Ss + Sb ∗
Eb Es
(2)
The distance from the gravity centre of the reduced section to the top of the beam: Ss,red Fs,red
α=
(3)
The inertia moment of the reduced girder cross-section in relation to the centre of gravity: Is,red = Is + Ib ∗
Eb Es
(4)
Next, the values of the stresses in the beam elements can be calculated. Normal stresses in the steel shell: σs =
M ∗yi Is,red
(5)
Stresses in the concrete part of the section: σb =
M Is,red
∗ yi ∗
Eb Es
(6)
Where is M the bending moment in the beam, yi - the distance from the gravity centre of the cross-section to the point in question (the most stressed point). The wall outline of the proposed steel-concrete beams and columns (Fig. 1 and 3) has a curvilinear shape corresponding to the shape of the normal stress epureure in the concrete of the compressed zone. The curvature of the curved walls is selected so as to ensure that the concrete in this area is equally tensioned. The wall outline also ensures good aerodynamic characteristics of the section when exposed to the wind which is relevant for beams and columns of transport structures.
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Filling the closed steel profiles with concrete (Fig. 1–5) increases their load-bearing capacity under compressive, general and local bending stresses. Concrete in a closed steel shell has increased strength properties. Filling the bottom chord of the truss (Fig. 2) and the girder bottom part (Fig. 1 and 4) with concrete increases its load-bearing capacity for the period of tensioning of prestressed bars and also reduces the flexibility of the steel elements. In some cases, for heavy traffic loads fibre concrete may be used which allows to significantly increase the crack resistance of concrete in the absence of prestressed reinforcement bars [14 and 15]. Tie rods and stops in the elements (Fig. 1, 2 and 3) ensure that the steel shell and the concrete work together reliably, absorb shear forces in the cross-section and crimp the concrete significantly increasing its strength. The tie rods also together with the concrete increase the local stability of the steel shell walls. The presence of perforation on the side edges of the steel shell (Fig. 2, 3 and 4) corresponds to the diagram of normal stresses in the cross-section of the elements from applied loads. This also ensures reliable joint operation of the steel shell and concrete along the perforation contour under the action of shear forces from applied loads allowing to refuse additional fastening elements. The presence of a tensioner within the girders, the truss (Fig. 1, 2 and 4), the tensioner in the arch (Fig. 5) allows to regulate the normal bending stresses in the structure, to absorb the expansion forces and also allows the concrete to be compressed which results in its efficient operation. The sub-rail element of the crane girder (Fig. 2) being the crane rail support area increases the bending stiffness of the upper chord which enables the local pressure from the crane wheels to be distributed over a longer length and reduces the stress in the wall. The elastic pad in the sub-rail element (Fig. 2) absorbs the dynamic impact of the crane wheels in both the vertical and horizontal directions and consequently reduces stresses in the crane girder. The load-bearing capacity of the proposed structures is ensured by the selection of concrete class, steel grade, element cross-sectional dimensions, element prestressing, etc. As an example to assess the effectiveness of a combined (hybrid) design a crane girder under an overhead travelling crane was considered. The alternatives considered were a metal I-beam and a reinforced concrete T-beam. The calculation results of the beams according to the proposed method, their design with dimensions and a comparative analysis are shown in Table 1. The effectiveness of combined structures is also confirmed for other load-bearing elements of buildings and structures using hybrids [16] which reveals the promise of their possible application including in transport infrastructure facilities.
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Parameter
Metal girder
Reinforced concrete girder
Steel-concrete, hybrid beam
1/8 3.8
1/8 0.8
1/10 2.2
1.Crosssection
2. h/L* 3. Steel consumption, t 4. Concrete consumption, m3 5.Bending stiffness
-
6.12
3.46
1/600
1/1000
1/600
4 Conclusion A range of combined (hybrid) load-bearing structures has been developed for transport structures including heavy dynamic loads. A number of theoretical studies and numerical simulations with calculations in calculation complexes have been carried out and the reduction of material consumption and increased rigidity of the proposed innovative structures compared with the traditional solutions of steel and reinforced concrete with increased reliability. In some cases even a reduction of manufacturing labour intensity has been established. The stress-strain state of a hybrid steel-concrete crane girder is analysed using numerical calculation methods and available legitimate methods and the effectiveness of reducing general and local stresses in the steel shell and increasing the rigidity of the structure under dynamic loads is established. Comparison of crane girder variants has revealed: increase in rigidity of steel-concrete beam in comparison with steel one or reduction of its section height –20…25%, decrease in material consumption of steel-concrete beam in comparison with steel analogue –35…40%, decrease in material consumption of steel-concrete beam in comparison with reinforced concrete analogue –40…45% with decrease in weight by 25…30%.
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References 1. Temnev, V., Abu-Khasan, M., Charnik, D., et al.: The mesh of shells of a bionic type to be operated in extreme habitats. IOP Conf. Ser. Mater. Sci. Eng. 753, 022023 (2020). https://doi. org/10.1088/1757-899X/753/2/022023 2. Nguyen, D.H., Nguyen, Q.B., Bui-Tien, T., et al.: Damage detection in girder bridges using modal curvatures gapped smoothing method and convolutional neural network: application to Bo Nghi bridge. Theoret. Appl. Fract. Mech. 109, 102728 (2020). https://doi.org/10.1016/ j.tafmec.2020.102728 3. Belentsov, Y., Smirnova, O.M.: Influence of acceptable defects on decrease of reliability level of reinforced concrete structures. Int. J. Civil Eng. Technol. 9(11), 2999–3005 (2018) 4. García-Segura, T., Yepes, V., Alcalá, J., Pérez-López, E.: Hybrid harmony search for sustainable design of post-tensioned concrete box-girder pedestrian bridges. Eng. Struct. 92, 112–122 (2015). https://doi.org/10.1016/j.engstruct.2015.03.015 5. Zhu, J.S., Wang, Y.G., Yan, J.B., Guo, X.Y.: Shear behaviour of steel-UHPC composite beams in waffle bridge deck. Compos. Struct. 234, 111678 (2020). https://doi.org/10.1016/j.compst ruct.2019.111678 6. Lorenc, W.: Concrete failure of composite dowels under cyclic loading during full-scale tests of beams for the “Wierna Rzeka” bridge. Eng. Struct. 209, 110199 (2020). https://doi.org/10. 1016/j.engstruct.2020.110199 7. Alsharari, F., El-Zohairy, A., Salim, H., El-Din El-Sisi, A.: Pre-damage effect on the residual behavior of externally post-tensioned fatigued steel-concrete composite beams. Compos. Struct. 32, 578–587 (2021). https://doi.org/10.1016/j.istruc.2021.02.064 8. Ali, H.T., Akrami, R., Fotouhi, S., et al.: Fiber reinforced polymer composites in bridge industry. Compos. Struct. 30, 774–785 (2021). https://doi.org/10.1016/j.istruc.2020.12.092 9. Zou, X., Lin, H., Feng, P., Bao, Y., Wang, J.: A review on FRP-concrete hybrid sections for bridge applications. Compos. Struct. 262, 113336 (2021). https://doi.org/10.1016/j.compst ruct.2020.113336 10. Veselov, V., Abu-Khasan, M., Egorov, V.: Innovative designs of wooden beams in conditions far north. In: International Science and Technology Conference on FarEastCon-022024 (2019). https://doi.org/10.1088/1757-899X/753/2/022024 11. Eurocode 2: Design of concrete structures. Part 1: General rules for buildings. European Committee for Standardization (2002) 12. Zhang, H., Quan, L., Wang, L., et al.: Analyses on long-term behavior of composite steel– concrete beams with weak interface using a state space approach. Eng. Struct. 231, 111781 (2021). https://doi.org/10.1016/j.engstruct.2020.111781 13. Egorov, V., Belyy, G.: Nonlinear properties of hybrid construction of coatings of buildings and structures. E3S Web Conf. 217, 01001 (2020). https://doi.org/10.1051/e3sconf/202021 701001 14. Talantova, K.V.: Algorithm for design of steel fiber concrete structures. In: International Science and Technology Conference (FarEastCon 2020), vol. 1079, p. 042093 (2021). https:// doi.org/10.1088/1757-899X/1079/4/042093 15. Talantova, K.V.: Steel fiber concrete. Des. Terminol. Herald Eurasian Sci. 4(12) (2020). https:// doi.org/10.15862/69SAVN420 16. Egorov, V., Abu-Khasan, M., Shikova, V.: The systems of reservation of bearing structures coatings of transport buildings and constructions for northern areas. IOP Conf. Ser. Mater. Sci. Eng. 2020, 022021 (2020). https://doi.org/10.1088/1757-899X/753/2/022021
Hybrid Beam Structures of Transport Buildings Vitaliy Veselov(B)
and Klara Talantova
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy pr., St. Petersburg 190031, Russia
Abstract. The paper considers the directions of girder structures improvement in terms of the use of combined and hybrid beams in transport structures. Construction of hybrid structures is based on a rational combination of heterogeneous materials in a structural element in accordance with its stress-strain state, which increases the technical and economic performance of the solutions adopted. Thus, the structure’s own weight and the cost of the object are reduced, and its reliability and durability are increased. Hybrid structures that combine the advantages of steel structures, composite-steel-fiber concrete, and, if necessary, regular reinforcement, are very promising. Numerical modelling calculations and design of hybrid beams of bridge spans and crane girders were carried out using specially developed methods and programmes. Innovative design solutions for hybrid beams are proposed. Keywords: Transport structures · Steel · Reinforced concrete · Steel-concrete · Steel-fiber concrete · Hybrid · Combined · Beam structures
1 Introduction Steel and reinforced concrete girders are traditionally used in the practice of transport construction, namely in bridge spans, flyovers and crane structures. Metal beams with their high load-bearing capacity, lightness, good repairability have a number of disadvantages associated with high cost, corrosion deterioration of steel, fatigue damage under cyclic loads, loss of local stability of compressed elements, and low fire resistance. While being reasonably priced, highly durable, effective in absorbing dynamic loads, reinforced concrete beams are heavy, prone to cracking and opened cracks with subsequent corrosion of reinforcement, chipping of concrete under mechanical stress, and difficulties arise in their repair and rehabilitation [1, 2]. Combined (hybrid) structures, which have advantages over traditional structural solutions, have been used in construction practice in Russia and abroad in recent years [3–8]. By hybrid, we mean structural elements that are created by rationally combining different materials in a single element, thus revealing all the features and advantages of each of the materials used [9, 10]. In connection with the emergence of new standards for the design of steel reinforced concrete structures (SP 266.1325800.2016) opens up the prospect of widespread use of combined beams, compensating for the shortcomings of metal and reinforced concrete structures. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 278–285, 2022. https://doi.org/10.1007/978-3-030-96380-4_31
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2 Methods An analytical literature review on the chosen topic and numerical studies by means of software of the developed variant of the girder structure of transport structures were carried out in the research.
3 Research Setting With the participation of the author a steel-concrete beam was developed (Fig. 1) as a crane girder span of L = 12 m under the bridge crane with medium mode of operation and carrying capacity 32 ts. The beam has a boxed cross-section, height h = 1530 mm, made of steel grade C245, with bent walls of thickness t = 6 mm, the cross-section of the lower flange 320 × 8 mm and the upper flange 400 × 8 mm, filled with concrete compressive strength class B30. Static calculation of the steel-concrete beam was carried out using the design computer package (DCC SCAD) according to the core design scheme, where the cross-section was considered as two shanks, a concrete and a steel one, joined by rigid inserts. Concrete rod section height was taken only in the compressed sectional area. The structural calculation of the beam was made taking into account the recommendations of Set of Rules 266.1325800.2016. Using such a combined solution with a closed steel contour gives a number of advantages over the classic solutions of steel and reinforced concrete structures: no need for formwork with high manufacturability, concrete compression and, consequently, increasing of its strength about for ≈2…2.5 times and reducing of creep and shrinkage, and also resistance to mechanical stress. An increase in stiffness and local stability, as well as an increase in dynamic stiffness are typical for thin-walled steel elements. A steel shell structure is created, increasing its efficiency and provides high fire resistance (up to 2.5 h) and high internal corrosion resistance of the steel shell. Beam of steel-concrete beam has the following results: increase of beam rigidity in comparison with steel one or decrease of its section height is 20%; reduction of material consumption of steel in comparison with steel analogue is 42%; decrease of material consumption of concrete in comparison with ferroconcrete analogue is 43% with decrease of mass by 31%. The proposed design solutions of hybrid (combined) structures applicable to bridge spans are protected by a number of patents for inventions and utility models. Studies in hybrid (combined) structures, particularly based on concrete stencil, reinforced with steel fibres, resulted in using constructions elements with steel fibre concrete (SFC) in the construction practice [11, 12]. The implementation of steel fiber concrete in the construction of road bridges is also very promising. In the elements of spans, sidewalk blocks and other structural elements of bridges, the use of SFC makes it possible to replace all the mounting reinforcement with fiber reinforcement and reduce the consumption of longitudinal working reinforcement. The combined steel-fiber-iron-concrete (SFIC) version of reinforcement allows us to reduce the section size and, accordingly, reduce the material intensity of the span, reduce the reinforcement work significantly and lower the labor intensity of manufacturing. At the same time, the use of SFC and SFIC makes it possible to ensure high reliability and durability of the bridge structure elements.
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Fig. 1. Steel-concrete beam (patent RU 2621247) 1 - bearing diaphragm, 2 - supports, 3 - bottom belt, 4 - locker, 5 - wall, 6 - holes for studs, 6, 7 - holes in the wall, 8 - concrete, 9 - top belt, 10 tension stud
Ensuring the performance characteristics of a building structure by organising the fibre reinforcement in the predominant direction of the main stresses allows for the efficient operation of the material enclosed in the structural element in accordance with the loading conditions (stress-strain state) and resistance to destruction from external influences. This approach to composite materials such as steel-fibre concrete, according to the definition of Japanese scientists T. Fujii and M. Dzako (T. Fujii and M. Zako. Fracture Mechanics of Composite Materials) is characterized by the tendency of the effective coefficient of strength realization (krs ) to unite. It can be determined from the ratio: σmt(mc) ⇒1 (1) krs = [σu ] Where σmt(mc) is the stress created in the zones of the element by external loads, MPa; [σu ] - allowable stress in the material (predicted ultimate strength of the material), MPa. In order to ensure the performance characteristics of SFC and SFIC structures, it is necessary that a rational type of fiber and the option of fiber reinforcement be selected. In this case, the characteristics of the initial concrete must be coordinated with the adopted parameters of the fiber reinforcement [13]. Bearing element of road bridge superstructure with a span of 15 m, T-shaped crosssection with the flange in the compressed zone, section height h = 960 mm, rib width b = 160 mm, flange width − b f 1300 mm (Fig. 2) were developed with the participation of the author. The calculation scheme of the structure is a single-span and free-floating disc
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composed of 7 beams joined together by longitudinal joints in a spatial structure, that is loaded with permanent loads from its own weight and temporary loads from moving road and heavy wheeled vehicles as well as crowds on the pavement. The stiffness of the joints is taken 95% of the stiffness of the main structure. The static calculation was carried out by means of DCC SCAD. The calculation results in the stress fields and forces at the dangerous cross-sections. In accordance with the results of the static calculation and the requirements of the standards, the compressive strength class of SFC is taken Bf 35, tensile strength − Bft 2,0. The necessary parameters for the fibre reinforcement and the initial concrete class were determined by means of the “Fibre Concrete” programme, developed in co-operation with the author. SFC class Bf 35 corresponds to the design resistance in compression − Rfb = 27,10 MPa, at tension − Rfbt = 1,59 MPa, modulus of elasticity Efb = 28,5 × 103 MPa. For the tensile class of steel fiber concrete Bft 2.0 - its design resistance in compression - Rfb = 27.9 MPa, in tension - Rfbt = 1.71 MPa, modulus of elasticity Efb = 30.2 × 103 MPa. These characteristics can be ensured by the following combination of parameters: fiber reinforcement made of steel wire according to GOST 3282: diameter df = 0.5 mm, length lf = 50 mm, volumetric content of fibers in the compressed zone – μf = 1.5% V, in the stretched zone – μf = 1,75% V (Fig. 2), initial concrete of class B30. The constructive calculations of the sections in terms of bearing capacity, fracture strength and deformation showed the correctness of the solutions adopted. According to the calculation, the cracks are not formed in the combined SFIC beams, and the calculated deflection was f = 0.012 m against the limit one −flim = 0.0375 m. The construction of the SFIC beam is shown in Fig. 2.
Fig. 2. Diagrams of reinforcement sections of the beams of the bridge span of L = 15 m:a) typical reinforced concrete; b) zone fiber reinforcement of the developed steelfiber reinforced concrete 1 - beam flange reinforcement (spatial framing), 2 - working longitudinal reinforcement (single bars with As = 89.8 cm2 ), 3 - working transverse reinforcement (spatial framing), 4 - girder joint reinforcement (flat framing), 5 - reinforcement zone of SFC with steel fibre with μ = 1.5%, 6 zone of SFC reinforcement by steel fiber with μ = 1.75%, 7 - working longitudinal prestressed reinforcement (individual bars with Asp = 30,41cm2 )
Compared to typical beams, the calculation results have shown that it is possible to reduce the cross-sectional dimensions of SFIC beams as follows. The total height of the beam section is reduced by 6.75%, the height of the flange - by 25%. The calculations
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showed the reduction in concrete consumption per element by 17%, steel consumption - by 23%, weight - by 21%, manufacturing labor intensity - by 15%, the cost price - by 13%.
4 Results Building on the known (presented) solutions, girder constructions of transport structures are being developed having the higher technical and economic indicators as compared with the known counterparts while ensuring the necessary operational requirements for reliability, durability and maintainability (Fig. 3). The developed solution of the hybrid beam structure (Fig. 3, a) is a T-shaped, combined beam made of steel-fiber concrete, equipped with a welded structure made of steel plates with tie rods in the tensile zone up to the neutral axis. Prestressed tie rods ensure that the walls made of steel work together with the steel-fiber concrete. Throughout the length of the hybrid steel-fibre concrete beam, the number of prestressed tie rods is variable and it increases from the middle of the span to the beam supports in accordance with the epureure of transverse forces from external loads and their corresponding shear stresses, which provides an effective use of joint work of different modular materials - steel walls and steel-fibre concrete that, consequently, leads to reduction of material consumption of the hybrid beam, while ensuring operational requirements.
Fig. 3. Proposed hybrid bridge span girder designs: a) with reinforcement of sheet steel, b), c) with reinforcement of rolled profiles, 1 - Steel-fiber concrete with μ = 1.5%, 2 - steel-fiber concrete with μ = 1.75%, 3 - sheet steel t = 12… 30 mm (by calculation), 4 - tension rods d = 12… 20 mm, 5 - steel stops (welded-bolts), 6 - neutral axis, 7 - rod reinforcement with outputs 8 - rolled profile (T-beam on the calculation), 9 - rolled profile (channel on the calculation)
Alternative girder constructions with rolled section reinforcement, e.g. for lighter loads, are shown in Fig. 3, b, c. The proposed structural solution of the bridge span hybrid beam (Fig. 3, a) has the advantages of steel fiber concrete and steel structures. The calculation diagram of the beam, the force diagrams and the stress fields are shown in Fig. 4. Modelling of beam elements and its calculation was carried out in DCC SCAD by using a laminar model, in which steel profiles and reinforcing bars were replaced by bar elements, ensuring joint operation along the entire span of the structure. Cross-sectional
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dimensions: height h = 900 mm, the section of the shelf 1300 × 150 mm, the wall thickness - variable 120… 180 mm. The rigid reinforcement elements are made of C255 steel sheets, vertical t = 12 mm thick (walls) and horizontal t = 30 mm thick (along the bottom edge of the beam). Steel fiber concrete in the compressed area of the beam is reinforced with fiber df = 0,5 mm lf = 20 mm c μ = 1,5%, v stretched – df = 0,5 mm Lf = 60 mm c μ = 1,75%. As a result of the preliminary calculations of the hybrid beam, including those based on specially developed methods [14–16], and the analysis of its stress-strain state and comparison of material consumption (Table 1), an increase in beam rigidity was revealed and also its crack resistance without prestressing of reinforcement, reduction of concrete and steel fiber concrete consumption while ensuring the required performance indicators.
Fig. 4. Results of the static calculation of the hybrid beam by means of the DCC SCAD: a) fragment of the calculated (mathematical) model of the beam, b) stress fields in the SFC flange, MPa, c) stress fields in the SFC flange wall, MPa
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Table 1. Comparison of calculated technical and economic indicators of options for beams of span L = 15 m bridge spans Indicators
Typical option
At beam 1
2
Steel-fiber reinforced concrete version with prestressed reinforcement
Steel-fiber reinforced concrete version with rigid reinforcement
On the span At beam On the span At beam On the span 3
4
5
6
7
Concrete volume 5.5/100 (SFC), m3 /%
77/100
4.8/83
67./83
4.8/83
67.2/83
Consumption of bar steel, kg
1818.7
25461.8
688,5
9639.2
332.8
4660
Same - steel fiber, kg
–
–
571.8
8005.2
581
8134
Same - rolled products, kg/%
11.3
158.2
8.7
121.8
497.4
6964
Total, by steel, kg/%
1830/100
25620/100
1269/69
17766/69
1411/77
19754/77
Weight, t/%
14.5/100
203/100
11.5/79
161/79
11.5/79
161/79
Cost, RUB/%
9012/100
126174/100 7778/86
108892/87
7852/87
109935/87
Labor intensity, h-hours/%
53.65/100 751/100
588/78
45.5/85
637/85
42/78
The obtained results and the effectiveness of the possible use of hybrid structures in transport structures with the steel concrete and steel fiber concrete implementation are confirmed by experimental studies [17].
5 Conclusion Designs of combined (hybrid) beams for transport structures, including those under heavy dynamic load, have been proposed and developed. The theoretical studies with the calculations of hybrid beams for bridge spans according to the existing and developed methods have been performed. A decrease in material intensity with a given carrying capacity with an increase in the stiffness of the proposed innovative structures compared to traditional analogues has been established. Reliability is increased and labour intensity is reduced. Numerical analysis methods in computational complexes are used to analyse the stress-strain state of hybrid beams. Consequently, we obtained: increase of beam rigidity in comparison with steel beam and reduction of its section height is 20…25%; decrease of material consumption of hybrid steel-fabricated concrete beam in comparison with steel analogue is 35…40%; decrease of material consumption of concrete beam in comparison with analogue made of reinforced concrete is 40…45% with decrease of its mass by 25…30%.
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References 1. Nguyen, D.H., Nguyen, Q.B., Bui-Tien, T., et al.: Damage detection in girder bridges using modal curvatures gapped smoothing method and Convolutional Neural Network. Application to Bo Nghi bridge. Theor. Appl. Fract. Mech. 109, 102728 (2020). https://doi.org/10.1016/j. tafmec.2020.102728 2. Belentsov, Y., Smirnova, O.M.: Influence of acceptable defects on decrease of reliability level of reinforced concrete structures. Int. J. Civil Eng. Technol. 9(11), 2999–3005 (2018) 3. Ali, H.T., Akrami, R., Fotouhi, S., et al.: Fiber reinforced polymer composites in bridge industry. Compos. Struct. 30, 774–785 (2021). https://doi.org/10.1016/j.istruc.2020.12.092 4. Zou, X., Lin, H., Feng, P., et al.: A review on FRP-concrete hybrid sections for bridge applications. Compos. Struct. 262, 113336 (2021). https://doi.org/10.1016/j.compstruct.2020. 113336 5. Guo, S., He, H., Liu, C., et al.: Theoretical and experimental study on shearing capacity of concrete beams reinforced with carbon fiber truss. Compos. Struct. 258, 113382 (2021). https://doi.org/10.1016/j.compstruct.2020.113382 6. Veselov, V., Abu-Khasan, M., Egorov, V.: Innovative designs of wooden beams in conditions far north. In: IOP Conference Series: Materials Science and Engineering, vol. 753, p. 022024 (2020). https://doi.org/10.1088/1757-899X/753/2/022024 7. Lorenc, W.: Concrete failure of composite dowels under cyclic loading during full-scale tests of beams for the “Wierna Rzeka” bridge. Eng. Struct. 209, 110199 (2020). https://doi.org/10. 1016/j.engstruct.2020.110199 8. García-Segura, T., Yepes, V., Alcalá, J., et al.: Hybrid harmony search for sustainable design of post-tensioned concrete box-girder pedestrian bridges. Eng. Struct. 92, 112–122 (2015). https://doi.org/10.1016/j.engstruct.2015.03.015 9. Siwowski, T., Rajchel, M.: Structural performance of a hybrid FRP composite – lightweight concrete bridge girder. Compos. B Eng. 174, 107055 (2019). https://doi.org/10.1016/j.com positesb.2019.107055 10. Alsharari, F., El-Zohairy, A., Salim, H., et al.: Pre-damage effect on the residual behavior of externally post-tensioned fatigued steel-concrete composite beams. Structures 32, 578–587 (2021). https://doi.org/10.1016/j.istruc.2021.02.064 11. Krátký, J., Trtík, K., Vodiˇcka, J., et al.: Dratkobetonove konstrukce. Smernice pro navrhovany, provadeny, kontrolu vyroby a zkouseni dratkobetonovych konstrukci. Technical Manual. Praha (1999) 12. Talantova, K.V.: Steel Fiber Concrete. Design. Terminology. Herald Eurasian Sci. 4(12) (2020). https://doi.org/10.15862/69SAVN420 13. Talantova, K.V.: Developing basic data for designing steel fiber concrete based structures. Indian J. Sci. Technol. 9(42), 43–50 (2016). https://doi.org/10.17485/ijst/2016/v9i42/104305 14. Talantova, K.: Algorithm for design of steel fiber concrete structures. In: International Science and Technology Conference (FarEastSon 2020), vol. 1079, p. 042093 (2021). https://doi.org/ 10.1088/1757-899X/1079/4/042093 15. Egorov, V., Belyy, G.: Nonlinear properties of hybrid construction of coatings of buildings and structures. In: E3S Web of Conferences, vol. 217, p. 01001 (2020). https://doi.org/10. 1051/e3sconf/202021701001 16. Zhang, H., Quan, L., Wang, L., et al.: Analyses on long-term behavior of composite steel– concrete beams with weak interface using a state space approach. Eng. Struct. 231, 111781 (2021). https://doi.org/10.1016/j.engstruct.2020.111781 17. Zhu, J.S., Wang, Y.G., Yan, J.B., et al.: Shear behaviour of steel-UHPC composite beams in waffle bridge deck. Compos. Struct. 234, 111678 (2020). https://doi.org/10.1016/j.compst ruct.2019.111678
Assessment of the Aerodynamic Impact on Pedestrian Overpasses in High-Speed Traffic Andrey Benin
and Nikita Labutin(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky pr., Saint Petersburg 190031, Russian Federation
Abstract. Increasing speeds and the development of high-speed passenger services (including the construction of new high-speed lines) on railways are placing greater demands not only on the aerodynamics of high-speed rolling stock but also on the surrounding infrastructure. Increasing speeds progressively raises the level of aerodynamic impact of high-speed trains on infrastructure expressed as aerodynamic impact. The article presents the magnitude of the air dynamic force components (lifting force and drag force) acting on pedestrian overpasses both by existing methods and by modelling in a software package. An analysis of the calculations carried out leads to the conclusion that the existing methodologies are imperfect. For example, the latter do not take into account factors such as the cross-sectional shape of the overpass. Also, the existing methodologies do not take into account the drag force acting on the spanning structure when a high-speed train passes underneath it and reversed in the direction of its travel. Keywords: Aerodynamics · Aerodynamic impact · High-speed motorway · Pedestrian overpass
1 Introduction Increasing rolling stock speeds on railways including high-speed traffic are placing special demands on rail infrastructure [1–6]. Special attention should be given to the requirements for the perception of the aerodynamic effects (air wave impact) of passing high-speed trains by infrastructure facilities and passenger impacts on the platforms [7]. Although the interaction between the air environment and high-speed trains (including the head air wave) has been well studied [8–14]. Insufficient attention has been given to the interaction between trains and overhead pedestrian overpasses in rapid and high-speed traffic conditions.
2 Description of the Aerodynamic Impact of High-Speed Rolling Stock on a Pedestrian Overpass When a train moves in an air environment an air wave forms at the level of the first wagon caused by the air masses compaction immediately in front of the train and their © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 286–294, 2022. https://doi.org/10.1007/978-3-030-96380-4_32
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subsequent decompaction [8–17]. This air wave is characterised by the values of maximum and minimum overpressure and the distance between these extremes at a point in time. Thus, according to experimental measurements it was determined that while the Siemens VelaroRUS “Sapsan” high-speed electric train moves the overpressure area is formed at a distance of 15 … 20 m from the head fairing and the extreme pressure values change sharply within 0.02 … 0.035 s (which at 250 km/h equals 1.4 … 2.5 m). A similar wave also occurs at the level of the last wagon of the electric train but its overpressure amplitudes are much lower than those of the head wave. Figure 1 shows a characteristic graph of the overpressure along the length of a twin high-speed ICE electric train travelling at 300 km/h [15].
Fig. 1. Diagram of overpressure along the length of a high-speed electric train travelling at 300 km/h [15] (x-axis is the length of the electric train, y-value of overpressure)
When an air wave passes through a structure the amount of overpressure will be variable at different points of the cross-sectional contour of the overpass. The pressure difference at these points forms the aerodynamic force (1) acting on the structure. R = pd Ω (1) Where p - overpressure value at a point of the overpass cross-sectional contour; dΩ - the cross-sectional contour of the overpass. The aerodynamic force can be decomposed into its components: drag force Fx , lift force Fy and lateral force Fz . The magnitude of the aerodynamic force depends on many factors. The main ones are the train speed and the shape of its head fairing, the crosssectional shape of the structure in question and their relative position (in the case of the span, the level of the structure relative to the rail head).
3 Existing Regulatory and Methodological Framework At present, the requirements for maximum overpressure from rolling stock on existing rapid and high-speed railways are given in STO RZD 1.07.001-2007 “Infrastructure of St. Petersburg-Moscow line for high-speed trains”. General technical requirements” and Safety Norms NB ZT TS TS 03 - 98 “Electric trains”. The existing methodology for calculating the magnitude of aerodynamic impact on infrastructure was developed as part of the Special Technical Specifications (STS) for the Moscow-Kazan-Yekaterinburg
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high-speed railway line design and is similar to the methodology used in the European Eurocode design standards [18, 19]. According to the current methodologies the value of the aerodynamic lift force acting on the structure is determined as the normative value of a uniformly distributed load multiplied by coefficients taking into account the train’s head wagon streamlining and the number of overlapping tracks. The diagram of the load application on the spanning structure is shown in Fig. 2. The uniformly distributed load value is determined from the relevant graph depending on the train speed and the distance from the bottom of the superstructure to the rail head (Fig. 3).
Fig. 2. Schematic of the uniformly distributed load application from the aerodynamic impact of a high-speed train on the span structure
Fig. 3. Graphs of normative uniformly distributed load values from the aerodynamic impact of a high-speed train on the span as a function of train speed and structural height above the rail head
4 Determination of the Aerodynamic Force Acting on the Overpass Using Existing Methodology and Numerical Modelling Methods Two existing pedestrian overpasses on the St. Petersburg-Moscow line were considered. They have different cross-sectional contours with the same span width projection (Fig. 4a, b), which determines the magnitude of the aerodynamic impact on the structure.
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a)
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b)
Fig. 4. Cross-sections of the pedestrian overpasses under consideration: a) - option 1, b) - option 2
Based on a series of calculations carried out in accordance with existing methods for the speed range 160–300 km/h the normative values of the aerodynamic lift force acting on the span structures depending on the train speed were obtained. The calculation results are shown in Table 1. It should be noted that the magnitude of the lifting force will be the same for both spans due to their identical width. To assess the validity of the results obtained using existing methods computational modelling of the aerodynamic impact of high-speed rolling stock on pedestrian overpass spans in a specialised software package using finite volume methods was carried out. A series of calculations were performed for a similar range of train speeds (160–300 km/h). It is worth noting that in terms of experimental modelling the simulation of the impact in question has to be classified as unrealizable in wind tunnels. Table 1. Normative value of lifting force for the cross-sections in question according to the methods outlined in STS and Eurocode Speed, km/h
Width B, m
Hight hg , m
Normative value, kN/m2
k1
k5
q, H/m
Lifting force Fy , H
160
3.6
7.0
0.15
0.6
3.5
378
±1134
200
0.25
630
±1890
250
0.35
882
±2645
300
0.55
1386
±4158
Modelling the aerodynamic effects and determining the forces acting on the structures is reduced to solving the unsteady Navier-Stokes equations of hydrogas dynamics considering viscosity and continuity of the environment.
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The SST (shear stress transport) model was chosen as the model of air turbulence which is the most versatile model functioning efficiently for a wide range of applications and demonstrating rather high accuracy [20, 21]. The Siemens VelaroRUS Sapsan high-speed electric train was adopted as the rolling stock (Fig. 5).
Fig. 5. Front face of the head wagon of the Sapsan high-speed electric train
A series of calculations were performed in a two-dimensional (plane) unsteady formulation with traffic speeds corresponding to the standard load curves in the existing methodologies for the two cross-sectional variants of the overpasses. Based on the calculation results the lifting force (Fig. 6 and 7) and drag force (Fig. 8 and 9) acting on the structures were plotted for the above velocity range.
Fig. 6. Diagram of the lifting force acting on the overpass with cross section according to option 1
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Fig. 7. Diagram of the lifting force acting on the overpass with cross section according to option 2
Fig. 8. Diagram of the drag force acting on a cross-sectional overpass according to option 1
Fig. 9. Graph of the drag force acting on an overpass with a cross section according to option 2
The extreme values of the lifting and drag forces acting on the structures under consideration in question are given in Table 2.
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Speed, km/h
Lifting force Fy, H
Drag force Fx , H
Variant 1
Variant 2
Variant 1
Variant 2
Min
−1501
−1588
−2360
−2270
Max
1089
1321
523
416
200
Min
−2362
−2435
−3633
−3605
Max
1653
2054
784
625
250
Min
−3730
−3796
−5637
−5323
Max
2675
3233
1200
1043
Min
−5274
−5642
−8174
−7849
Max
3896
4639
1809
1488
160
300
5 Conclusion Based on the calculation results plots of the lifting force acting on the span structures as a function of train speed obtained using the current methodology and the numerical modelling method have been plotted (Fig. 10).
Fig. 10. Diagrams of the lifting force acting on the superstructure as a function of train speed
The following conclusions can be drawn from the result analysis of a calculation series: 1. the existing methodologies do not take into account the drag force acting on the structure (Fig. 11); 2. the contour (outline) of the overpass cross-section significantly (up to 20%) affects the magnitude of the lifting force acting on the structure; 3. the difference in the lifting force acting on the structure as determined by the existing methods is significantly (up to 30%) lower than the simulation results.
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Fig. 11. Diagrams of drag forces acting on span structures as a function of train speed
In this article a comparative calculation of two bridge structures represented by pedestrian overpasses with different cross-sectional variants but with the same projection of the span width has been carried out. The calculation was carried out using both existing methods and numerical modelling. When comparing and analysing the results it was found that the existing methodologies do not take into account factors such as the shape of the bridge cross-section and the occurrence of drag forces. Proceeding from the above mentioned taking into account prospective construction of high-speed railway with speeds up to 400 km/h it appears possible to draw a conclusion about the necessity of developing a more perfect method of span structure calculation on aerodynamic interaction from high-speed rolling stock taking into account the above mentioned disadvantages.
References 1. Diachenko, L., Smirnov, V.: Dynamic interaction of the “bridge-train” system on high-speed railways. In: E3S Web of Conferences, vol. 157, no. 3–5, p. 06015 (2020). https://doi.org/10. 1051/e3sconf/202015706015 2. Diachenko, L., Benin, A., Smirnov, V., Diachenko, A.: Rating of dynamic coefficient for simple beam bridge design on high-speed railways. Civil Environ. Eng. 14(1), 37–43 (2018). https://doi.org/10.2478/cee-2018-0005 3. Diachenko, L., Benin, A., Diachenko, A.: “Track-bridge” interaction problems in high speed bridge design. Int. J. Eng. Technol. 7(3.19), 194 (2018). https://doi.org/10.14419/ijet.v7i3. 19.17336 4. Dyachenko, L., Benin, A.: An assessment of the dynamic interaction of the rolling stock and the long-span bridges on high-speed railways. In: MATEC Web of Conferences, vol. 107, p. 00014 (2017). https://doi.org/10.1051/matecconf/201710700014 5. Ledyaev, A., Kavkazskiy, V., Vatulin, Y., et al,: Mathematical modeling of aerodynamic processes in railway tunnels on high-speed railways. In: E3S Web of Conferences, vol. 157, p. 06017 (2020). https://doi.org/10.1051/e3sconf/202015706017 6. Diachenko, L., Benin, A.: Justification of the bridge span vertical stiffness on high-speed railways. In: E3S Web of Conferences, vol. 135, p. 03065 (2019). https://doi.org/10.1051/e3s conf/201913503065
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7. Baker, C., Johnson, T., Flynn, D., et al.: Aerodynamic loads on trackside structures, passing trains and people. In: Train Aerodynamics, pp. 151–179 (2019). https://doi.org/10.1016/b9780-12-813310-1.00008-3 8. Baker, C.J.: A review of train aerodynamics. Part 1 – fundamentals. Aeronaut. J. 117(1201), 201–228 (2014). https://doi.org/10.1017/S000192400000909X 9. Baker, C.J.: The flow around high-speed trains. J. Wind Eng. Ind. Aerodyn. 98(6), 277–298 (2010). https://doi.org/10.1016/j.jweia.2009.11.002 10. Oranello, A., Schober, M.: Aerodynamic performance of a typical high-speed train. In: 4th WSEAS International Conference on Fluid Mechanics and Aerodynamics, Elunda, 21–23 August 2006, pp. 18–25 (2006) 11. Baker, C.J., Quinn, A., Sima, M., et al.: Full-scale measurement and analysis of train slipstreams and wakes. Part 1: Ensemble averages. Proc. Inst. Mech. Eng. Part F: J. Rail Rapid Transit 228(5), 451–467 (2013). https://doi.org/10.1177/0954409713485944 12. Munoz-Paniagua, J., García, J.: Aerodynamic drag optimization of a high-speed train. J. Wind Eng. Ind. Aerodyn. 204, 1–15 (2020). https://doi.org/10.1016/j.jweia.2020.104215 13. Schetz, J.A.: Aerodynamic of high-speed trains. Ann. Rev. Fluid Mech. 33, 371–422 (2001). https://doi.org/10.1146/annurev.fluid.33.1.371 14. Niu, J., Wang, Y., Zhang, L., Yuan, Y.: Numerical analysis of aerodynamic characteristics of high-speed train with different train nose lengths. Int. J. Heat Mass Transf. 127(12), 188–199 (2018). https://doi.org/10.1016/j.ijheatmasstransfer.2018.08.041 15. Hoffmeister, B.: Lärmschutzwände an Hochgeschwindigkeitsstrecken der Bahn – eine Herausforderung für den Leichtbau. -A-CH Tagung der Österreichischen Gesellschaft für Erdbebeningenieurwesen und Baudynamik, Viena, 27–28 September 2007, pp. 1–11 (2007) 16. Soper, D., Gillmier, S., Baker, C., Morgan, T., Vojnovic, L.: Aerodynamic forces on railway acoustic barrier. J. Wind Eng. Ind. Aerodyn. 191, 266–278 (2019). https://doi.org/10.1016/j. jweia.2019.06.009 17. Soper, D., Gillmeier, S., Baker, C., Morgan, T., Vojnovic, L.: Aerodynamic forces on railway acoustic barriers. J. Wind Eng. Ind. Aerodyn. 191, 266–278 (2019). https://doi.org/10.1016/ j.jweia.2019.06.009 18. EN 1991-2: Eurocode 1: Action on structures – Part 2: Traffic loads on bridges 19. EN 14067-4:2005+A1 Railway applications - Aerodynamics - Part 4: Requirements and test procedures for aerodynamics on open track 20. Zampieri, A., Rocchi, D., Schito, P., Somaschini, C.: Numerical-experimental analysis of the slipstream produced by a high-speed train. J. Wind Eng. Ind. Aerodyn. 196, 104022 (2019). https://doi.org/10.1016/j.jweia.2019.104022 21. Maleki, S., Burton, D., Thompson, M.C.: Assessment of various turbulence models (ELES, SAS, URANS and RANS) for predicting the aerodynamics of freight train container wagons. J. Wind Eng. Ind. Aerodyn. 170, 68–80 (2017). https://doi.org/10.1016/j.jweia.2017.07.008
Development and Verification of a Computational Model of the Aerodynamic Impact of High-Speed Rolling Stock on Infrastructure Facilities Leonid Diachenko , Nikita Labutin(B)
, and Andrey Lang
Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., Saint Petersburg 190031, Russian Federation
Abstract. Increasing train speeds on existing railways and the future development of high-speed rail links with speeds of up to 400 km/h place increased demands on all components of rail transport. The aerodynamic impact of high-speed trains on infrastructure deserves special attention. In connection with the fact that the maximum speed of rolling stock circulation on the network of operating railways reaches 250 km/h in a very small section of the St. Petersburg-Moscow line. The goal of experimental simulation of aerodynamic impact of a moving train on infrastructure objects in wind tunnels can be classified as unrealizable, then, to calculate this impact the use of software packages is required. This paper presents the development and verification of a computational aerodynamic model of highspeed train impact on infrastructure objects. The model is verified by the results of domestic and foreign studies and the conclusion is made about the possibility of its further application. Keywords: Aerodynamics · Aerodynamic impact · High-speed motorway · Pedestrian overpass
1 Introduction High-speed traffic is becoming increasingly widespread around the world. At the current stage of development more than 44,000 km of high-speed railway lines with a maximum speed of up to 350 km/h are in commercial operation. More than 6 billion passengers have been carried since 1964 with more than 1,200 high-speed trains running on a daily schedule. The expansion of express and high-speed rail services and the construction of dedicated high-speed rail lines imply higher demands on both rolling stock and infrastructure elements [1–6]. Particular attention is paid to the aerodynamic characteristics of rolling stock as the air resistance has a significant impact on the train’s traction characteristics and its individual components. It has been found that for a passenger train of 20 wagons at 100 km/h the air resistance is about 35%, at 200 km/h about 70% and at 300 km/h over © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 295–303, 2022. https://doi.org/10.1007/978-3-030-96380-4_33
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90% of the basic drag. However, while the optimization of rolling stock aerodynamics can be solved within aerodynamic tubes. The impact on the infrastructure and people can only be determined during the certification tests or operation. When high-speed traffic is organised the amount of overpressure in the head air wave formed by the train increases significantly. This wave is caused by the compaction of the air mass in the area of the head fairing and its decompaction along the first wagon [7–17]. Extensive research on the wave parameters has been carried out by scientists in Europe and China. In Russia this research was carried out by scientists and specialists from the Railway Transport Research Institute (RTRI) during certification testing of the Siemens VelaroRUS Sapsan high-speed electric train (Fig. 1). When determining the air wave parameters the maximum train speed was 275 km/h. A number of measurements were also made of the air wave pressure generated by a Sapsan train at 275 km/h on an oncoming electric train ET2m travelling at 120 km/h. The aerodynamic impact of a high-speed train on the infrastructure is that when a given variable wave passes through the structure the wind speed and therefore the air pressure at different points of the infrastructure in question will be different. The pressure difference produces the aerodynamic force R and the momentum M acting on the structure determining by formulas: R = pd Ω (1) M = rpd Ω (2) Where p is the pressure value at the point; d is the section (profile) boundary; r is the radius-vector of the section element drawn from the aerodynamic element centre relative to which the moment is determined. The total aerodynamic force R acting on a structure can be decomposed into the following components: drag force Fx , lift force Fy and lateral force Fz .
Fig. 1. Siemens VelaroRUS high-speed electric train Sapsan. Source: http://www.rzd.ru
The change in air pressure extremes (between compaction and decompaction zones) takes place over an extremely short period of time. Thus, for the VelaroRus Sapsan highspeed train travelling at 250 km/h the change time is 0.02…0.035 s. The parameters and
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maximum permissible values of air overpressure are regulated by the requirements of NB ZHT DT 03-98 “Electric trains. Safety requirements” and STO RZD 1.07.001-2007 “Infrastructure of St. Petersburg-Moscow line for high-speed electric trains. General requirements”. A graph of the relative overpressure caused by the movement of a highspeed train in an air environment is shown in Fig. 2 [16].
Fig. 2. Graph of the relative magnitude of overpressure (relative to atmospheric pressure and train speed) caused by the passage of a high-speed train [16] (x-axis is time, y-axis is overpressure factor)
Due to the prospective design of the high-speed railway line VSZhM-1 “Moscow St. Petersburg” with speeds up to 400 km/h, the question of determining the aerodynamic train impact on the infrastructure is acute as the pressure value exerted by the air flow is directly proportional to the square of its speed. However, since the maximum speed on the Russian Railways system is 250 km/h and in terms of experimental wind tunnel modelling the task of determining the aerodynamic impact of a moving train on the infrastructure can be classified as unrealizable. Therefore, the magnitude of this impact has to be determined in software packages.
2 Creating a Calculation Model The computational model of interaction between high-speed rolling stock and infrastructure objects is built in the certified computational fluid dynamics software package Ansys CFD. This software package allows us to solve a wide range of problems in the aerodynamics field using a large number of turbulence models and has a fairly high distribution both in Russia and abroad. The ANSYS CFX software package consists of the following components: • The CFX preprocessor is a preprocessor where the physical models and process boundary conditions upon which the process will be simulated, as well as their main parameters and characteristics, are defined; • CFX-Solver is a computational fluid dynamics task solver; • CFX-Post is a processor designed to analyse, visualise and present the results of a CFX-Solver task.
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The posed task is reduced to the solution of non-stationary equations of gas dynamics in the Navier-Stokes formulation with viscosity and discontinuity of the medium taken into account. 2 ∂u ∂u ∂u ∂p ∂ u ∂ 2u ∂ 2u ∂u + ρu + ρv + ρw =− +μ + + p ∂t ∂x ∂y ∂z ∂x ∂x2 ∂y2 ∂z 2 2 ∂v ∂v ∂v ∂p ∂ v ∂ 2v ∂ 2v ∂v (3) + ρu + ρv + ρw =− +μ ρ + + ∂t ∂x ∂y ∂z ∂y ∂x2 ∂y2 ∂z 2 2 ∂ w ∂ 2w ∂ 2w ∂w ∂w ∂w ∂w ∂p ρ + 2 + 2 + ρu + ρv + ρw =− +μ ∂t ∂x ∂y ∂z ∂z ∂x2 ∂y ∂z ∂ρ ∂(ρu) ∂(ρv) ∂(ρw) + + + =0 ∂t ∂x ∂y ∂z Here u, v, w are required components of velocity vector (along x, y, z axes), p is pressure, t is time is dynamic viscosity coefficient for air, ρ is density. The SST (shear stress transport) model has been chosen as the turbulence model which is the most appropriate one for architectural and structural aerodynamics problems and demonstrates rather high accuracy when compared with experimental measurements in wind tunnels [18–20]. To solve the gas dynamic problems the software uses the finite volume method based on which the considered domain is divided into non-overlapping control volumes with nodal points at their centres. Similar to the finite element method equations are prepared for the volume nodes and combined into a system. The model under development consists of three main structural elements: 1. Air domain “Fluid domain” modelling the air environment. The domain is defined as a parallelepiped. The boundary conditions are as follows: “sticking wall” at the bottom horizontal face of the design domain and excluding air mass penetration through this surface; “outlet” at the other model faces with a specified atmospheric pressure value. 2. The non-stationary domain of a high-speed train immersed in an ‘Immersed Solid’ air domain with its corresponding speed and direction of travel; 3. The Stationary Immersed Solid infrastructure object’s fixed domain. 4. The high-speed train EVS-1 Sapsan with a maximum speed of up to 250 km/h was defined as a high-speed train (Fig. 3). The main characteristic features of the Sapsan high-speed electric train: • • • •
The design speed is 350 km/h; The wagon length is 25535 mm/24175 mm; Width - 3265 mm; Height - 4400 mm;
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Fig. 3. Front face of the head wagon of the Sapsan high-speed electric train
Since the electric train is rather long and the main aerodynamic effect is observed at the level of the head and (to a lesser extent) the last car it seems appropriate to consider the incomplete length of the electric train in the model being developed. Experimental graphs of the overpressure value at the point when the train is in motion were analysed to determine the optimal electric train model in terms of calculations. It should be noted that although the type of electric train in the experimental measurements is the same (Siemens Velaro), the geometry of the Sapsan head car is slightly modified due to Russian safety requirements and may affect the extreme pressure values. Based on an analysis of the experimental measurements [16–19] a four-wagon electric train scheme was adopted allowing a distribution pattern and magnitude of the head air wave to be obtained while reducing computational and time costs. Also, elements causing any local (within the framework of the problem in question) airspace disturbances (current collectors, bogies) were not modelled and corrugated crossings between wagons were modelled as smooth). The developed model of the electric train is shown in Fig. 4. The overpressure distribution fields at the head train level of the Sapsan electric train are shown in Fig. 5.
Fig. 4. Model of an electric train developed
The calculation was carried out both with and without the input of any infrastructure into the model. A wall with a height equal to the height of the ET2m electric train used as a sidewall in the certification tests of the Sapsan electric train was specified as the infrastructure object. Also, installing such a wall allows the correctness of the model to be analysed when comparing its results with experimental data [21].
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Fig. 5. Isopoles of overpressure distribution at head of a Sapsan train wagon
3 Analysing the Results and Verifying the Model Based on the calculation results the pressure graphs at the test points were obtained given that the pressure results measured there could be compared with the experimental measurements [21]. An experimental graph of the overpressure along the length of a twin ICE high-speed electric train travelling at 300 km/h is shown in Fig. 6. In order to assess the possibility of using the developed computational model for further calculations of aerodynamic effects on infrastructure elements the results are verified against the experimental results. A graph of the overpressure distribution as a function of distance from the track axis when a high-speed train passes in relation to fixed points at 250 km/h is shown in Fig. 7 [21].
Fig. 6. Overpressure along the length of a high-speed electric train travelling at 300 km/h [21] (x-axis is the length of the electric train, y-overpressure)
In order to compare the results with [21] a diagram of the change in overpressure magnitude of the head air wave at a stationary point with the same position relative to the track axis and similar train speed was plotted (Fig. 8). Graphical analysis of the numerical simulations and experimental measurements [21] shows a rather high convergence between the results with an error between 8% (maximum overpressure) and 14.6% (minimum overpressure). A comparison of the maximum overpressure value from experimental measurements made during certification tests of the Sapsan electric train also allows us to conclude that the developed model is sufficiently reliable (the error is no more than 10%).
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Fig. 7. Diagram of overpressure distribution as a function of distance from the track axis when a high-speed train passes in relation to fixed points at 250 km/h
Fig. 8. Diagram of overpressure at a fixed point as the first car passes at 300 km/h
4 Conclusion This paper considers the development and verification of a three-dimensional unsteady aerodynamic model for determining the magnitude of aerodynamic impact on railway infrastructure. The rolling stock used was the VelaroRUS Sapsan a high-speed electric train operating on the Russian Railways system. Based on the results of the analysis and comparison of experimental measurements of the aerodynamic impact value of similar electric trains on the infrastructure with the results obtained in the software package it seems possible to conclude that the developed model works correctly. The maximum difference in the overpressure values obtained experimentally and in the software package is 14.6%, which in part may be due to some difference in the outline of the head fairing of Velaro high-speed trains in Russia and abroad. Based on the verification results the developed model can be used for further calculations to determine the aerodynamic impact on infrastructure elements.
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References 1. Diachenko, L., Smirnov, V.: Dynamic interaction of the “bridge-train” system on high-speed railways. In: E3S Web of Conferences, vol. 157, p. 06015 (2020). https://doi.org/10.1051/e3s conf/202015706015 2. Ledyaev, A., Kavkazskiy, V., Vatulin, Y., et al.: Mathematical modeling of aerodynamic processes in railway tunnels on high-speed railways. In: E3S Web of Conferences, vol. 157, p. 06017 (2020). https://doi.org/10.1051/e3sconf/202015706017 3. Diachenko, L., Benin, A., Diachenko, A.: “Track-bridge” interaction problems in high-speed bridge design. Int. J. Eng. Technol. 7(3.19), 194 (2018). https://doi.org/10.14419/ijet.v7i3. 19.17336 4. Diachenko, L., Benin, A., Smirnov, V., Diachenko, A.: Rating of dynamic coefficient for simple beam bridge design on high-speed railways. Civil Environ. Eng. 14(1), 37–43 (2018). https://doi.org/10.2478/cee-2018-0005 5. Dyachenko, L., Benin, A.: An assessment of the dynamic interaction of the rolling stock and the long-span bridges on high-speed railways. In: MATEC Web of Conferences, vol. 107, p. 00014 (2017). https://doi.org/10.1051/matecconf/201710700014 6. Diachenko, L., Benin, A.: Justification of the bridge span vertical stiffness on high-speed railways. In: E3S Web of Conferences, vol. 135, p. 03065 (2019). https://doi.org/10.1051/e3s conf/201913503065 7. Baker, C., Johnson, T., Flynn, D., et al.: Aerodynamic loads on trackside structures, passing trains and people. In: Train Aerodynamics, pp. 151–179 (2019). https://doi.org/10.1016/b9780-12-813310-1.00008-3 8. Baker, C.J.: A review of train aerodynamics. Part 1 – fundamentals. Aeronaut. J. 117(1201), 201–228 (2014). https://doi.org/10.1017/S000192400000909X 9. Baker, C.J.: The flow around high-speed trains. J. Wind Eng. Ind. Aerodyn. 98(6), 277–298 (2008). https://doi.org/10.1016/j.jweia.2009.11.002 10. Oranello, A., Schober, M.: Aerodynamic performance of a typical high-speed train. In: 4th WSEAS International Conference on Fluid Mechanics and Aerodynamics, pp. 18–25 (2006) 11. Baker, C.J., Quinn, A., Sima, M., et al.: Full-scale measurement and analysis of train slipstreams and wakes. Part 1: ensemble averages. Proc. Inst. Mech. Eng. Part F: J. Rail Rapid Transit 228(5), 451–467 (2013). https://doi.org/10.1177/0954409713485944 12. Munoz-Paniagua, J., García, J.: Aerodynamic drag optimization of a high-speed train. J. Wind Eng. Ind. Aerodyn. 204, 1–15 (2020). https://doi.org/10.1016/j.jweia.2020.104215 13. Schetz, J.A.: Aerodynamic of high-speed trains. Annu. Rev. Fluid Mech. 33, 371–422 (2001). https://doi.org/10.1146/annurev.fluid.33.1.371 14. Niu, J., Wang, Y., Zhang, L., Yuan, Y.: Numerical analysis of aerodynamic characteristics of high-speed train with different train nose lengths. Int. J. Heat Mass Transf. 127, 188–199 (2018). https://doi.org/10.1016/j.ijheatmasstransfer.2018.08.041 15. Premoli, A., Rocchi, D., Schito, P., Tomasini, G.: Comparison between steady and moving railway vehicles subjected to crosswind by CFD analysis. J. Wind Eng. Ind. Aerodyn. 156, 29–40 (2016). https://doi.org/10.1016/j.jweia.2016.07.006 16. Soper, D., Gillmeier, S., Baker, C., et al.: Aerodynamic forces on railway acoustic barriers. J. Wind Eng. Ind. Aerodyn. 191, 266–278 (2019). https://doi.org/10.1016/j.jweia.2019.06.009 17. Soper, D., Gallagher, M., Baker, C., Quinn, A.: A model-scale study to assess the influence of ground geometries on aerodynamic flow development around a train. Proc. Inst. Mech. Eng. Part F: J. Rail Rapid Transit 231(8), 916–933 (2016). https://doi.org/10.1177/095440971664 8719 18. Zampieri, A., Rocchi, D., Schito, P., Somaschini, C.: Numerical-experimental analysis of the slipstream produced by a high speed train. J. Wind Eng. Ind. Aerodyn. 196, 104022 (2019). https://doi.org/10.1016/j.jweia.2019.104022
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19. Xiong, X.H., Yang, B., Wang, K.W., et al.: Full-scale experiment of transient aerodynamic pressures acting on a bridge noise barrier induced by the passage of high-speed trains operating at 380–420 km/h. J. Wind Eng. Ind. Aerodyn. 204, 104298 (2020). https://doi.org/10.1016/j. jweia.2020.104298 20. Maleki, S., Burton, D., Thompson, M.C.: Assessment of various turbulence models (ELES, SAS, URANS and RANS) for predicting the aerodynamics of freight train container wagons. J. Wind Eng. Ind. Aerodyn. 170, 68–80 (2017). https://doi.org/10.1016/j.jweia.2017.07.008 21. Hoffmeister, B.: Lärmschutzwände an Hochgeschwindigkeitsstrecken der Bahn – eine Herausforderung für den Leichtbau. -A-CH Tagung der Österreichischen Gesellschaft für Erdbebeningenieurwesen und Baudynamik, Vienna, 27–28 September 2007, pp. 1–11 (2007)
Self-actualization Characteristics, Subjective Well-Being and Copying Strategies of the Russian Railway Employees Elena Yashchenko(B) Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., Saint Petersburg 190031, Russian Federation [email protected]
Abstract. The article presents an overview of modern domestic and foreign scientific publications which showed the features of understanding self-actualization and its economic effect, the subjective well-being of various social groups of the population, attitudes to stress as an opportunity to identify personal potential and meaningful life which makes it possible to substantiate the relevance of the study. The aim of the paper is to determine the features of self-actualisation characteristics, subjective well-being and coping strategies in railway employees with different levels of self-actualisation. The survey sample was made up by 37 railway employees with higher education. Average age 36.38 years of whom 21 were train heads and 16 were train drivers. The research methods were the Shostrom (CAT), adapted by Y. E. Aleshina, L. Y. Gozman, M. V. Zagic and M. V. Kroz, Subjective Well-Being Scale (SWS) A. Perrudet-Badoux, G. Mendelsohn, J. Chiche adapted by M. V. Sokolova and R. Lazarus’ Coping Test adapted by T. L. Krukova, E. V. Kuftiak, M. S. Zamyshlyaeva. Statistical methods for processing empirical data include descriptive statistics by group, Mann-Whitney U-test and Spearman rank correlation coefficient methods using SPSS 22.0 statistical software package, Excel 2007. Psychological portraits of railway employees with an average and high level of self-actualization have been compiled. The differences and connections between the scales of the studied phenomena in railway employees with an average and high level of self-actualisation are described. The strong qualities and sources of personal growth for both groups are shown; suggestions for further research are made. Keywords: Stress · Satisfaction with life · Self-acceptance · Self-esteem · Self-assessment
1 Introduction The modern development of Russian society is impossible without the railway development and improvement of its employees’ training a significant part of whom have been trained at our university [1]. Self-actualization, subjective well-being and coping strategies in difficult life situations and stress have been studied in detail in different © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 304–313, 2022. https://doi.org/10.1007/978-3-030-96380-4_34
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population groups - students, engineers, doctors, athletes, teachers, etc. etc. both in our country [2–10] and abroad [11–20]. However, there are not many works devoted to the study of personal potential of railway transport employees (train managers and train drivers). V. Kozlov et al. assessed the aggregate labour potential of the North West region [8], V. N. Kustov et al. studied the safety and reliability features of the ergative environment [9], A. Toth-Bos et al. and V. Ye et al. considered the relationship between life purpose and opportunities for acculturation and subjective well-being as today’s people are mobile in terms of education and occupation [11, 12]. Experiencing stress A. W. Hanley et al. is considered as a resource for meaningful and conscious living and cognitive stability [13]. Their research has shown that psychological trauma resulting from stress may contribute to a better understanding of what happened and the meaning of one’s life, regardless of the consequences, whether positive or pathogenic. While post-traumatic cognitive coping strategies for dealing with difficult life situations contribute to positive outcomes [13]. S. Nasso et al. identify the regulatory role of self-esteem in the stress experience [14]. According to the Neurocognitive Framework for Expectation Regulation (NFRE) actual and ideal self-esteem are related to how people expect and respond to a stressful event. The authors sought to determine whether people with low ideal self-esteem (moderator) would be mediated by a positive relationship between actual self-esteem and reactive autonomic regulation by the degree of anticipatory autonomic regulation. If ideal self-esteem was low higher actual self-esteem was associated with higher reactive autonomic regulation and this relationship was mediated by higher anticipatory autonomic regulation. The investigation of the relationship between actual and ideal self-esteem and anticipatory and reactive stress regulation was a step forward in understanding the mechanisms underlying successful stress regulation [14]. J. M. Dickson et al. studied rumination (a cognitive-motivational transdiagnostic process linking self-regulation difficulties to anxiety and depressive symptoms) in students (15). Anxiety and depression symptoms were found to be related to ideal and real self-image and to their reflections on the extent to which they had or had not achieved their ideals in life and career. As well as the importance of each ideal for their own self-worth was estimated. It has been found that a mismatch between actual ideal representations of oneself is associated with both anxiety and depressive symptoms whereas a mismatch between one’s own thoughts is only associated with anxiety symptoms [15]. P. S. Pavai et al. identified links between decision-making and self-actualisation [16]. In a sample of several thousand university students self-actualisation has been identified as a driving force that ultimately leads to the ability development and definition of a life path. A positive correlation was found between decision-making and self-actualisation. S. S. Savenysheva et al., investigating self-actualization characteristics and subjective wellbeing in relation to daily chores in men and women aged 20 to 60 determined that the level of experienced stress and daily chores in men and women depended on competence, auto-sympathy, professional self-actualization, life satisfaction, job satisfaction and financial status. While males depended on a positive view of human nature for their level of daily chores [10]. A. Cropley proposed a contemporary definition of creativity [17]. While not abolishing the obligatory presence of novelty he suggests that any product from the aesthetic realm to the practical worldly in many fields, not only in the
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visual arts, should be considered creative taking into account its practical relevance from the refined to the everyday. Whereas creativity includes aspects of thinking, personality, motivation and feeling. M. A. Runco, based on A. Maslow believes that creativity promotes self-actualisation and that self-actualisation promotes creativity and that creativity and self-actualisation may be one and the same [18]. L. Artige revealed and showed the economic effect of creativity [19]. Creativity enables people to create new products and services that can be of value individually or collectively. Creativity has enormous power in fostering change and scientific and technological progress and enables the economic and social development of humanity. The author describes and explores the main economic theories of innovation. M. Hoviand J.-P. Laamanen conducted a comprehensive study on the subjective well-being, income and aspirations of Europeans covering some 30 countries at different stages of economic development [20]. The analysis revealed that the desire for higher income is associated with lower subjective well-being. Higher income aspirations change more when the income of others changes than when one’s own income changes. At the same time, high income increases life satisfaction even in high-income countries where aspirations fully compensate for the improvement of emotional well-being and eudemonia [20]. An analysis of contemporary publications shows that authors have investigated in detail the links of self-actualisation with various dependent variables, such as subjective well-being, stress, meaning and value orientations, self-attitude, self-esteem, selfacceptance, etc., and independent variables, such as type of subculture, training direction, type of professional activity, gender, age, etc. However, the features of self-actualisation characteristics, subjective well-being and coping strategies of railway workers have not yet been sufficiently studied and this was the purpose of our study. Research hypotheses: 1. There are differences between self-actualisation characteristics, subjective wellbeing and coping strategies in railway employees with different levels of selfactualization. 2. There are differences between self-actualization characteristics, subjective wellbeing and coping strategies in railway employees with different levels of selfactualization.
2 Methods The survey sample consisted of 37 railway employees with higher education aged 27 to 46 years, average age 36.38 years of whom 21 were train managers and 16 were train drivers. The testing of railway employees was carried out by an employee of the human resources department on voluntary consent and willingness to participate in a scientific study. The data obtained did not follow a normal distribution so nonparametric MannWhitney U-test and Spearman rank correlation coefficient methods were used for the calculations. The initial intention was to investigate the features of self-actualisation, subjective well-being and coping strategies in railway employees with high, medium and low levels
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of self-actualisation (SA). We found out that there were only 8 people with a low level of self-actualization, 11 people with a medium level and 26 people with a high level. In this regard it was decided to compare the differences in the scales and the structure of the relationship of self-actualization characteristics, subjective well-being and coping strategies in railway employees with an average and high level of self-actualization. We find the indicators of the average self-actualisation level extremely important as this is a resourceful sample aware of their capabilities and moving towards the realisation of their personal potential. The division of the total sample into groups was carried out according to one of the main scales of the CAT methodology, the Competence in Time scale. From 55 to 71 points a high level of self-actualisation was defined, from 45 to 54 points an average level of self-actualisation, from 44 and less points a low level of self-actualization. The following methodologies were used in the study: 1. Self-actualization test by E. Shostrom (CAT), adapted by Y. E. Aleshina, L. Y. Gozman, M. V. Zagic and M. V. Croz. 2. Subjective well-being scale (SWS) A. Perrudet-Badoux, G. Mendelsohn, J. Chiche adapted by M. V. Sokolova. 3. R. Lazarus’ Coping Test adapted from T. L. Krukova, E. V. Kuftiak, M. S. Zamyshlyaeva.
3 Results A characterisation of the mean study scale values of respondents with an average and high level of self-actualisation shows that in the group with an average level of selfactualisation, “Cognitive needs” (M = 59.1), “Self-esteem” (M = 58.7) and “Selfacceptance” (M = 56.1) are most expressed. In the respondent group with a high level of self-actualisation the highest average values were obtained for the scales “Selfacceptance” (M = 63.5) and “Self-esteem” (M = 61.5). The subjective well-being scale scores are lower (M = 36.81) for respondents with a high level of self-actualisation (scale inverse) than for respondents with an average level of SA (M = 44.55). Railway employees with a high level of self-actualisation experience a greater degree of subjective well-being than employees with an average level of self-actualisation. When comparing the mean values of the subjective well-being subscales in the two groups the following results were obtained: respondents with an average level of self-actualisation had a greater degree of tension and sensitivity (Mav. level CA = 10.00; Mhigh level CA = 9.38), (M av. level CA = 9.73; Mhigh level CA = 7.88), psychiatric symptomatology (Mav. level CA = 9.73; Mhigh level CA = 7.88) (MSU = 9.73; MSU = 7.88) and to a lesser extent, satisfaction with daily activities (Mav. level CA = 8.64; Mhigh level CA = 6.38) (scale inverse). Respondents with a high level of self-actualisation have all lower scores on the subjective well-being subscale. The most sought-after coping strategy among railway employees with medium and high levels of self-actualisation is the problem-solving planning strategy (Mav. level CA = 77.18 and Mhigh level CA = 74.73). The following significant differences (at p < 0.05) were found between the study scales (Table 1).
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Table 1. Differences between self-actualization measures, subjective well-being scales and coping tests in railway workers with high and medium self-actualization Scales
High level of self-actualization
Average level of self-actualization
Median
Median
Standard deviation
Standard deviation
Mann-Whitney U-criterion
R
Internal support
57.00
9.56
49.0
6.51
80.5
.037
Behavioural flexibility
53.0
10.37
47.0
7.03
74.5
.022
Cognitive needs
54.00
9.27
60.0
7.65
81.0
.035
Degree of satisfaction with daily activities
6.0
3.06
7.0
3.30
79.5
.033
Total SBS (scale of subjective well-being) indicator
35.5
12.78
44.0
9.61
78.5
.032
Spearman’s correlation analysis revealed the following relationships between the scales of the study. The following relationships (at p < 0.05, p < 0.01, p < 0.001) were found in railway workers with an average level of self-actualization (Fig. 1). A direct relationship was found between the Competence in Time scale and the Scale of the SBS (Reversal scale) and the Coping Test scales. The lower the time competence, the lower the sense of subjective well-being (rs = .781, p = .005), the higher the tension and sensitivity (rs = .645, p = .032), more psychiatric symptomatology (rs = .861, p = .001); low time competence was associated with confrontational coping strategies (rs = .613, p = .045) and distancing (rs = .818, p = .002). The Inner Support scale has four reciprocal relationships with the SBS (scale inverse) and Coping Test scales: the less inner support (externality), the less significant the social environment (rs = –.657, p = .028), acceptance of responsibility (rs = –.712, p = .014), preferred strategies of distancing (rs = –.610, p = .046) and escape-avoidance (rs = –.620, p = .042). The Value Orientations scale has two inverse relationships: the less significant the value orientations the less significant the social environment (rs = –.650, p = .031) and the less pronounced the strategy of taking responsibility (rs = –.691, p = .019). The Behavioural Flexibility scale is inversely related to the escapeavoidance strategy (rs = –.706, p = .015): the lower the ability to situationally express one’s values in behaviour, the more often the escape-avoidance strategy is used. The sensitivity scale is directly related to the “Satisfaction with daily activities” scale of the SBS questionnaire (rs = .805, p = .003) (scale inverse): the lower the sensitivity,
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the lower the satisfaction with daily activities. The Spontaneity scale was found to be directly related to the Health Self-Assessment scale of the SBS questionnaire (rs = .651, p = .030): the lower the spontaneity, the lower the self-rated health. “Self-esteem” is inversely related to the “Acceptance of responsibility” strategy (rs = –.703, p = .016): the higher the self-esteem, the less pronounced the acceptance of responsibility strategy.
Fig. 1. Relations between self-actualisation characteristics, subjective well-being and coping strategies in railway employees with an average level of self-actualization
“Perception of Human Nature” is inversely related to the “Acceptance of Responsibility” strategy (rs = –.623, p = .041): the lower the propensity to perceive human nature as positive, the less expressed is the strategy of accepting responsibility, recognising one’s role in causing the problem and responsibility for its solution. The “Acceptance of Aggression” scale is directly related to the “Satisfaction with Everyday Activities” scale of the SBS questionnaire (rs = .780, p = .005) (scale inverse): the higher the ability to accept one’s irritation as a natural manifestation of human nature, the lower the satisfaction with daily activities. The “Cognitive Needs” scale is directly related to the “Seeking Social Support” coping (rs = .607, p = .048): the more pronounced the desire to acquire new knowledge, the more important is social support for problem solving with the help of external (social) resources. The following relationships (p < 0.05, p < 0.01, p < 0.001) were found in the group of railway employees with high levels of self-actualisation (Fig. 2). The Value Orientations scale has three inverse relationships with the SBS (Inverse Scale) and the Coping Test scales: the more a person shares the values of a self-actualising person, the more significant their social environment is (rs = –.396, p = .045), less stress and sensitivity (rs = –.639, p < .001) and less significant is coping self-control (rs = –.452, p = .020) for coping with difficult life situations. The “Sensitivity” scale was inversely related to the “Search for Social Support” coping (rs = –.409, p = .038): the higher the sensitivity, the less pronounced the strategy of searching for social support when solving tasks. The Self-Acceptance scale is inversely related to the Social Environment Importance scale (rs = –.414, p = .035): the higher the ability to accept oneself as it is, the more significant the social environment. The Perceptions of Human Nature
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scale has four inverse relationships with the SBS and Coping Test scales: the more one accepts human nature as positive, the lower the tension and sensitivity (rs = –.419, p = .033), a more significant social environment (rs = –.675, p < .001), a greater sense of subjective well-being (rs = –.415, p = .035) and a less pronounced self-control strategy, i.e. more self-trust (rs = –.485, p = .012). The Synergy scale is inversely related to the Social Environment Importance scale (rs = –.554, p = .003): the higher the ability to perceive the world holistically, the more important the social environment is. The Acceptance of Aggression scale has the same inverse relationship with the Seeking Social Support coping (rs = –.413, p = .036): the higher the ability to assert one’s point of view, the less characteristic the strategy of seeking social support.
Fig. 2. Relations of self-actualization characteristics, subjective well-being and coping strategies in railway workers with a high level of self-actualization
The Cognitive Needs scale is inversely related to the Tension and Sensitivity scale (rs = –.484, p = .012): the higher the cognitive needs, the lower the tension and sensitivity. The Creativity scale has one inverse relationship with the Acceptance of Responsibility coping: the more creative the individual is, the less relevant is the Acceptance of Responsibility strategy.
4 Discussion When analysing the average scale values of the study in railway employees with medium and high levels of self-actualisation it may be noted that the most significant selfactualising characteristic for both groups is the ability to appreciate their own merits and see their own strengths. The content of this scale may correspond to self-assessment. Both railway employees with an average level of self-actualisation and those with a high level of self-actualisation have highly developed self-esteem, an extremely important personal quality on whose mental health and life satisfaction can depend. In both groups this characteristic is in the range of high values. In addition, railway employees with medium and high levels of self-actualisation have highly developed self-acceptance - the ability to accept not only their strengths but also their weaknesses beyond the assessments
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of others. This personality trait is indicative of railway employees as self-sufficient, wellreflective and critical of themselves. Certainly, these characteristics are the foundation of a confident attitude towards life and a responsible attitude towards oneself and one’s obligations. It is not a coincidence that we have suggested that it may be most promising to study not employees with a low level of self-actualisation but those with an average level as having great personal potential for further development. Employees with a medium level of self-actualisation were found to have even higher values of cognitive needs than those with a high level of self-actualisation. This also indicates their desire to develop, learn about their profession, broaden their horizons and be aware of their professional activities. An evaluation of the mean core scale values of subjective well-being and the six subscales in railway employees with an average level of self-actualisation showed that these employees are very tense and sensitive, exhibit psychiatric symptomatology and are not satisfied with their day-to-day activities. It would probably be a productive mission for psychologists in the psychophysiological laboratory of the road clinical hospital to find the causes of this well-being and to eliminate them. Employees with high levels of self-actualisation experience high subjective well-being (their values are significantly lower, the scale is reversed). It may be assumed that this is facilitated by their greater awareness of their resources, internalising and caring about their time (time competence) which is characterised by a high level of self-actualisation. When comparing the average values of the coping-test scales it was found that railway employees with an average and high level of self-actualisation in a difficult life situation prefer to use the strategy of planning the solution to a problem. Although in this professional activity and especially under stress it is unproductive as in the conditions of unexpectedness mobility and spontaneity are primarily required rather than planning. That is, nonlinear thinking, divergent rather than linear, convergent thinking is more necessary. However, in rail transport all interactions between employees are strictly regulated and do not involve creativity. In this we note a major paradox and illogic in the training of railway employees. The link analysis between self-actualization characteristics, subjective well-being scales and coping test in railway employees with an average level of self-actualization has shown that they use their life time unproductively, have low internalism, low sensitivity, high irritability, As a result, they are less satisfied with their life and daily activities, their value orientation structure does not include the importance of social environment, good attitude towards people and taking responsibility and in difficult life situations they use unproductive coping strategies - either confrontation, distancing themselves from the problem or avoiding it. The escape-avoidance coping strategy is chosen because the subjects have low behavioural flexibility. They are unable to take correct decisions immediately, their self-esteem suffers from an inability to situationally express their emotions and feelings and their high self-esteem is not conducive to accepting responsibility. The use of the productive coping strategy “Seeking social support” is noted only for respondents with pronounced cognitive needs. The found links between self-actualization characteristics, subjective well-being scales and coping strategies in railway employees with a high level of self-actualisation indicate that the structure of their value orientations includes coping self-control, the
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importance of the social environment and low tension and sensitivity and high subjective well-being. They are characterised by a positive attitude towards human nature, self-acceptance, self-sensitivity, an ability to perceive the world and people holistically, persistence in achieving goals, and cognitive needs that are a personal resource for high subjective well-being and a rejection of social support. Employees with high creativity are not prepared to take responsibility for themselves.
5 Conclusion The study resulted in psychological portraits of railway employees with medium and high levels of self-actualisation. Railway workers with an average level of self-actualisation are characterised by high cognitive needs but a medium level of internalism, time competence, behavioural flexibility, the ability to spontaneously express their emotions and feelings; they are insensitive to themselves and the people around them, do not value the social environment, while actively seeking out and respecting themselves, refusing social support and using unproductive strategies for stressful behaviour - confrontation, distancing and escape-avoidance. They have a low level of subjective well-being. Railway employees with high levels of self-actualisation are characterised by high internalism, behavioural flexibility, cognitive needs, high levels of satisfaction with daily activities and general subjective well-being. They perceive the world holistically, share self-actualising values, are kind, value their social environment, yet are sensitive to themselves, able to defend their point of view and therefore do not need social support but are not prepared to take full responsibility when making an independent decision. They may not always be sure that their initiative will find support from management. Thus, the hypotheses have been confirmed. The prospect of further research could be an analysis of professional performance and motivation, the number of timely correct decisions made by railway employees with different levels of self-actualisation in certain stressful situations.
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Drains that Provide Highly Efficient Drainage of the Subgrade and Increase of the Subgrade Valeriy Shytkov
and Andrey Ponomarev(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. Purpose. Finding an effective solution for draining the subgrade in poorly permeable soils with a non-swamp drainage system while increasing its load-bearing capacity. Methodology. Low permeability soils have a very low drainage coefficient and consequently long drainage times when the drainage spacing is large. A methodology for the hydraulic calculation of non-swamp drains of different cross-sectional shapes has been developed. This provides a different height of water level reduction in the subgrade with approximately the same increase in its load-bearing capacity. Results. The calculations carried out make it possible to establish the most favourable shape of the live cross-section with the same hydrological load on the non-swamp drain in terms of the amount of water level reduction in the subgrade. Practical relevance. The installation of nonswamp drains in the subgrade along with efficient drainage ensures an increase in the load-bearing capacity. The construction of a sub-cavity drainage system is not necessary allowing to reduce costs both during the construction of the railway bed and during its operation. Keywords: Subgrade · Drainage timing · Non-swamp drainage · Filtration in crushed stone · Transient filtration mode · Irregular movement · Railway drainage
1 Introduction A special feature of low permeability soils is their low filtration capacity and low drainage coefficient values. This has a significant impact on the rate of groundwater level lowering in them in the subgrade. Consequently, the time they remain in an overwet condition has a longer duration than in loamy sand and sandy soils whose filtration properties are considerably higher. In turn, the moisture content of the soil determines its strength properties, i.e. in this case the load-bearing capacity of the subgrade. In recent years observations of changing climatic conditions in the Non-Black Soil zone of Russia have indicated an increase in summer precipitation over the next 30–50 years. However, already at present in the case of low permeable soils with a standard drainage spacing of 10 m the agricultural drainage does not provide the required water mode. As a result of joint field research by Russian and Finnish specialists to find the most efficient closed drainage designs for draining low permeable soils in agriculture it was found that the most effective was the two-tiered drainage system. In this case the drains are arranged © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 314–323, 2022. https://doi.org/10.1007/978-3-030-96380-4_35
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in two tiers (floors) perpendicular to each other. In the lower tier there are tube drains with a spacing of 30 m (three times the standard distance). Instead, in the upper tier there are non-tube drains with a spacing of 4–7 m between them. Moreover, the non-swamp drains are adjacent to the well-filtered topsoil. The results of two years of observation showed that the maximum drainage runoff modulations were 1.5 times higher on double-decker drainage systems than on traditional systems with tubular drainage (Field Reclamation Manual. St. Petersburg - 2020). Yields were also higher on fields drained by non-swamp drainage. Theoretical studies by both foreign and domestic scientists have established that to reliably ensure the required water mode on agricultural fields in low permeability soils the distance between drains should not exceed 5 m. In the literature various methods of reinforcing railway foundations are considered: using geosynthetic materials [1–3], laying foam concrete slabs [4], electrochemical treatment [5]. For the same purpose, the SPSURT (St Petersburg State University of Railway Transport) staff previously proposed the use of a low permeability drainage [6] which strengthens the foundation by reducing its moisture content. In article [6] it has been shown that the drainage capacity is increased by 1.7–1.8 times along the track in addition to effective drainage. Compared to tubeless drains drainage pipes additionally possess the following two important features: they may be located in the frost zone [7] and are environmentally friendly [8–12]. Let us first consider how in low permeability soils the rate of water level reduction (depression curve) depends on the distance between the drains. At present, groundwater level (GWL) drawdown and diversion from the subgrade (SG) is performed by ditches, flumes and drains, including shallow ones (up to 2.5 m depth according to SP 32-104-98). Experience with existing drainage structures in railway right-of-way has shown that in low permeability soils (with filtration coefficients less than 0.01 m/day) conventional drainage does not provide timely drainage. In this case it is clear that it is not possible to shorten the period of water level reduction in the subgrade without reducing the distance between the drains.That means that the drainage must be located in the subgrade itself. A non-swamped drainage is quite suitable for this purpose. Therefore, in order to increase the drainage efficiency of the subgrade along with surface water drainage facilities (gutters, ditches etc.) it is necessary to provide for a drainage system under the ballast prism. This will drain excess water in time reducing soil moisture and reducing the risk of unacceptable deformation of the track superstructure. It should be mentioned that the non-swamped drainage at the base of a railway track needs to be protected from abrasion particles in the ballast [13].
2 Methodology Filtration calculations for both steady-state and non-steady-state filtration modes were carried out to compare the effectiveness of traditional sub-cavity drainage and that of a non-swamp drainage taking into account the infiltration inflow to groundwater [14] (Table 1). In Table 1 ωi, mm/day is the infiltration rate, H is the final head above the drain bottom; T is the drainage time.
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Table 1. Timing of drainage dewatering of low water permeable soils SG of railways during the “filtration stabilization” mode ωi , mm/day
H, m
T, day
K = 0,01 m/day 0
1
0.65
6
1
0.84
15
1
1.49
0
0.6
1.57
6
0.6
2.38
15
0.6
11.30
K = 0,1 m/day 0
1
0.07
6
1
0.07
15
1
0.07
0
0.6
0.16
6
0.6
0.17
15
0.6
0.18
The drainage time T was determined by adding the durations of the two drainage phases. Figure 1 shows the position of the depression curves for drainage in low permeability soils at the end of the first and second phases of groundwater level stabilization. Due to the increased axle loads from the use of heavy rolling stock on railways the task of strengthening the working area of the subgrade platform while increasing the efficiency of its drainage is an urgent one. In this case, as the results of the research described in [6] show the location of two sealless drains of rectangular cross-section in the subgrade along the rail tracks increases its load-bearing capacity by a factor of 1.7–1.8 as compared to the standard design.
Fig. 1. Depression curve position during the different phases of its stabilization
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Figure 1 indicates: 1 - crushed stone; 2 - low-permeable soil; 3 - slit of non-swamp drainage; 4 - tubular drainage outside the ballast plume; 5 - depression curve position at the end of the first phase of the “stabilisation” period; 6 - partial position of depression curve during the second stabilization phase at the moment of branch closing from each drainage slot; 7 - position of depression curve after the end of the second “stabilization” period; H1 - head over the drain at the beginning of the first drainage phase; H2 - head over the drain at the end of the second drainage phase. Table 2 shows comparative data for the same axle load on the stresses in the subgrade in the case of the standard design and the proposed design incorporating the non-swamped drains. The standard design uses a geogrid to reduce maximum stress values while the alternative design uses rectangular non-swamp drains positioned in the plan below the rails. Table 2. Stress value in kPa in the subgrade Speed, km/h
Standard design
Alternative design
Summer
Winter
Summer
Winter
10
40.4
46.7
22.6
24.8
40
44.4
52.5
24.8
27.9
70
49.1
59.5
27.4
31.5
100
54.7
67.0
30.6
35.7
The values given in the table were determined by numerical modelling of the stresses in the sub-rail area. As it follows from Table 1 drainage duration of area between rail strings (at location of non-swamp drains under them at L < 0,8 m) even at infiltration rate of 0,002 m/day in low water permeable soils does not exceed 2 days. That is acceptable terms of subgrade re-moistening for especially strained and high-speed railway lines. At the same time, sub-cavity drains are not able to lower the water level along the track axis even in the absence of infiltration inflow. Thus, under real weather conditions in low water permeable soils the sub-cavity drainage will not provide the required drainage intensity for fine sands and dusty loam at k ≤ 0.1 m/day. With infiltration rates exceeding 0.002 m/day the sub-cavity drainage does not provide the required water mode in the base of the ballast prism. At present, methods have been developed for the hydraulic calculation of the rectangular non-swamp drains (when two drains are laid along the rail lines), triangular, trapezoidal and compound cross-sections with double-sided flow into the collectors. Let us compare the designs of the non-swamp drains with different cross-sectional shapes with regard to their ability to lower the water level in the subgrade (from the base of the ballast prism to the water level in the drain in the cross-section with maximum depth). The lower the water level, the lower the maximum water depth in the drain, the greater the decrease in water level. The drains have the same slope, the same distance between the collectors and are filled with crushed stone of the same coarseness.
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When selecting a particular form of drainage cross-section not only their hydraulic efficiency but also their economic performance must be taken into account. Maintaining the dimensions of a triangular or trapezoidal cross-section is only possible with a constant path slope that coincides with the flow direction in the drain. Otherwise, the mould will either become composite or expand during burial which is certainly not desirable due to the large increase in cross-sectional area. Therefore, in horizontal sections it is more rational to use a composite section where only the mark of the lower section will be changed.
3 Results For: filler material of non-swamp drain - rubble of 5–20 mm fraction: filtration coefficient in laminar mode Kl = 4.47 m/s; filtration coefficient in turbulent mode Kt = 0.095 m/s; hk = 0.1 m; specific inflow q = 0,2 * 10–4 m2/c; L1 = 200 m. The drain water depth at the water divide point h0 representing the interval in the case of drains laid with a slope at the two-way inflow into the collectors has to be determined. Consider the three different cross-sections shown in Fig. 2: triangular, trapezoidal and compound. The height of all drains is the same (1.2 m from the bottom of the profile to the base of the ballast prism).
Fig. 2. The cross-sectional shapes of the non-swamp drains 1 - triangular; 2 - trapezoidal; 3 compound.
As an example, let’s take a closer look at the hydraulic calculation of a drain with a triangular cross-section whose basics we have previously outlined in [15]. For the rest, we will only present the calculation results in Table 2. The calculation scheme is shown in Fig. 3. Calculation formulas.
t 3 − i · t 2 + U · t + U (1−1 ) π 2tk + K1 − i M t l k k k − arctg · exp − √ h0 = L1 √ N1 2 N1 (tk − K1 )(1−31 ) (1) Where, tk =
hk L1 ,
F1 =
K12 , 3K12 −2K1 ·i+Ul
(2)
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Fig. 3. Longitudinal section of a triangular cross-section drain
Ul Ut + (1 − 3F1 ) 2 , K1 K1 2 N1 = 4 K1 + Ul − (K1 + i)2
M = (1 − F1 )
1 P i − 2r · sh Arsh 3 , 3 3 r
2 i Ul − r= 3 3 3 Ut i i · Ul + P=− + 3 6 2
K1 =
(3) (4) (5)
(6) (7)
In order to carry out the calculation a value of h0 must be given. If at the end of the calculation we obtain the same value or a value very close to it this will be the value we are looking for. Take h0 = 0.84 m, then tk = 0.0005, be = m · β · h0 = 1 · 0.68 · 0.84 = 0.57 m, q 0.2 · 10−4 = 0.78 · 10−5 , = Kl · be 4.47 · 0.57 2 0.2 · 10−4 q2 Ut = 2 2 = = 13.64 · 10−8 , 0.00952 · 0.572 Kt · be
2 Ul 0.78 · 10−5 i 0.002 2 = = 1.47 · 10−3 , r= − − 3 3 3 3 3 Ut 0.002 3 0.002 · 0.78 · 10−5 13.64 · 10−8 i · Ul i + =− + + + P=− 3 6 2 3 6 2 Ul =
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= 7.05 · 10−8 , 0.002 1 7.05 · 10−8 −3 −3 K1 = − 2 · 1.47 · 10 · sh Arsh 3 = −4.124 · 10 , −3 3 3 1.47 · 10 2 −3 −4.124 · 10 F1 = = 0.223, 2 3 −4.124 · 10−3 + 2 · 4.124 · 10−3 · 10−2 · 0.002 + 0.78 · 10−5 13.64 · 10−8 (1 − 0.223) · 0.78 · 10−5 −2 + − 3 · 0.223) · M = (1 2 = 0.118 · 10 , −3 −4.124 · 10−3 −4.124 · 10 2 N1 = 4 17.007 · 10−6 + 0.78 · 10−5 + −4.124 · 10−3 + 2 · 10−3 = 9.47 · 10−5 , 0.53 · 10−9 − 0.002 · 0.52 · 10−6 + 0.78 · 10−5 · 0.5 · 10−3 + 13.64 · 10−5 (1−0.223) h0 = 200 (1−3·0.223) 0.5 · 10−3 + 4.124 · 10−3
0.118 · 10−2 π 2 · 0.0005 − 4.124 · 10−3 − 2 · 10−3
× exp − √ = 0.82 m.
9.47 · 10−5
2
− arctg
√
9.47 · 10−5
We set the value of h0 = 0.84 m. When completing the calculations h0 = 0,82 m. Accordingly, we take h0 = 0.83 m as the design value for the triangular cross-section. The hydraulic design of the non-swamp drains is based on the assumption that the predominant part of their length is in a transitional flow mode. It is known that in the case of filtration the existence area of this mode takes place when the Reynolds number varies over a large range. Let us check this assumption. Let’s look again at the triangular cross-sectional variant. For the transition mode to become turbulent the bottom slope of a non-turbulent drain must be greater than the value calculated by the formula Ul2 1 i (8) ilim = −2 · ri · ch Arch 3 − 3 12 · Ut ri Where,
ri = − i =
Ul4 3 Ul + ; 2 144 · Ut2
1 6 2 3 4 U − 540 · U · U − 5832 · U t t , l 1728 · Ut3 l
(9) (10)
ilim is the slope limit value. In this case Ul = 0,78•10–5 ; Ut = 13,64•10–8 . Then i = −0,46•10–6 ; ri = −0,342•10–2 ; ilim = 0,85•10–2 . Thus ilim = 0.0085 which is greater than the slope value of the drains taken in the calculation. Transition mode will change to turbulent mode in the area of the connection point between the non-swamp drain and the collector. The unit is calculated separately and depends on the unit design. This issue is not covered in this article. A similar calculation was carried out for the trapezoidal and composite drain cross sections. The calculation results are presented in Table 3.
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Table 3. Hydraulic calculation results №
Cross-sectional shape
Water depth in the drain, m
Reduction of groundwater table in relation to the base of the ballast prism
Drainage cross-sectional area, m2
1
Triangular
0.83
0.37
1.44
2
Trapezoidal
0.53
0.57
1.63
3
Compound
0.82
0.38
1.25
4 Results Analysis The calculation results show that the water level reduction with triangular and composite drains is almost the same but the material consumption of the filling material is 15% higher in the case of triangular drainage. The water level reduction in the trapezoidal drain is 50% higher as compared to the composite profile but the material consumption is also 30% higher. The trapezoidal cross-section stands out in terms of water level reduction in the earth bed. In terms of load-bearing capacity increase the efficiency of all three profiles will differ slightly. In the following it is useful to compare from an economic point of view the increase in the load-bearing capacity of the subgrade by using trapezoidal trapezoidal drainage for this purpose with the most common method currently in use. In this case, as indicated above, there is no need to build a sub-cuvette drainage. Such work is carried out at SPSURT in the Railway Track Department.
5 Conclusion The drainage system has a low permeability and a low drainage coefficient. With drain spacing comparable to the ditch spacing a reduction in the water level in the road bed cannot be achieved within the required time frame. Effective drainage in low permeability soils with a simultaneous increase of its bearing capacity can be provided by a continuous drainage system placed directly in the subgrade. This ensures that the groundwater level in the subgrade is lowered within the required time frame. At present a methodology has been developed for the hydraulic design of non-swamp drains with different crosssectional shapes to calculate their water depths in the watershed cross-sections. It also allows calculating the spacing of collectors located across the subgrade serving to drain water from the drains. In order to compare the efficiency of drainage in the earth bed by means of non-swamp drains of different cross-sectional shapes under otherwise equal conditions (slope, distance between collectors, same gravel size and height of drains) their hydraulic calculation has been carried out. The calculation has shown that from a hydraulic standpoint the trapezoidal cross-section is preferable. The Department of Railway Track at SPSURT is currently working to establish the most effective way of increasing the load-bearing capacity of the subgrade from an economic perspective. The use of a no-flow drainage system is also considered.
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References 1. Konon, A., Petriaev, A.: Influence of geosynthetics on the oscillations amplitude of railway subgrade. In: 11th International Conference on Geosynthetics, vol. 2, pp. 990–998 (2018) ˇ 2. Zaytsev, A., Petryaev, A., Cerniauskaite, L.: Environmental sustainability through the geosynthetics application at of the subgrade on weak foundation soils. In: 12th International Conference on Intelligent Technologies in Logistics and Mechatronics Systems, ITELMS 2018, pp. 299–303 (2018) 3. Petriaev, A., Konon, A., Solovyov, V.: Performance of ballast layer reinforced with geosynthetics in terms of heavy axle load operation. Procedia Eng. 189, 654–659 (2017). https://doi. org/10.1016/j.proeng.2017.05.104 4. Kozlov, I.: Stress–strain state of railway embankment with the use of mineral geoecoprotective material. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 287–293. Springer, Singapore (2020). https://doi.org/10.1007/ 978-981-15-0450-1_29 5. Ganchits, V., Chernyaev, E., Cherniaeva, V., Panchenko, N.: Special aspects of railway roadbed stability calculations after its strengthening by electrochemical treatment. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 389–396. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_40 6. Blazhko, L.S., Shtykov, V.I., Chernyaev, E.V.: Enhancement of subgrade’s bearing capacity in low water permeable (clay) soils. Procedia Eng. 189, 710–715 (2017). https://doi.org/10. 1016/j.proeng.2017.05.112 7. Shtykov, V.I., Ponomarev, A.B.: The influence of sand composition on railway track pumping and deformation in winter period. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 13–18. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_2 8. Rusanova, E.V., Abu-Khasan, M.S., Egorov, V.V.: The complex evaluation of geo ecoprotective technologies taking into account the influence of negative temperatures. In: IOP Conference Series: Materials Science and Engineering. International science and technology conference “FarEastCon-2019”, p. 022042 (2020) 9. Sychova, A., Sychov, M., Rusanova, E.: A method of obtaining geonoiseprotective foam concrete for use on railway transport. Procedia Eng. 189, 681–687 (2017). https://doi.org/10. 1016/j.proeng.2017.05.108 10. Shershneva, M., Sakharova, A., Kozlov, I.: Geoecoprotective screens for road construction and operation in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 347–356. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_36 11. Shershneva, M., Sakharova, A., Anpilov, D., Eremeev, E.: Efficiency evaluation of the use of mineral technogenic substances in geoecoprotective technologies of transport construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 357–367. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0454-9_37 12. Sakharova, A., Kozlov, I., Baydarashvili, M., Petriaev, A.: Reduction of negative impact on the geoenvironment using silica sol in road construction. In: Web of Conferences, vol. 265, p. 06002 (2019). https://doi.org/10.1051/matecconf/201926506002 13. Shtykov, V.I., Blazhko, L.S., Ponomarev, A.B.: The performance of geotextile materials used for filtration and separation in different structures as an important part of geotextiles requirements. Procedia Eng. 189, 247–251 (2017). https://doi.org/10.1016/j.proeng.2017. 05.039
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14. Ponomarev, A.B., Konyushkov, V.V., Lushnikov, V.V., Kirillov, V.M.: Impact of non-cavity drainage systems on the bearing capacity of the roadbed. Water Ecol. 4(80), 47–53 (2019). https://doi.org/10.23968/2305-3488.2019.24.4.47-53 15. Shtykov, V.I., Ponomarev, A.B.: Hydraulic calculation of non-cavity triangular cross-section drains in transient regime. Proc. Petersburg Transp. Univ. 16(3), 523–532 (2019). https://doi. org/10.20295/1815-588X-2019-3-523-532
Hydraulic Design of a Component Cavity-Free Drains at Transient Water Flow in the Aggregate Valeriy Shtykov
and Andrey Ponomarev(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. Scope: To develop a method for the hydraulic calculation of composite cavity-free drains in transient mode. Previously, a methodology was proposed for the hydraulic calculation of composite cavity-free drains, but only in the laminar regime, which takes place in a finer aggregate than the crushed stone used in the ballast prism. Methods: The cavity-free drainage is used in agriculture, engineering flood protection and environmental pollution control systems. There are proposals for effective dewatering and increasing the bearing capacity of railway and road beds to use continuous drains with different shapes of live cross-sections, including a composite profile. By replacing the composite profile of the live section with an equivalent rectangular one, the resulting differential equation is reduced to the previously solved analogous equation for the rectangular cross section. Results: Calculated dependencies for determining the water depth in the composite cavityfree drainage system and the spacing of the collectors in the case of two-way drainage inlets have been obtained. Practical relevance: The proposed calculation method will make it possible to justify the sizing of cavity-free drains, leading to a rational use and saving of the drainage fill material. Keywords: Cavity-free drain · Hydraulic calculation · Drainage · Earthen bed · Composite cross-section
1 Introduction The cavity-free drainage is used in agriculture, engineering flood protection and environmental pollution control systems. Research is being carried out to find effective solutions to increase the load-bearing capacity of the subgrade for heavy trains [1–5], so railways are interested in cavity-free drainage. For example, the load-bearing capacity of two cavity-free drains of rectangular cross-section in an earth bed increases by 1.7 to 1.8 times compared to the standard design [6]. This drainage is also unaffected by sub-zero temperatures, and research is currently underway to develop technical solutions specifically for cold regions [7–10]. The composite profile is technologically advanced and can be laid in one pass by a rotary excavator with an extender. Previously, the hydraulic calculation of a composite cavity-free drains has been carried out [11], but only for the laminar regime, which is characteristic of the fine aggregate of cavity-free drains. However, as calculations have shown in coarse-grained materials, which include ballast, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 324–333, 2022. https://doi.org/10.1007/978-3-030-96380-4_36
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the mode of motion is transient. In contrast to open flows, in the case of filtration in coarse-grained materials, the transient regime has a rather large range of Reynolds number variations. This significantly complicates the original differential equation, changes the shape of the depression curve and requires the introduction of a factor to account for this, as was done for the trapezoidal cross section [12]. A separate problem is that of the bearing capacity for poorly permeable, clayey soils [13, 14], where the use of cavity-free drainage is most effective.
2 Research Method Consider the most promising case with a two-way inflow into a collector, which in this case is located across the earth bed. Figure 1 shows a cross-section of a composite cavity-free floor drain.
Fig. 1. Cavity-free drain of a composite cross-section
Let us write down the equation of motion of water in differential form for an arbitrary section 1-1 of a drain (Fig. 2), the head (depth) of which is equal to h. q·s q · s2 dh , (1) = ±i − + ds Kl · ω Kt · ω2 where s – is the distance from the origin to the live section in question; ω – is the cross-sectional area of the cavity-free drain in the cross-section in question ω = b h + mb (h − a)2 ; b – the width of the cavity-free drain along the base; a – the height of the rectangular part of the composite profile of the drain; h – is the depth of the water at the cross section in question; m – slope ratio; Kl, Kt – the filtering factors of the non-turbulent drain fill, respectively in laminar and turbulent modes; i – slope of the drain bottom (+ sign for the left-hand side of the drain and - sign for the right-hand side); q – specific inflow to the drain. Equation (1) in this form does not reduce to any ordinary differential equation. Previously, a similar problem occurred when we considered the hydraulic calculation of a cavity-free drain with a triangular cross-section [15]. Replace the live section of the composite section with an equivalent rectangular section with width be, in which be is called the equivalent width of the rectangular cross-section.
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Fig. 2. Longitudinal section of a composite cross-section drain.
In this. case ω = bh + m(h − a)2 = be · h,
(2)
where be = b +
m · β(h0 − a)2 h0
(3)
Here h0 – water depth in a cavity-free drain at the start of the coordinate axes h and s. The depth of the filtration flow along the non-cotton drain and hence the magnitude be varies. It is necessary to determine be for some average depth along the length of the cavity-free drain. As in [12], this is taken into account by the factor β. The value of the factor β, which takes into account the effect of replacing the composite cross-section by an equivalent rectangular cross-section in area, can be obtained by using the exact solutions for both cross-sections. In doing so, ensure that the live cross-sectional areas, collector spacing and maximum depths in the cavity-free drains are equal. The calculation diagram is shown in Fig. 3.
Fig. 3. Calculation scheme for cavity-free composite drains
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The initial differential equation for both cross-sections in the case of cavity-free drains has the same form:
dh q =− s ds K ·ω
(4)
In the case of a compound cross-section ω = b · h + m(h − a)2
(5)
In the case of a rectangular cross-section ω = be · h;
(6)
Where be = b +
m · β(h − a)2 . h
(7)
In formulas (4–7) h is the water depth in the live section under consideration; s is the distance from the section with maximum depth to the one under consideration; m – slope factor; q’ – specific inflow to the drain; K is the aggregate filtration factor; ω is the cross-sectional area. In order to obtain an exact solution for the compound section, substitute in Eq. (4) instead of ω its expression according to (5). Solve and divide the variables
q dh =− s. ds K · b · h + m(h − a)2 q 2 2 −b · h + m · h − 2m · h + m · a dh = − s · ds. K
(8)
(9)
Solve Eq. (9) with respect to h and then substitute the limits of change for h and s. The result is L K 2 (10) = (h0 − a) 3b(h0 + a) + 2m(h0 − a) 2 3q Where L is the length of the cavity-free drain or the distance between the collectors. The exact solution of the equation for a slopeless cavity-free drain of rectangular crosssection is known:
K h20 − a2 be L = . (11) 2 q However, be = b +
m · β(h0 − a)2 h0
(12)
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Substitute in Eq. (11) its expression for (12) instead of be . The result is:
2 K h0 − a2 L m · β(h0 − a)2
= b+ 2 h0 q
(13)
Equate the right-hand sides of Eqs. (10) and (13) and solve the resulting dependence with respect to β
K h20 − a2 m · β(h0 − a)2 K b+ = (h0 − a) 3b(h0 + a) + 2m(h0 − a)2 (14) h0 q 3q The solution results in the following relationship for β β=
2h0 3(h0 + a)
(15)
Equation (1) is thus reduced to the following form: q·s q2 · s 2 dh = ±i − + ds Kl · be · h Kt2 · b2e · h2
(16)
In [15] the solution of a similar equation has been considered for a cavity-free drain of triangular cross-section, but with a one-sided inflow into the reservoirs. For bottom slopei > 0 the following solution for determining h0 was obtained t 3 − i · t 2 + U · t + U (1−F1 ) t l k
k k h0 = L1 (tk − K1 )(1−3F1 ) π 2tk + K1 − i M (17) − arctg · exp − √ √ N1 N1 2 Where tk =
hk L1 ,
F1 =
K12 2 3K1 −2K1 ·i+Ul
,
Ul Ut + (1 − 3F1 ) 2 K1 K1 N1 = 4 K12 + Ul − (K1 + i)2 ,
M = (1 − F1 )
1 P i K1 = − 2r · sh Arsh 3 3 3 r 2 i Ul r= − 3 3
(18) (19) (20) (21)
(22)
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3 i i · Ul Ut P=− + + . 3 6 2
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(23)
To calculate the right-hand side of a drain with reverse bottom slope (i < 0) the sign in front of the «i» is reversed in the formulas containing the bottom slope. With this in mind, rewrite the dependencies (17–23): t 3 + i · t 2 + U · t + U (1−F1 ) t l k
k k h0 = L2 (tk − K1 )(1−3F1 ) π 2tk + K1 + i M (24) − arctg · exp − √ √ N1 2 N1 Where tk =
hk L2 ,
F1 =
K12 , 3K12 +2K1 ·i+Ul
(25)
Ul Ut + (1 − 3F1 ) 2 , K1 K1 N1 = 4 K12 + Ul − (K1 − i)2 ,
M = (1 − F1 )
i 1 P K1 = − − 2r · sh Arsh 3 , 3 3 r 2 i Ul r= − , 3 3 Ut i 3 i · Ul + . P=− − − 3 6 2
(26) (27) (28)
(29) (30)
3 Research Results Look at an example to illustrate the calculation. Given: The fill material of a cavity-free drain is represented by a crushed stone of fraction 5–20 mm: n = 0.48; m = 1.5; b = 0.4 m; a = 0.4 m; L1 = 60 m; hk = 0,05 m; q = 0.515 * 10–4 m2/c; i = 0.003; Kl = 0.803 m/s; Kt = 0.062 m/s. 1. Set h0 to a certain value, e.g. 0.83 m, as an approximation. 2. At a given value of h0 determine the parameters by formulae (17–23) tk =
hk L1
=
be = b +
0.05 60
= 0.833 · 10−3 , β =
2h0 3(h0 +a)
=
2 · 0.83 = 0.45, 3(0.83 + 0.4)
m · β(h0 − a)2 1.5 · 0.45(0.83 − 0.4)2 = 0.55 m = 0.4 + h0 0.83
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Ul =
q 0.515 · 10−4 = = 1.166 · 10−4 , Kl · be 0.803 · 0.55
q2 0.5152 · 10−8 = = 2.31 · 10−6 , 0.0616 · 0.552 Kt2 · b2e 2 Ul 1.166 · 10−4 i 0.003 2 r= = = 0.616 · 10−2 , − − 3 3 3 3 3 Ut 0.003 3 0.003 · 1.166 · 10−4 2.31 · 10−6 i i · Ul + =− + P=− + + 3 6 2 3 6 2 Ut =
= 1.212 · 10−6 , 1 1.212 · 10−6 0.003 −2 −2 − 2 · 0.616 · 10 · sh Arsh K1 =
3 = −0.964 · 10 , −2 3 3 0.616 · 10 F1 =
K12 3K12
− 2K1 · i + Ul
2 −0.964 · 10−2
=
2 3 −0.964 · 10−2 + 2 · 0.964 · 10−2 · 0.003 + 1.166 · 10−4 = 0, 205, M = (1 − F1 ) ·
Ul Ut (1 − 0.205) · 1.166 · 10−4 + (1 − 3F1 ) · 2 = K1 −0.964 · 10−2 K1
2.31 · 10−6 −2 + (1 − 3 · 0.205) ·
2 = −0.004 · 10 , −0.964 · 10−2 2 2 2 −2 −4 + 1.166 · 10 N1 = 4 K1 + Ul − (K1 + i) = 4 −0.964 · 10 2 + −0.964 · 10−2 + 0.3 · 10−2 = 7.941 · 10−4 ,
1−F
3 1 t − i · t 2 + Ul · tk + Ut 2t + K − i π M k k
h0 = L1 · exp − √ − arctg k √ 1
1−3F 2 N N 1 1 1 tk − K1 0.8333 · 10−9 − 0.3 · 10−2 · 0.8332 · 10−6 + 1.166 · 10−4 · 0.833 · 10−3 + 2.309 · 10−6 (1−0.205) = 60
(1−3·0.205) 0.833 · 10−3 + 0.964 · 10−2 −2 0.004 · 10 3.14 2 · 0.833 · 10−3 − 0.964 · 10−2 − 0.3 · 10−2 × exp √ − arctg = 0.84 m. √ 2 7.941 · 10−4 7.941 · 10−4
Take h0 = 0.84 m. As it follows from previous studies, the maximum water depth in a non-capital drainage pipe hmax (Fig. 2). and consequently the head in the drainage pipe will be at a
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cross-section located at distance smax from the origin of the axis s. The value of smax is calculated according to the formula smax = h0
(tmax − K1 )(1−3F1 ) 3 2 − i · tmax + Ul · tmax + Ut tmax
t smax
π 2tmax + K1 − i M , − arctg · exp √ √ (1−F1 ) N1 2 N1
hmax = U2il 1 + 1 + 4i ·
Ut Ul2
(31) max
To determine hmax first use formula (21) to calculate tmax, then use dependence (20) to calculatesmax. The calculation results in tmax = 0.0533; hmax = 0.87 m; smax = 16.3 m. To calculate the right-hand side of the drain, we will use the equations we rewrote earlier, taking into account the change of sign in dependencies (13–19) before the slopei to the reverse. By performing the calculation for the right-hand side of the drain in the above sequence, we obtain that L2 = 46.5 m. The distance between the collectors is therefore L = 60 + 46.5 = 106.5 m. In conclusion, it can be seen that with the above example we have a transitional regime along almost the entire length of the cavity-free drain, except for a small section at the start of the coordinates. The slope of the drain must not exceed the slope calculated according to the following formula. U2 1 i i = −2ri · ch Arch 3 − l , 3 12Ut ri where ri = − 23 Ul +
Ul4 ; 144Ut2
i =
1 1728·Ut3
Ul6 − 540 · Ut2 · Ul3 − 5832 · Ut4 .
Substituting Ul and Ut into these formulas we obtain i = 0.125. Thus, with a bottom slope of more than 0.125, the flow regime in a cavity-free drain will be turbulent with the above input data. Such slopes on railways and roads are unacceptable. In the middle part of the drain, where depth is maximum and veloc ties are minimum, the flow regime will be laminar, with negligible head loss.
4 Conclusion Compared to tubeless, cavity-free drainage has several advantages: it has a high water holding capacity, it is environmentally friendly and is not affected by sub-zero temperatures. This is why in recent years it has found increasing use in land reclamation as well as in hydraulic engineering construction. The cavity-free drainage is able to ensure efficient drainage of the earth bed in poorly permeable soils, while increasing its bearing capacity by 1.7 to 1.8 times. To date, hydraulic calculations have been carried out for floor drains with different cross-sectional shapes, including composite ones, but only for laminar conditions. However, calculations have shown that even at medium aggregate coarseness, the mode of motion is transient over the predominant part of the length of
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the cavity-free drain, which complicates the solution of the original differential equations. By replacing the composite shape of the live section with an equivalent rectangular shape, the differential equation is reduced to the previously solved analogous equation for the rectangular cross section. Calculated dependencies have been derived to determine the water depth in a composite profile drain and the distance between the collectors for two-way inlets of drains laid with a gradient. The calculation has shown that with the aggregate grain size adopted in the example the transition regime takes place (except for a small section with maximum depths and negligible velocities) on the predominant part of the drain length at gradients less than 0.125. The gradients of the roadbed on railways and motorways do not reach the specified value at any point.
References 1. Kozlov, I., Ivanova, K., Kozlov, D., Govorov, V., Shekhtman, E.: Geoecological aspects of 27 tons axle load innovative cars influence on the railway roadbed. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 149– 156. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_15 2. Kolos, A., Romanov, A., Govorov, V., Konon, A.: Railway subgrade stressed state under the impact of new-generation cars with 270 kN axle load. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 343–351. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_35 3. Kozlov, I.: Stress–strain state of railway embankment with the use of mineral geoecoprotective material. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 287–293. Springer, Singapore (2020). https://doi.org/10.1007/ 978-981-15-0450-1_29 4. Konon, A.A.: Ensuring of railway ballast and subballast bearing capacity in terms of heavy axle load train operation. In: Proceedings of the 10th International Conference on the Bearing Capacity of Roads, Railways and Airfields, BCRRA, pp. 1921–1924 (2017). https://doi.org/ 10.1201/9781315100333-272 5. Petriaev, A.V.: The impact of heavy freight train on the roadbed. In: Proceedings of the 10th International Conference on the Bearing Capacity of Roads, Railways and Airfields, BCRRA, pp. 1905–1909 (2017). https://doi.org/10.1201/9781315100333-270 6. Blazhko, L.S.: Enhancement of subgrade’s bearing capacity in low water permeable (clay) soils. Procedia Eng. 189, 710–715 (2017). https://doi.org/10.1016/j.proeng.2017.05.112 7. Bogomolova, N., Milyushkan, Y., Shkurnikov, S., Bushuev, N., Svintsov, E., Anisimov, V.: Features of engineering surveys in areas of permafrost prevalence by the example of the project “northern latitudinal way.” In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 215–221. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_23 8. Bogomolova, N., Bryn, M., Nikitchin, A., Kolos, A., Romanov, A.: The study of railway embankment deformations in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 223–229. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_24 9. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39
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10. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 11. Shtykov, V.I., Yanko, Yu.G.: Hydraulic calculation of non-cavity complex cross-section drains. Bull. Sci. Res. Results 2021(1), 33–49 (2021). https://doi.org/10.20295/2223-99872021-1-33-49 12. Shtykov, V.: Hydraulic analysis of a sloped trapezoidal non-cavity drain improved by a pipe drainage. Transp. Res. Procedia 54, 768–774 (2021) 13. Klemyatsionok, P., Kolmogorova, S., Kolmogorov, S.: Compression curves’ extrapolation to high pressures for soft clay soils. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 233–238. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_25 14. Kolos, A., Romanov, A., Shekhtman, E., Akkerman, G., Konon, A., Kiselev, A.: Bearing capacity of high embankment clay soils in terms of heavy axle load operation. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 403–412. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-04501_42 15. Shtykov, V.I., Ponomarev, A.B.: Hydraulic calculation of non-cavity triangular cross-section drains in transient regime. Proc. Petersburg Transp. Univ. 16(3), 523–532 (2019). https://doi. org/10.20295/1815-588X-2019-3-523-532
Investigation of Framework Behaviour Depending on the Selected Material in Permafrost and Seismic Conditions Tatiana Belash
and Mikhail Belashov(B)
Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., Saint Petersburg 190031, Russian Federation
Abstract. Difficult construction conditions arise in areas of combined permafrost and high seismic activity. The difficulties do not only arise in the selection of foundations and structural substrate but also in adopting the appropriate structural building system being very varied. Frame systems are known to be the most common in the construction of buildings, with significant advantages. These systems, however, have serious drawbacks most pronounced during earthquakes in the form of damage to frame joints. The article assesses the earthquake resistance of the framework with permafrost soils in its base. Five-story frame buildings made of reinforced concrete, metal and wood were selected for the study. Permafrost soils are represented by loams. Soil thawing has been found to have an effect on the earthquake resistance of the frame. A steel frame was found to be the most stable of the frame types examined. The stress-strain state of the different frame types, however, varies in the process of soil thawing, indicating the need to provide for monitoring of the building structures and, if necessary, to apply additional structural measures to increase their seismic resistance. Keywords: Frames · Reinforced concrete · Metal · Wood · Permafrost · Seismic
1 Introduction Most of the Russian Federation is known to be located in areas affected by permafrost, which accounts for some 60–65% of the total area of the country (Fig. 1) [1]. Furthermore, some of these areas are located in zones of seismic activity, which seriously complicates the “building situation” in the region. Also, these areas are rich in natural resources and as a consequence have long been the subject of interest from various industrial sectors: oil and gas, mining that in turn provide the work front for the housing and construction sector needed to build and maintain infrastructure around industrial enterprises [2]. The problems of earthquake-resistant construction on permafrost were addressed by D.A. Sergeev, Y.A, Shishkov, V. P. Solonenko, V. A. Kharitonova, S. I. Grib, Matson R. Wolf K., Daniel J. [3], V.P. Melnikov, A.M. Tsarev [4], Pender M.J. [5], C. Klimov [6], A. Shelman [7] A.M. Uzdin [8], T.V. Ivanova [9] and others. It is known that construction in permafrost can be carried out according to two principles. The first principle is the preservation of permafrost. The second is to ensure © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 334–342, 2022. https://doi.org/10.1007/978-3-030-96380-4_37
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Fig. 1. Permafrost distribution in the Russian Federation SOURCE: http://www.sib-science.info/ ru/institutes/merzloty-02102020
the thawing of the ground during construction and during the operation of the building or structure. One of the options for preserving the permafrost basement is to detach the building from the ground by creating a gap between the ground and the first floor, called a ventilated basement (Fig. 2).
Fig. 2. A ventilated basement. SOURCE: https://uralpolit.ru/article/yanao/11-01-2018/128218
Another well-known option involves artificially cooling the soil to ensure its natural state. The essence of this method is shown in Fig. 3.
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Fig. 3. Thermostabilizing system of GET type: 1 - evaporator part, 2 - condenser part, 3 circulation accelerator [10].
II principle of construction on permafrost soils, permitting thawing of the frozen ground, so the structure must be adapted to uneven deformations of the foundation. In accordance with the regulatory document SP 25.13330.2012 “Foundations and basements on permafrost soils. Revised edition of SNiP 2.02. 04-88”, this can be achieved in the following ways: Increasing the strength and spatial stiffness of the building achieved by the floor, reinforced concrete and reinforced brick belts; strengthening the structures by reinforcing and grouting the prefabricated elements of the slab; strengthening of the basement-foundation part, uniform arrangement of through transverse walls as well as cutting extended buildings into separate compartments with the length up to one and a half building width; increase of pliability and flexibility of the structure by cutting its structures with expansion joints, arrangement of hinged joints of individual structures with the possibility of their leveling and alignment of technological equipment. Nevertheless, the vast majority of civil buildings located in areas with stable permafrost soils are built according to principle I [11]. Cases are also known of the so-called mixed-use principle of building operation. The foundations of buildings built on frozen ground in Yakutsk, for example, with pillar foundations have gradually thawed due to changes in the climate, but the settlement of the foundations proved to be acceptable for the building structure, and thus buildings built on principle I are gradually, due to permafrost degradation, being exploited on principle II. It should be noted that in accordance with the rules of seismic construction “Construction in seismic areas: the actualized edition of SNIP II-7-81 *”, as well as the norms on the design of foundations on permafrost soils, in situations of simultaneous effects of these factors, the economic feasibility should apply principle I, as in this case, you may reduce seismicity of the site at 1 point, which in turn would reduce the seismic load on the building several times. Construction principles can be applied to all kinds of structural building systems such as frame, wall, block, combination, etc. In earthquake-prone regions on permafrost soils, frame buildings of all kinds have a special place in construction, with frame buildings made of reinforced concrete, metal or timber structures. The structural solution of the framework and especially its nodal joints has a significant impact on its stability in the joint manifestations of permafrost and seismic vibrations. Moreover, permafrost itself may be thawed at different times during the year under the influence of climatic or
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operational influences [12–16]. The framework enters a complex stress-strain state in the event of a seismic event. The need then arises to assess the behaviour of the framework under such influences. This article is devoted to the study of these issues.
2 Research Methods Three models of a five-storey residential building with a frame made of reinforced concrete, metal, and timber were selected for the first phase of the study. The wall filling in the reinforced concrete and steel frames was adopted as brickwork with a masonry thickness of 380 mm, and 200 mm thick pine CLT panels were adopted as filling for the timber frame. Reinforced concrete frame is made of concrete B25, columns section 400 × 400 mm, beams have T-section 400 × 400 mm, the thickness of the floor 180 mm. The steel frame consists of I-columns 35K2 and I-beams 35B1, the overlap is monolithic reinforced concrete 180 mm thick. The wooden frame is made of glued pine beams 300 × 300 mm. Pillar foundation, with an accepted depth of 4 m. Loam with the characteristics shown in Table 1 and the types of soil bases shown in Table 2 were selected as the substrate. When calculating the frame, the stair-lift unit was not taken into account. A total of 12 frame building models were built, the same layout but with different materials and different degrees of thawing of the permafrost base. Figure 4 shows a general view of one of the design models (Fig. 5), namely the reinforced concrete frame on the base conventionally designated as type 3. As a result of the second stage, the adopted models were calculated directly in the SCAD calculation complex using the finite element method in accordance with the earthquake design standards for a design earthquake of magnitude 9.
Fig. 4. General view of the reinforced concrete frame model on Type 3 base Performed by the author
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Fig. 5. Model of a 5-story reinforced concrete frame building. Performed by the author
Table 1. Characteristics of soils adopted in the model Soils Layer name
Modulus of elasticity, t/m2
Temperature, C
Frozen soil
765000
−6
Layer I
51000
0
Layer 2
370000
−2
Layer 3
560000
−4
Table 2. Types of soil bases Types of soil bases Type 1 Layer name
Layer thickness, m
Frozen soil
50
Type 2 Layer name
Layer thickness, m
Layer I
4
Layer 2
4
Layer 3
4
Frozen soil
38
Type 3 Layer name
Layer thickness, m (continued)
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Table 2. (continued) Types of soil bases Type 1 Layer name
Layer thickness, m
Layer I
8
Layer 2
4
Layer 3
4
Frozen soil
34
Type 4 Layer name
Layer thickness, m
Layer I
12
Layer 2
4
Layer 3
4
Frozen soil
30
3 Results During the first phase of the study of the earthquake resistance of frame buildings made of different materials, the influence of such factors as permafrost and seismic activity was assessed. Alternatives with varying degrees of thawing of the soils were also considered. The calculation results are summarized in Tables 3, 4, 5 and 6. Figure 6 shows an explanation of Table 3, namely the points locations on the plan, at the level of the fifth-floor cover, for which the frame movements were assessed.
Fig. 6. Order of points in the fifth floor coverage level for which frame movements were assessed Performed by the author
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Displacements of the frame nodes in the XOY axes in the level of coverage, mm Wooden frame Points on the plan
1
2
Steel frame 3
4
1
2
Reinforced concrete frame 3
4
1
2
3
4
Type of basement Type 1
21.59
15.23
15.23
21.59
101.89
101.89
102.14
102.14
156.06
156.1
159.29
159.29
Type 2
22.2
15.72
15.72
22.2
102.69
102.7
103.11
103.11
164.35
164.35
167.29
167.29
Type 3
23.25
16.73
16.73
23.25
105.3
105.3
106.13
106.13
181.12
181.12
184.6
184.6
Type 4
24.69
17.9
17.9
24.69
106.42
106.42
107.29
107.29
201.79
201.79
205.54
205.54
Table 4. Maximum stress Qy in the rod elements of the frame Maximum stress Qy in frame rods (ton-force) Wooden frame
Steel frame
Reinforced concrete frame
Type of basement Type 1
3.45
8.08
28.26
Type 2
5.4
10.05
29.37
Type 3
6.23
16.34
30.89
Type 4
9.08
16.61
34.27
Table 5. Maximum stress N in rod elements of the frame Maximum stress N in the rod elements of the frame (tf) Wooden frame
Steel frame
Reinforced concrete frame
Type of basement Type 1
5.39
46.31
78.77
Type 2
5.39
44.51
77.98
Type 3
5.59
42.85
81.56
Type 4
5.86
43.35
90.23
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Table 6. Total seismic load (maximum of three directions) Total seismic load, kN (maximum of three directions) Wooden frame
Steel frame
Reinforced concrete frame
Type of basement Type 1
2332
5346
11887
Type 2
2460
5368
16450
Type 3
2672
5417
22629
Type 4
3012
5512
37002
4 Analysis of Results According to the analysis results of the obtained data, it was established that according to a number of parameters, such as stresses, total seismic load, it may be concluded that wooden and steel frameworks are preferable for construction in permafrost and seismic activity, due to their comparatively low weight relative to reinforced concrete structures, they are less susceptible to seismic effects. In this study, wooden and steel frames showed their effectiveness in a number of parameters and in the process of soil thawing. Displacements, normal stresses in rod elements and total seismic load during thawing changed slightly upward (by 14%, 8.71%, 29.16% respectively for the wood frame and 4.46%, −6.39%, 3.11% respectively for the steel frame), while for the reinforced concrete frame these changes were 29.3%, 14.55%, 211.28% respectively. The data obtained were determined based on the ratio of parameters for type 4 soil with type 1 for each material separately. However, the relative changes of transverse forces in the rod elements were 163% for wood framing, 88% for steel framing and 21% for reinforced concrete framing, which may already be dangerous for wood and steel frames. Nevertheless, at this stage of the study, steel remains the most preferred material for the frame. The progression of permafrost thawing is shown to increase the seismic load in the reinforced concrete frame, negatively affecting the load-bearing capacity of the frame.
5 Conclusion 1. The frame system is one of the most common building systems in the world, due to its ability to be used for buildings and structures for different purposes and with different building materials, which in turn allows it to be used widely under different natural and climatic conditions, including simultaneous seismic and permafrost conditions. 2. The behavior of the frame frame made of reinforced concrete, wood, steel as a result of simultaneous effects of seismic load and permafrost is assessed. 3. Each type of framework considered in the study is found to have its own character of stress-strain state change. Consequently, when building and designing in zones of simultaneous permafrost and seismic activity, it is imperative to consider both factors together and to take constructive measures to combat them.
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References 1. Porfiriev, B.N., Elisseev, D.O., Streletskiy, D.A.: Economic assessment of the impact of permafrost degradation induced by climate change the road infrastructure resilience in the Russian Arctic. Bull. Russian Acad. Sci. 89(12), 1228–1239 (2019). https://doi.org/10.31857/ S0869-587389121228-1239 2. Oroshina, S.S.: Permafrost soils thawing under buildings in Norilsk. Urban Constr. Archit. 8(2), 65–70 (2018). https://doi.org/10.17673/Vestnik.2018.02.11 3. Matson, R., Wolf, K., Yancey, D.: Influence of permafrost on seismic imaging in Alaska. In: SPE Arctic and Extreme Environments Conference and Exhibition (AEE 2013), pp. 76–103 (2013). https://doi.org/10.2118/166821-MS 4. Melnikov, V.P., Skvortsov, A.G., Malkova, G.V., et al.: Seismic studies of frozen ground in Arctic areas. Russian Geol. Geophys. 1(51), 136–142 (2010). https://doi.org/10.1016/j.rgg. 2009.12.011 5. Wotherspoon, L.M., Sritharan, S., Pender, M.J.: Modelling the response of cyclically loaded bridge columns embedded in warm and seasonally frozen soils. Eng. Struct. 32(4), 933–943 (2010). https://doi.org/10.1016/j.engstruct.2009.12.019 6. Amelchugov, S.P., Inzhutov, I.S., Semenov, M., et al.: A comparative analysis of foundation design solutions on permafrost soils. In: E3S Web of Conferences, vol. 110, p. 01019 (2019). https://doi.org/10.1051/e3sconf/201911001019. [in Russian] 7. Shelman, A., Tantalla, J., Sritharan, S., et al.: Characterization of seasonally frozen soils for seismic design of foundations. J. Geotech. Geoenviron. Eng. 140(7), 1 (2014). https://doi. org/10.1061/(ASCE)GT.1943-5606.0001065 8. Belash, T.A., Uzdin, A.M.: Effects of permafrost on earthquake resistance of transport facilities in the Baikal–Amur mainline area. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 79–95. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_9 9. Ivanova, T.V., Belash, T.A.: Earthquake resistance of buildings on thawing permafrost grounds. Eng. Constr. J. 1(93), 50–59 (2020). https://doi.org/10.18720/MCE.93.5 10. Ishkov, A.A., Anikin, G.V.: Determination of the optimal pitch between the evaporator pipes and the number of condenser blocks of the soil temperature stabilization system GET. Bull. Tyumen State Univ. Phys. Math. Model. Oil Gas Energy 6(21), 100–117 (2020). https://doi. org/10.21684/2411-7978-2020-6-1-100-117 11. Boyarintsev, A.V.: Representational analysis of the experience of building foundations on frozen soils. Bull. PNRPU. Constr. Archit. 10(1), 57–68 (2019). https://doi.org/10.15593/ 2224-9826/2019.1.06 12. Ran, Y., Li, X., Cheng, G.: Climate warming over the past half century has led to thermal degradation of permafrost on the Qinghai-Tibet Plateau. Cryosphere 2(12), 595–608 (2018). https://doi.org/10.5194/tc-12-595-2018 13. Inzhutov, I.S., Zhadanov, V.I., Nazirov, R.A., et al.: Research of permafrost soil thawing under the structural foundation platform. In: IOP Conference Series: Materials Science and Engineering, vol. 1, no. 456 (2018). https://doi.org/10.1088/1757-899X/456/1/012046 14. Delisle, G.: Near-surface permafrost degradation: how severe during the 21st century? Geophys. Res. Lett. (2007). https://doi.org/10.1029/2007GL029323 15. Benin, A.V., Gorodnova, E.V.: Geotechnical analysis of structural behaviour under complex geological engineering conditions. Procedia Eng. 189, 65–69 (2017). https://doi.org/10.1016/ j.proeng.2017.05.011 16. Nelson, F.E., Anisimov, O.A., Shiklomanov, N.I.: Climate change and hazard zonation in the circum-arctic permafrost regions. Nat. Hazards 26(3), 203–225 (2002). https://doi.org/ 10.1023/A:1015612918401.ISSN1573-0840.S2CID35672358
Mathematical Model for Assessing the Reliability of Water Supply Networks Elena Postnova
and Evgeniy Runev(B)
Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., Saint Petersburg 190031, Russian Federation
Abstract. A mathematical model for assessing the reliability of water supply networks, based on Markov random processes with a discrete set of states and continuous time (continuous Markov chains), is proposed in this paper. A marked-up graph of the states of the water supply network is constructed to analyze the model. Cauchy problem solution for a system of Kolmogorov differential equations with initial conditions is given. The application of this model to a real water supply network is demonstrated in this paper. The proposed modeling algorithm makes it possible to objectively assess the reliability of any water supply networks for the purpose of long-term prediction of their reliable condition and ensuring their serviceability for the entire period of their operation. Keywords: Mathematical model of reliability · Water supply networks · Pipeline failures · Markov chains · Matrix of intensities · Graph of water supply network states · Kolmogorov equations · Probability of no-failure operation
1 Introduction Water supply networks, like all technical service systems, must meet their primary purpose, namely, to successfully perform the function of supplying water to the consumer. The reliability of water supply networks is understood as the probability of performance of functions with preservation over time of values of technological indicators within the limits corresponding to operating conditions. Thus, the reliability of water supply networks depends not only on the duration of their operation, but also on their operating conditions. Examination and review of scientific work on reliability assessment of water supply networks has shown that the problem is relevant, especially in highly populated countries with large-scale pipeline systems with signs of deterioration and ageing. A great number of works, both research [1–3] and scientific [4–6], are devoted to the issues of pipeline reliability assessment. Particularly noteworthy is the work on modelling the operation of water supply networks [7–9]. One should note that in the above-mentioned works the modelling of water supply networks was based on empirical data: SP (standard procedure), RP (recursive processes), BM (Bayesian method), not providing an objective assessment of pipeline reliability. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 343–351, 2022. https://doi.org/10.1007/978-3-030-96380-4_38
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Reliability is an intrinsic property of the water supply network, so it is possible to objectively assess its condition only on the basis of experience in operating this or a similar system, using the methods of reliability theory and mathematical statistics. The modeling algorithm proposed in this paper is based on statistical data on damage to a real water supply network over several years of operation. An approach based on the application of Markov chains, taking into account the property of lack of consequence, is the most adequate for modelling the states of the water supply network [10, 11]. Specified property allows not only to determine the probabilistic characteristics of the water distribution network at a given point in time, but also to predict the future state of the water distribution network [12]. Plumbing networks are the most significant facilities in the water supply system, both in terms of scale and in their primary role of supplying water to consumers. Pipelines are also more prone to damage than other water supplies [13]. A water pipeline is a complex system of interconnected elements - pipes of different diameters and materials, pipe fittings and valves. A common pattern of damage (failures) is observed for most elements of water supply networks (pipes, fittings, valves) during the period of operation from their commissioning until they reach the limit state of operation. Water mains go through a running-in period () at the beginning of operation, during which damage occurs due to faulty installation and commissioning of the elements. This is followed by a period of normal operation (), during which time damage to components is relatively rare. The third period of operation () is characterized by an increase in the frequency of damage under the influence of aging and deterioration of elements, this period ends with the onset of the limiting condition of water supply networks. By this period, the old elements must be replaced with new ones in time, otherwise the water distribution network will become inoperable. Figure 1 shows a graph of the periods of condition of water supply networks during their operation.
Fig. 1. Plumbing network condition period schedule for the water supply network in operation: n(t) - number of damages (failures) over time t; t1 - operating time; t2 - period of normal operation; t3 - period of wear and aging
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Under most circumstances, damage to pipelines does not cause a complete stoppage of water supply to the consumer, although the specified parameters of the water supply network are impaired [14]. Damage elimination requires temporarily disconnecting the damaged section from operation to make repairs. The water supply to the section in question is then cut off completely for the duration of the repair, i.e. its serviceability is impaired. The recovery period of a damaged element depends on a number of incidental factors - type and location of damage, soil nature, pipe depth, pipe diameter and material, jointing type, technical capability and qualifications of the emergency crew. An assessment of the water supply network reliability was carried out using continuous Markov chains. For this purpose, a marked graph of water network states is constructed and a system of Kolmogorov differential equations with initial conditions is obtained. Consequently, the probabilities of failure-free operation of the water supply network states as a function of time were determined. The application of the reliability assessment model on the example of an existing water supply network is shown in this paper.
2 Materials and Methods Numerical determination of the water supply network reliability indicators requires finding the distribution laws of the random variables in question and establishing the parameters of the corresponding distributions. Water supply networks, as mass-maintenance systems, must have reliability indicators that characterize the properties of no-failure and repairability. These indicators are the failure rate and recovery rate of the pipelines. For evaluation of serviceability of elements of a water supply system we use an index - intensity of failures (parameter of the flow of failures) - λ, which characterizes the degree of reliability of pipelines at every moment of their operation, and in general form f (t) where f (t) and F(t) - probability density and distribution is expressed as: λ(t) = F(t) function of water-pipe network elements failures respectively. Water mains are rehabilitation systems, with elements being repaired as damage occurs. Therefore, to estimate serviceability of elements of water supply system we use index - intensity of recovery μ which characterizes the degree of repairability of pipelines at each point of time of their damage, and in general terms is expressed by the g(t) where g(t) and G(t) - probability density and function of water formula: μ(t) = 1−G(t) supply system elements recovery time distribution, correspondingly. Statistical sampling of water supply network elements (Table 1) suggests that the distribution of damages (failures) is subject to the Poisson law of distribution. The probability of occurrence i of an event over time t in the simplest event stream is determined by the Poisson distribution: Pn (i) =
(λ · t)i −λ·t ·e , i!
Where λ is the distribution parameter.
(1)
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It is also possible to assume, on the basis of statistical samples, that the restoration time of pipelines is subject to an exponential distribution law, with the distribution function of the restoration time of elements of the water supply network being of the form: t
G(t) = 1 − e− T , t ≥ 0.
(2)
Where T is the recovery time of the pipelines. Table 1. Values of failure and recovery rates of water supply network elements Intervals of pipe Number of diameters, damages, n d , mm % of the total number damages
Length of pipes, l, km
Time to rebuild pipelines, T, h
Values of failure and recovery intensities λ(t) · 10−4 1 (km · h)
μ(t) · 10−2 1 h
100 ÷ 125
1037 35
2080
4.0
0.37
0.25
150 ÷ 180
807 27
1622
5.0
0.29
0.20
200 ÷ 250
434 15
879
5.9
0.16
0.17
280 ÷ 350
351 12
703
6.7
0.13
0.15
400 ÷ 500
315 11
693
7.1
0.12
0.14
Total
2974 100
5975
Average recovery time 5.7
The validity of the hypothesis about the Poisson law of the distribution of element failure rate and the indicative distribution of pipeline recovery time was established using Pearson’s goodness-of-fit criterion. For this purpose, we used sample values of pipeline failure and restoration intensities, presented in Table 1. Pearson’s statistics for the corresponding sample distributions are of the form: 2 2 i) i) = 10.9; χμ2 = (μ(i)−μ = 9.8. Using quantile χ 2 − distributions for χλ2 = (λ(i)−λ λi μi m = 5 degrees of freedom and significance level, α = 0.05 we obtain χ 2 (0.05; 5) = 11.1. Analysis of comparison of quantiles of distribution χ 2 with values of Pearson statistics: χλ2 < χ 2 (0.05; 5); χμ2 < χ 2 (0.05; 5) allows us to conclude that there is no reason to reject the hypotheses about the Poisson law of distribution of element failure flow and indicative distribution of pipelines restoration time. By assuming a Poisson distribution of failure rates and an indicative distribution of recovery times, a Markovian random process model with a finite set of states and continuous time can be applied to assess the reliability of the water supply network.
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A marked state graph of the water network is adopted to describe a complex system with a discrete number of states, which is described by a system of Kolmogorov differential equations in matrix form: ˙ = · P(t) P(t)
(3)
with initial conditions: P(0) = (p0 (0), p1 (0), . . . , p25 (0)) where p0 (0) = 1, p1 (0) = p1 (0) = ... = p25 (0) = 0. Here pj (t) is the probability of the system being in a state Sj ; λij (t) is the intensity of transitions from state Si to state Sj ; j = 0, ..., 25 is the number of the system state. ˆ of the specified marked graph of the most probable states The matrix of intensities of the water supply network (Si , i = 0, ..., 5) has the form: ⎞ ⎛ α0 μ1 μ2 μ3 μ4 μ5 ⎜0 α μ μ μ μ ⎟ 1 2 3 4 5⎟ ⎜ ⎟ ⎜ ⎜ 0 μ1 α2 μ3 μ4 μ5 ⎟ Λ=⎜ (4) ⎟ ⎜ 0 μ1 μ2 α3 μ4 μ5 ⎟ ⎟ ⎜ ⎝ 0 μ1 μ2 μ3 α4 μ5 ⎠ 0 μ1 μ2 μ3 μ4 α5
Where the pipeline failure and restoration intensities depend on the range of pipe diameters and do not depend on time (homogeneity): λki = λi ; λki = μi , k = 0, ..., 25; i = 1, ..., 25. Figure 2 shows the state graph of the water supply network, consisting of five elements, when it is serviced by one repair team. Pipeline sections of certain pipe diameter intervals, as listed in Table 1, were taken as elements of the water supply network. It should be noted that the state graph is only for the most probable states of the water network, where one or two elements of the network are likely to fail at a given time [15]. The probabilities of occurrence of other pipeline conditions are so small that they can be neglected. The probabilities of the system states as a function of time were determined based on the state graph of the water supply network. Cauchy’s solution to the problem:
˙ = · P(t) P(t) , (5) P(0) = P0 Where P(0) = (1, 0, 0, .., 0, 0)t a vector of system probabilities at the initial moment of time, in matrix form has the form: P(t) = et · P0 . Here et is a matrix exponent. As a result, the probabilities of failure-free operation of the states of the water supply network depending on the operating time were determined.
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Fig. 2. The 26-element water network state graph: - the states of system
The probability of failure-free operation of the water supply network, according to the addition theorem for several events in which any of the elements is in a state of failure, is defined by the formula: P(t) = 1 −
25
1 − pj (t) , j=0
(6)
Where pj (t) is the probability of finding the water supply network in the state Sj . Non-operational structures, including water supply networks, also use composite reliability indicators to assess reliability, in particular the operational availability factor, being defined according to the formula: K(t) = k · P(t),
(7)
Where is the readiness coefficient, calculated from the results of statistical data (Table 1).
3 Results Representation of statistical processing results of selective intensity values of failures and pipeline restoration (Table 1) in the form of density functions of failure rate and restoration time distributions shows convergence of functions in the sense of uniform metrics, allowing to calculate probabilistic characteristics of the mentioned distributions. Figure 3 shows a graph of the density distribution of the pipelines’ failure flow, Fig. 4 is a graph of the distribution densities of pipelines recovery time.
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Fig. 3. The failure flow density graph
Fig. 4. The graph of recovery time densities for pipelines
Distribution of the failure probability of a water distribution network as a function of operating time is shown in Fig. 5.
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Fig. 5. The graph of probability of faultless operation of the water supply network depending on its operating time
4 Analysis of Results Analysis of the graphical dependence on operating time shows that the reliability of this water supply network is currently, in general, quite high, but over the time of its operation, it will decline due to the occurrence of damages, as well as due to wear and aging of its elements. Appropriate measures must be taken in a timely manner to ensure the reliability of this piping system during its operation in order to avoid a reduction in the serviceability of the water supply network. The main measures to ensure the reliable working condition of the water supply network include: – carrying out preventive measures (including routine work, inspections, checks of pipelines and equipment); – creation of a system of rehabilitation work (including a set of diagnostics in the form of control and measuring devices and equipment for detecting faults in water pipelines, organization of operational repair crews); – equipping repair crews with the necessary stock of parts and materials for the timely elimination of damage to pipelines and equipment. The application of various measures to ensure the reliability of the water distribution network depends on its internal properties and the performance of the pipelines, determined only on the basis of operational experience with this or a similar system, using the methods of reliability theory and mathematical statistics.
5 Conclusion Probabilities of failure-free operation of water supply network states as a function of operating time have been determined in the work. The proposed model on the example of the existing water distribution network makes it possible to objectively assess the reliability of water distribution systems in order to predict their reliability in the long term and ensure their serviceable condition for the entire period of operation.
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References 1. Pietrucha-Urbanik, K.: Failure analysis and assessment on the exemplary water supply network. Eng. Fail. Anal. 57, 137–142 (2015). https://doi.org/10.1016/j.engfailanal.2015. 07.036 2. Liu, W., Song, Z., Li, J.: Lifecycle operational reliability assessment of water distribution networks based on the probability density evolution method. Probabilistic Eng. Mech. 59, 103037 (2020). https://doi.org/10.1016/j.probengmech.2020.103037 3. Liu, W., Song, Z., Ouyang, M.: Lifecycle operational resilience assessment of urban water distribution networks. Reliab. Eng. Syst. Saf. 198, 106859 (2020). https://doi.org/10.1016/j. ress.2020.106859 4. He, R., Guoming, C., Guoxing, C.: Reliability assessment of repairable closed-loop process systems under uncertainties. ISA Trans. 104, 222–232 (2020). https://doi.org/10.1016/j.isa tra.2020.05.008 5. Pietrucha-Urbanik, K., Studzi´nski, A.: Qualitative analysis of the failure risk of water pipes in terms of water supply safety. Eng. Fail. Anal. 95, 371–378 (2019). https://doi.org/10.1016/ j.engfailanal.2018.09.008 6. Prieto, M.A., Murado, M.A., Curran, T.P.: Mathematical model as a standard procedure to analyze small and large water distribution networks. J. Clean. Prod. 106, 541–554 (2015). https://doi.org/10.1016/j.jclepro.2014.12.011 7. Vališ, D., Hasilová, K., Vintr, Z.: Reliability modelling and analysis of water distribution network based on back propagation recursive processes with real field data. Measurement 149, 107026 (2020). https://doi.org/10.1016/j.measurement.2019.107026 8. Jensen, H.A., Jerez, D.J.: A Bayesian model updating approach for detection-related problems in water distribution networks. Reliab. Eng. Syst. Saf. 185, 100–112 (2018). https://doi.org/ 10.1016/j.ress.2018.12.014 9. Sempewo, J.I., Kyokaali, L.: Prediction of the future condition of a water distribution network using a Markov Based approach: a case study of Kampala water. Procedia Eng. 154, 374–383 (2016). https://doi.org/10.1016/j.proeng.2016.07.495 10. El-Awady, A., Ponnambalam, K.: Integration of simulation and Markov chains to support Bayesian networks for probabilistic failure analysis of complex systems. Reliab. Eng. Syst. Saf. 211, 107511 (2021). https://doi.org/10.1016/j.ress.2021.107511 11. Robles-Velasco, A., Cortés, P., Onieva, L.: Prediction of pipe failures in water supply networks using logistic regression and support vector classification. Reliab. Eng. Syst. Saf. 196, 106754 (2019). https://doi.org/10.1016/j.ress.2019.106754 12. Wéber, R., Huzsvár, T., H˝os, C.: Vulnerability analysis of water distribution networks to accidental pipe burst. Water Res. 184, 116178 (2020). https://doi.org/10.1016/j.watres.2020. 116178 13. Sargaonkar, A., Kamble, S., Rao, R.: Model study for rehabilitation planning of water supply network. Comput. Environ. Urban Syst. 39, 172–181 (2013). https://doi.org/10.1016/j.com penvurbsys.2012.08.002 14. Gheisi, A., Naser, G.: Simultaneous multi-pipe failure impact on reliability of water distribution systems. Procedia Eng. 89, 326–332 (2014). https://doi.org/10.1016/j.proeng.2014. 11.195 15. Rusanova, E., Abu-Khasan, M., Sakharova, A.: The control waste of communal services. In: IOP Conference Series: Earth and Environmental Science, vol. 2019, p. 022109 (2019). https://doi.org/10.1088/1755-1315/272/2/022109
Analysis of Capital Investment and Operating Costs for the Construction of a Railway Junction Bypass Denis Kuklev(B)
and Natalya Kukleva
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Avenue, Saint Petersburg 190031, Russian Federation
Abstract. Congestion levels of public infrastructure in major railway junctions have now reached a level that requires the application of measures to increase capacity. Various factors make it extremely difficult, if not impossible, to use methods aimed at increasing the junctions’ capacity simply by increasing the track development. Amidst these circumstances, the authors of this article take a fundamentally different view of the issue related to the development of railway junctions. Existing rail junction devices should be relieved of some of their work, i.e. unloaded, thereby bringing their operating conditions to a normal, operational mode, reducing peak loads, thereby undoubtedly having a positive impact on the performance of the operation. A bypass line designed to allow transit cargo trains to pass alongside the existing intra-nodal track accommodating rail junctions could serve as such a measure. Undoubtedly, capital investment will be required for such an undertaking, and it will also incur additional operational (running) costs. In a conventional example of a railway junction, the authors present the structure and composition of possible capital investments and operating (running) costs. Following the analysis, it is highlighted the ones that will have the greatest impact when considering whether to determine the effectiveness of the bypass construction option for the railway junction, compared to the reinforcement of existing facilities. Keywords: Railway junction · Bypass line · Construction of bypass · Construction costs · Construction effect · Transit cargo trains · Capital investment · Operating costs
1 Introduction Implementing the transit potential of our country is the most important objective being set at the state level, and primarily at the expense of Russia’s railway “arteries”, to be developed in conjunction with modern logistics infrastructure [1], enabling significant cargo flows to be attracted, including through participation in the implementation of international transport corridors [2–5]. Operating railways in a competitive environment, both in the domestic and foreign transport markets, also requires, among other © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 352–360, 2022. https://doi.org/10.1007/978-3-030-96380-4_39
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things, finding reserves of capacity in the mainline railway infrastructure to ensure the implementation of various proposals, e.g. [6]. Railway junctions are one of the limiting elements in the chain of cargo flows in rail transport, and their load levels are very high. The problem of reducing infrastructure load is able to be solved in science and practice in different ways: by increasing weight standards [7], introducing interconnected trains [8], regulating wagon fleet routes [9, 10], etc. Infrastructure development measures, one proposal that is increasingly being recommended for the development of major railway junctions, is the construction of bypasses intended to take transit cargo traffic to the hubs. This is facilitated, on the one hand, the condition of the rail junctions, where the reserves for increasing throughput through increased capacity have practically been exhausted. On the other hand, new opportunities arising from changes in operations relating to the maintenance of traction and non-traction rolling stock are pushing this forward. Despite the fact that railway junction bypasses have been used in practice for quite some time, they are, firstly, still a rarity in large railway junctions and, secondly, their scope of application is mainly limited to the passage of transit cargo trains. Arguably the theoretical issues surrounding the use of rail junction bypasses are still poorly investigated from a theoretical point of view, being limited to a narrow scope of application [11], even though, in other countries, it is not limited to the organisation of transit cargo trains but may also be used for high-speed passenger traffic, for example [12, 13]. Hence, the authors consider it of scientific interest to determine the ratio of capital costs and operating (running) costs, as well as the effect of implementing a bypass for a railway junction designed to allow transit cargo trains to pass through.
2 Main Part (Materials and Methods) Consider in the first step the required capital investment for the construction of a bypass using the example of a notional railway junction as an example (Fig. 1). Both factors not related to the adopted technology of transit cargo trains through the junction - geographical, topographical, urban planning and other - as well as factors of an operational nature, determining the composition of technological operations with transit cargo trains and therefore the possible need for additional facilities and installations at the existing nodal station, are known to influence their composition. Investments for the bypass construction include the area preparation for the bypass construction, earthwork and structures, track laying, signalling and power supply (if necessary), and in the case of a technical station, most often a branch station, the construction costs of the station. This paper does not address the question of whether this technical station should be located on a bypass or at an existing pre-nodal station, although it is an issue. The option of building a new technical station at the bypass is taken as a starting point.
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Fig. 1. Schematic of a conventional railway junction with options for a single track (a) and doubletrack bypass (b): 1, 4 - pre-nodal station; 2 - marshalling station; 3 - cargo station; 5 - technical station at the bypass
When analyzing the list of capital costs, it should be noted that they may be divided into those that depend on the length of the bypass and those that do not. The former includes the following costs: – – – – –
area preparation for construction; excavation work; track structure; laying utilities; installation of an overhead system and new traction substations (in the case of electric traction);
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– other types of work, including, for example, those aimed at compliance with environmental requirements. In addition to the length of the bypass, it should be noted that the future capacity increase, as determined by the number of main tracks on the bypass, will undoubtedly have an impact. The following costs, beyond the length of the bypass, are worth mentioning: – for the construction of the technical station; – construction of interchanges on different levels; – paving of points at the roundabouts to the station necks of the abutment stations. A technical station is required when: a) outfitting (maintenance, change of locomotive); b) change of locomotive crew; c) maintenance of railcars. The feasibility of constructing interchanges in different levels is determined by the required level of capacity. Moving on to the definition of operating costs, which may be split into two groups: – associated with the maintenance of the infrastructure under construction; – not related to the maintenance of the infrastructure under construction. Based on the standards for the maintenance of one kilometre of main track (tracks), one turnout, an artificial structure as well as the whole division point, the first group will be determined. Bypassing is a cost that is higher than the length of the intra-nodal main track, and the second group includes costs associated with possible overruns by trains. Consequently, when the bypass route is shorter than the main intra-nodal main stroke, this indicator will not be counted as a cost, but as part of the economic effect of the proposed measure. Thus, the composition of both capital investments and operating costs can be represented as a function of (1) K, C = f Lobx , np. , S, R Where Lobx is the length of the bypass, km; np. - number of switches; S - presence of a technical station at the bypass; R - presence of the junction of the main track at different levels. Whilst the capital and operating costs considered can be estimated in financial terms, it is more difficult to estimate the effect of implementing a bypass to pass cargo trains in transit, particularly if the bypass length is longer than the length of the intra-nodal main line. Bypass is known to be designed to produce the following possible effects: – unloading of the existing intra-nodal passage in general and the technical station, in particular; – speeding up the passage of transit cargo trains; – Reducing the mileage of diverted transit trains.
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It should be noted from the above effects that it is rather difficult to assess the unloading of existing junction facilities from an economic point of view, as is the effect of speeding up the movement of transit cargo trains. Both affect performance at the socalled macro level, and are aimed at increasing the capacity of existing infrastructure. The effects associated with a reduction in the distance traveled by trains can be identified more clearly.
3 Results The authors consider different options for the required infrastructure of the bypass to be constructed, for different conditions, namely: different length of the bypass, presence or absence of electrification, interchanges at different levels, technical station for servicing transit cargo trains on the bypass. A large-scale technical station layout for the different dimensions of the transit train flows bypassed, and hence the track development, as well as the aggregated standards for the construction of the various elements of the bypass serve as the basis for the authors’ capital expenditure definition. The calculation was also performed for a double-track bypass railway junction, as it provides the highest throughput capacity. Some costs are highly dependent on local conditions and tasks to be performed and can therefore vary considerably, as in the case of higher traffic speeds [14]. This applies, for example, to the cost of allocation and preparation of the construction area, laying the earthwork, etc. The calculations are therefore based on averaged conditions or norms. Figure 2 shows the capital investment for the construction of the bypass as a function of the length of the bypass as well as operational factors, including the presence or absence of change of train locomotives.
Fig. 2. Dependence of capital investments on factors: 1 - in the presence of technical station on the bypass and locomotive facilities; 2 - if there is a technical stations on the bypass without locomotive service devices; 3 - in the absence of technical station on the bypass
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Operating costs, million rubles per year
Operational costs associated with transit train movements were determined by applying the relevant cost rates, whereby if the length of the bypass route is less than the intra-nodal route, the operational costs for this indicator can be assumed to be negative for the bypass option, otherwise it is positive. Figure 3 shows the overall relationship between the operating costs and the required infrastructure parameters to pass a given number of transit cargo trains. 3.
400 350 300 250 200 150 100 50 0 20
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Fig. 3. Dependence of operating costs on the technical condition of the bypass of the railway junction investment factors: 1 - if there is a technical station at the bypass; 2 - if there is no technical station
The duration of the stay of trains in the junction, minutes
Determination of the acceleration of rolling stock on the bypass is the most timeconsuming task, and simulation modelling is the most appropriate method to achieve this. The authors present as an example the results of simulation modeling performed with the GPSS World simulation modeling system for one of the variants of the technical
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Fig. 4. The time of transit trains within of the railway junction in the absence of (1) and the presence of a by pass (2)
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condition of the infrastructure of a conventional railway junction with a double-track bypass and overpass interchanges (Fig. 4).
4 Analysis of Results
Capital investments for construcon, million rubles
Figure 2 and 3 show that the composition of the capital investment for the construction of the bypass depends on the operational characteristics of the operation and the facilities to be placed at the junction to serve the transit cargo trains. The cost structure for ongoing maintenance (for this option, as a percentage) is as follows (Fig. 5). 1500000 1000000 500000 0 20
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Fig. 5. Structure of capital investments for the considered variant of the railway junction bypass: 1 - technical station; 2 - power supply devices; 3 - signaling equipment; 4 - track superstructure; 5 - track lower structure; 6 - preparation of the construction area
Figure 5 shows that in the total capital investment for the conditions considered (not including other costs, assumed to be 25%), costs independent of the length of the bypass would even be just over 50%, with the share decreasing to around 25% as the bypass lengthens. Therefore, in the case of the absence of a technical station, this shows that the costs associated with the length of the bypass will prevail. Regarding the distribution of operating costs, it should be noted that the costs associated with the maintenance of the newly constructed bypass infrastructure will prevail over the mileage of the transit cargo trains (Fig. 6).
40000 30000 20000 10000 0 20
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Fig. 6. Structure of operating costs for the option under consideration bypassing the railway junction: 1 - infrastructure maintenance; 2 - train mileage
The main purpose of the bypass construction, however, is to unload the existing facilities of the railway junction and to speed up the passage of transit cargo trains
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through it. The simulation results shown (Fig. 4) are partial, as the simulation object was a transit cargo train flow and refers to an abstract railway junction, yet they also clearly reflect the effect that can be achieved by constructing a railway bypass, expressed in the acceleration of trains. The effect evaluation of unloading existing units is even more time-consuming, as it requires a more detailed design of nodal units, having been able to be represented in a somewhat simplified form in the model for passing cargo trains in transit.
5 Conclusion Since the current rail junction infrastructure is no longer able to adequately accommodate capacity due to the exhaustion of reserves, and capacity increase by extending existing facilities is either virtually impossible due to lack of space or possible, albeit at enormous costs associated with the reconstruction of existing stations, measures that address the task differently are needed. For instance, the construction of rail junctions to allow transit cargo trains to pass through the bypasses. Undoubtedly, bypass construction implies the construction of new infrastructure, involving large investments as well as maintenance (running) costs, yet it is, in the authors’ view, a natural and long overdue step in the development of railway junctions in general. The main effects are also achieved by using them to speed up the movement of transit trains, as has been shown in the case study. The authors, however, find it interesting to expand the range of input parameters of the junction in question in future studies, as well as to pay attention to the issue of accounting for the effects obtained by unloading the existing infrastructure of railway junctions when removing transit cargo traffic. The economic indicators are also important to determine which economic indicators can best reflect the effect, not only in comparative but also in absolute economic efficiency, going from the calculation of cost savings to the calculation of the resulting profits. The range of effects considered may also be further extended, as recommended, e.g. by [15].
References 1. Pokrovskaya, O., Orekhov, S., Kapustina, N., Kizyan, N.: Formation of logistics facilities in transport corridors. In: IOP Conference Series: Materials Science and Engineering, vol. 918, no. 1, p. 012032 (2020). https://doi.org/10.1088/1757-899X/918/1/012032 2. Kakhrimanova, D., Belozerov, V., Kapustina, N., Pokrovskaya, O., Orekhov, S.: “Silk road”: new projects and opportunities for revival. In: IOP Conference Series: Materials Science and Engineering, vol. 698, no. 6, p. 066058 (2019). https://doi.org/10.1088/1757-899X/698/6/ 066058 3. Serova, D.S., Kalikina, T.N.: Improving cargo traffic in the international transport corridors of the Far East. In: IOP Conference Series: Earth and Environmental Science. International Science and Technology Conference “EarthScience”, p. 022079 (2020). https://doi.org/10. 1088/1755-1315/459/2/022079 4. Anisimov, V., Bogdanova, L., Morozova, O., et al.: Multimodal transport network of the Far Eastern Federal District of Russia. In: Proceedings of the XIII International Scientific Conference on Architecture and Construction, vol. 2020, pp. 459–468 (2020). https://doi.org/ 10.1007/978-981-33-6208-6_45
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5. Nesterova, N.S., Goncharuk, S.M., Vladimir, A., et al.: Strategy development management of Multimodal Transport Network. In: MATEC Web of Conferences, p. 86 (2016). https:// doi.org/10.1051/matecconf/20168605024. IPICSE-2016 6. Pokrovskaya, O.: Logistics grading of railroad stations. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1116, pp. 1152–1161. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37919-3_113 7. Shirokova, V.V., Kuzmina, N.A., Odudenko, T.A., et al.: Driving heavy trains on the Kuzbass to Far East route. In: IOP Conference Series: Earth and Environmental Science. International Science and Technology Conference “EarthScience”, p. 022007 (2020). https://doi.org/10. 1088/1755-1315/459/2/022007 8. Kuzmina, N., Shirokova, V., Odudenko, T., Agapova, Y.: Conditions for driving of the connected trains on the operating domain of Far Eastern Railroad. In: IOP Conference Series: Earth and Environmental Science. 12th International Scientific Conference on Agricultural Machinery Industry, INTERAGROMASH, p. 012203 (2019). https://doi.org/10.1088/17551315/403/1/012203 9. Frolova, O.V., Shirokova, V.V., Kalikina, T.N.: Routing of empty cars at offloading stations. In: IOP Conference Series: Earth and Environmental Science. International Science and Technology Conference “EarthScience”, p. 032014 (2020). https://doi.org/10.1088/1755-1315/459/ 3/032014 10. Frolova, O., Shirokova, V., Kalikina, T., Melnik, I.: Organization and movement of exit routes from empty cars. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1116, pp. 999–1010. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-379193_98 11. Kuklev, D., Kukleva, N.: Construction of detours of rail junctions, as an effective way to increase the throughput. In: 5th International Scientific Conference on Integration, Partnership and Innovation in Construction Science and Education, IPICSE, p. 05027 (2016). https://doi. org/10.1051/matecconf/20168605027 12. Kukleva, N.V., Kuklev, D.N.: Study of bypasses for high-speed passenger trains, as an alternative to the reconstruction of railway stations. In: IOP Conference Series: Earth and Environmental Science. International Science and Technology Conference “EarthScience”, p. 032022 (2020). https://doi.org/10.1088/1755-1315/459/3/032022 13. Kukleva, N.V., Kuklev, D.N.: Research of typical schemes of conversion of stations for speed passenger traffic in comparison with the variant of the bypass construction. In: IOP Conference Series: Earth and Environmental Science. International Science and Technology Conference “EarthScience”, p. 052078 (2020). https://doi.org/10.1088/1755-1315/459/5/052078 14. Kukleva, N., Kuklev, D.: Efficiency of reconstruction of stations for high-speed traffic. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1115, pp. 349– 356. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37916-2_34 15. Nesterova, N., Anisimov, V.: Economic efficiency of strategies that change multimodal transportation network shape and capacity. In: XII International Scientific Conference on Agricultural Machinery Industry. IOP Conference Series: Earth and Environmental Science, vol. 403, p. 012235 (2019). https://doi.org/10.1088/1755-1315/403/1/012235
Private Wagon Fleet Management in a Digitised Industry Tatiana Sergeeva(B) Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky Ave., Saint Petersburg 190031, Russian Federation [email protected]
Abstract. New information products and services are needed to develop the logistics capabilities of Russian Railways, increase the competitiveness of the Holding Company on the freight market in the context of digitalisation, and meet customers’ needs for comprehensive services. Efficient wagon fleet management is a priority in rail transport. The market for operator companies was studied for this purpose. Private wagon fleet management issues in the current environment are explored. A shortage of wagons at loading stations is currently observed, while there is a general surplus of wagons. The conditions of interaction between loading stations and the coordinated supply of empty wagon traffic for a given time interval are considered. As a result, the condition of ensuring that empty rolling stock arrives at the loading stations within a given time period can be highlighted. An optimality criterion for wagon control is formulated. A method for operational management of empty wagon traffic is used, with the ability to predict the operational situation, as well as the selection of the best option for moving loaded and empty wagons, with a minimum operating fleet of wagons. The need to improve wagon fleet management is indicated. Conditions for ensuring an agreed supply of wagons for loading are described. A calculated formula for the optimality criterion for wagon control is established. A methodology for determining the optimality criterion for the operator company’s wagon fleet management when feeding empty wagons for loading is presented. Keywords: Operator company · Wagon fleet management · Empty wagon traffic supply · Supply consistency condition · Wagon fleet management optimality criterion · Digital railroad · Digitalization
1 Introduction Companies-operators of railway rolling stock along with JSC “Russian Railways” are the main participants of the transportation process [1, 2]. Their influence on the transport industry and the country’s economy as a whole is considerable, as efficient wagon fleet management has always been a priority in rail transport. As of 1 July 2020, the freight car fleet on the Russian Railways network was 1,184,200 units. Currently, the top ten operators in the rail freight market include: JSC FGC, JSC Freight One, Globaltrans, JSC Neftetransservice and Transoil. A ranking analysis of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 361–370, 2022. https://doi.org/10.1007/978-3-030-96380-4_40
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Company name
Place in the rating On completed shipments
By total cargo turnover
By the number of wagons owned
By the number of wagons in control
Total rating
“Federal Cargo Company (JSC FCC)”
2
2
1
1
1
First Cargo Company (FCC)
1
1
2
2
2
Globaltrans
3
6
3
6
3
“Neftetransservice”
4
5
5
4
4
“Transoil”
7
7
7
7
5
“Modum-Trans”
6
3
9
3
6
RTC (“RusTransCom.”) GROUP
8
9
4
5
7
Siberian Coal Energy Company (SCEC)
5
4
11
8
8
“Transcontainer
12
11
8
9
9
“Gazpromtrans”
11
13
15
10
10
9
8
12
12
11
“Novotrans.” “Atlant.”
10
10
6
11
12
“Ugol-Trans”
14
12
13
13
13
RailGo
17
22
10
14
14
“LUKOIL-Trans”
19
20
–
16
15
TGC (Territorial 20 Generating Company)
17
22
18
16
Petrochemical Transport Company (PCTC)
24
18
15
17
25
“Apatite”
16
18
19
20
18
“Eurosib SPb”
21
16
16
17
19
“First Industrial Operator”
13
23
25
22
20
railway rolling stock operators in terms of completed transports, total freight turnover, and the number of wagons owned and under management for 2020 is shown in Table 1. The global pandemic and the global economic crisis are currently having a huge impact on the work of rolling stock operators. In the rolling stock operation segment,
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studies have shown that there continues to be a decline in traffic volumes. For example, companies operating in the production and operation of railway rolling stock have seen a significant drop in their revenues this year. The Institute for Natural Monopoly Problems estimates that revenues of railway rolling stock operators fell by RUB 93.8bn compared to the same period in 2019. In 2021, the Institute predicts that loading volume will resume growth of between 1.5% and 2.5% on 2020 levels, but will remain below the 2019 level. Gondola rental rates will continue to fall: by 18%–22% on average over the next year, with a slow recovery expected only from 2022. Table 2 shows a comparative assessment of the figures for the first 11 months of 2020 against the same period in 2019. Table 2. Comparative assessment of indicators Indicator name
For 11 months. 2020
Change by 11M. 2019
Loading
1.137 billion tons
−3%
Fleet of gondolas
572 thousand wagons
+3.1%
Average surplus of gondola fleet
58 thousand wagons
+136%
Fleet of defective wagons
72.6 thousand wagons
+47%
Average rental rate for a gondola
930 rubles/day
−48%
Russian and global economic development trends pose new challenges to operating companies, addressing these challenges will ensure their sustainable development in the transport market and improve the availability and quality of transport and logistics services in the field of freight transport [3]. The contemporary customer has a high capacity to receive and disseminate information, rendering it more selective and demanding [4]. Operator companies need to be customer-oriented and improve the quality of the transport service in order to maintain a competitive edge. The automation of business areas, from planning business processes to controlling their implementation, plays a leading role in this strategy [5]. Operator companies are required by analytical studies to be flexible and react quickly to developments in the competitive market. To be successful, companies will be guided by the principles of digital business, based on: complete consistency; online business; service management; and, subject to the application of modern information security mechanisms. Digital business principles have the following meaning [6]: “Complete coherence” means having the necessary, accurate and timely information about events and intentions simultaneously available to all actors involved in service delivery, including employees, clients and partners; “Online business” means making the right decisions and taking action without critical (increasing risks or additional costs, reducing the competitiveness of services) delays [7]; “Service management” means planning and controlling activities in the context of customer service indicators, that in turn are made up of internal service indicators.
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These principles may be implemented through the development and implementation of the digital railroad model.
2 Materials and Methods The Russian Railways digital platform is a number of key blocks, including such blocks as: digital customer services for cargo carriers, production management block, transportation process, and railway infrastructure facilities [8]. It is suggested to highlight the information blocks in the digital railway model, both of which are of great business importance for the operating companies [9]. 1. Terminal and warehouse complex management, by automating the activities of terminals, cargo yards, warehouses, specialised machinery. 2. Application of simulation modeling: – – – –
to determine the optimal fleet of rolling stock; for rational management of the private wagon fleet; to find the most attractive transport option (transport route, delivery time, cost); to determine the cost-effectiveness of the routes, by taking into account the data on the capacity of the sections, stations on the selected direction. The data will then be updated continuously as the consignments are presented for transport; – to find the best options for cargo placement, use of equipment and internal logistics; – to find the best option for the use of equipment and transport for unloading and removal of cargo; – to find the best options for loading and reservation of wagon spaces. 3. Planning the process of cargo transportation. Developing a dynamic transport model for the short and medium term, taking into account changing factors (transport demand, state of infrastructure, availability of rolling stock and traction). 4. Electronic wagon site to increase the utilisation rate of the rolling stock by optimising its operation, taking into account its location, usage plans and technical condition. An extensive digital database will allow the rolling stock to be monitored over time. Carry out repairs in a timely manner and supply quality wagons for loading. 5. Operational monitoring of the technical condition of the rolling stock, displaying its current location by collecting information from navigation and communication modules with the function of technical diagnosis of critical parts and components, as well as the parameters of the rolling stock. 6. Interaction with information systems of Russian Railways. Possibility of preparing and approving the application form GU-12 and assessing its feasibility. Obtaining accurate data on the date and time of the wagon’s arrival, taking into account a large number of factors. Reliable data on wagon arrivals will help consignees plan their production operations and build efficient logistics schemes. It should be noted that the dimensionality of the tasks presented is such that artificial intelligence and big data technology will be required. An operator company’s work with
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the information blocks discussed above should be carried out through the introduction and development of automated solutions that have the ability to interface with the service blocks of Russian Railways’ digital platform and comply with organisational and technical standards for interaction between the service blocks. The operator companies would then need to handle a huge amount of data. Still, it is possible if digital technology is applied [10]. The ERP system will improve the quality of transport services. The Enterprise Resource Planning (ERP) system provides an integrated set of integrated applications which can be used to automate all areas of a logistics company, from planning business processes to controlling them and analysing their results [11]. Company resource planning system, will implement: • • • •
project and program management; forecasting; maintaining product and technology information; management of costs, finances, human resources, etc.
ERP-systems consist of various functional modules that implement the needs of enterprises in automaticand business process optimization [12]. The system focuses on a specific area of activity or business process. Certain modules of the system can be used as a “customer personal account” service, available at any time from a mobile phone. They are modular and can cover all the key processes of a logistics company. The structure of the ERP system is shown in Fig. 1.
Fig. 1. Block diagram of ERP system modules
Carriers and Russian Railways will benefit from the automation of the decisionmaking process, as the information is based on a more complete picture of what is happening on the network [13]. By using an ERP system, the balance between loading volume and infrastructure capacity can be controlled, leading to an increase in network traffic and a reduction in the number of diverted trains [14, 15].
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ERP systems are being further developed to allow integration with the Cloud Factory of Software Robots. Both the information and material subsystems of the logistics process are inextricably linked and mutually influence each other. When one subsystem is improved, changes will affect the other. Subsequently, ERP implementation in the logistics process will have an impact on the material subsystem as well [16]. Operator companies’ digitalisation on the platform of implementing the digital railway model has significant potential and is of interest as an additional source of revenue primarily for business [17]. Rolling stock operators are currently faced with the task of determining the optimum rolling stock fleet and its rational management. In today’s environment, the process of providing loading with wagons is highly dependent on the approach time of empty wagon traffic. Unclaimed reserve, however, leads to unreasonably high waiting times for loading wagons. An illiquid reserve is highly undesirable as it reduces the average daily yield of a wagon and creates difficulties for station operations [18, 19]. The scheme of empty car traffic delivery canbe represented as a graph (Fig. 2), along the edges of which the cargo flow passes. Let’s represent the graph-model of the transportation process in the following form. Loading stations are the vertices of the graph and make up the set K = {K1 , K2 , . . . KN } and the direction of cargo transportation - a set of arcs E. One or more numerical characteristics are assigned to the network edges. For example, the number of cars, delivery time, the cost of transporting cargo, etc. E = {E12 , E21 , . . . , E15 , E51 }.
Fig. 2. Graph-model of wagon movement
Thus, we obtain a graph-model V (K, E). The graph V is oriented, because all the arcs have directionality. The graph is also an oriented loop, as it is a closed oriented chain. According to graph theory, it can be represented similarly as a displacement matrix
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M = mij . The matrix M has N rows (one for each vertex) and L columns (one for each arc). The matrix rows are a set of values denoting the directions of laden and empty wagons, and the movement vectors of the graph V . It comes down to selecting the best option for moving loaded and empty wagons, while fulfilling all planned freight transports, with a minimum operating fleet of wagons [20]. The graph model presented will allow optimising the logistics of moving loaded and empty wagon flows, reducing unproductive downtime on public and non-public infrastructure under conditions of multiple operators of rolling stock. This paper also proposes to ensure a coordinated supply of empty rolling stock from the parking areas to the loading stations at a given time interval. Loading regions can be used to quickly redistribute empty wagon flows. The conditions of interaction between the i-th empty car loading station and the coordinated supply of empty cars on the time interval can be 0 < t < τ written through the time intervals as follows: Tpi (t) = Tni (t + τzi ),
(1)
Where is the time interval of empty cars supply to the - loading station at the time of Tpi (t) i t; Tni t + τpi - the time interval for loading empty wagons at i the -th station at the time of arrival to the station t + τ3i ; τzi - duration of the delay of empty cars for loading at the i-station (from the moment of departure from the station of empty wagons to the moment of arrival at the i-station of loading). Then the criterion for assessing the inconsistency of the empty wagon flow to the i-th loading station, expressed in terms of the corresponding time intervals: 1 τ 2 (2) Tpi (t) − Tni (t + τzi ) dt, i = 1, 2, . . . , S(t) Wi Tpi (t) = τ 0 Taking into account the priorities of individual loading stations: s(t) 2 1 τ s(t) W Tp1 (t), Tp2 (t), . . . , Tps (t) = li Tpi (t) − Tni (t + τzi ) dt, Wi = i=1 i=1 τ 0 (3) Where li - priority coefficient of the i-th station, being assigned depending on the share of the station in the total loading volume. The control optimality criterion W evaluates the inconsistency of the loading and transport complex at the time interval (0; τ ), taking into account priorities. Accordingly, the optimization condition has the form: W Tp1 (t), Tp2 (t), . . . , Tps (t) → min (4) The problem can be formulated according to relations (1), (2), (3), (4) in the form of: 1 W Tp1 (t), Tp2 (t), . . . , Tps (t) = τ
τ 2 s(t) li Tpi (t) − Tni (t + τzi ) dt → min 0
i=1
(5)
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in limiting s(t) i=1
τdi (t + τzi )Tpi (t) = m(t) m(t) ≤ mo (t),
(6) (7)
where mo (t)- the number of wagons; τdi - the duration of the wagon delivery to the loading station. Addressing this problem will reduce the accumulation of empty wagons at loading points and develop a method for operational management of empty wagon traffic with the ability to predict the operational situation. Handling station wagon stock, dynamic reserve and shortage of wagons poses an urgent task for the rolling stock operator to determine the optimal size of the wagon fleet operated by the operator company, thereby preventing surplus and shortage of wagons.
3 Research In this article substantiates the need to improve the management of the private wagon fleet. Conditions for ensuring an agreed supply of wagons for loading are described. A calculated formula for the optimality criterion for wagon control is established. A methodology for determining the optimality criterion for the operator company’s wagon fleet management when feeding empty wagons for loading is presented. An ERP system is considered that will enable those involved in the transportation process to choose rational methods of cargo delivery, design routes depending on road load, and track the location and condition of cargo.
4 Conclusion During the study it is revealed that the stock of wagons at the loading station, the dynamic reserve and the shortage of wagons poses an urgent task for the rolling stock operator to determine the optimum size of the wagon fleet. Methodology presented in the article to determine the criterion of optimality of wagon fleet management of an operator company when feeding empty wagons for loading will prevent surplus and shortage of wagons. The importance of modern information technology in the transport business is justified in the article. What is needed is to solve problems by analysing the current situation, modelling, self-learning, using the accumulated knowledge and experience of experts.
References 1. Pokrovskaya, O., Orekhov, S., Kapustina, N., Kizyan, N.: Formation of logistics facilities in transport corridors. In: IOP Conference Series: Materials Science and Engineering, vol. 918, no. 1, p. 012032 (2020). https://doi.org/10.1088/1757-899X/918/1/012032 2. Pokrovskaya, O., Fedorenko, R., Kizyan, N.: Cargo transportation and commodity flows management. In: IOP Conference Series: Materials Science and Engineering, vol. 918, no. 1, p. 012050. Elsevier B.V. (2020). https://doi.org/10.1088/1757-899X/918/1/012050
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3. Pokrovskaya, O., Fedorenko, R.: Methods of rating assessment for terminal and logistics complexes. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1116, pp. 950–959. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37919-3_93 4. Zhuravleva, N., Guliy, I., Shavshukov, V.: Simulation modeling of changes in demand for rail transportation. In: IOP Conference Series: Earth and Environmental Science, vol. 403, no. 1, p. 012230. (2019) https://doi.org/10.1088/1755-1315/403/1/012230 5. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. In: MATEC Web of Conferences, vol. 224, p. 02011 (2018). https://doi.org/10.1051/matecconf/201822402011 6. Zhuravleva, N., Guliy, I., Polyanichko, M.: Mathematical description and modelling of transportation of cargoes on the base digital railway Vide. In: Tehnologija. Resursi. Environment, Technology, Resources, vol. 2, pp. 175–179 (2019). https://doi.org/10.17770/etr2019vol2. 4049 7. Bliudov, A., Nazarov, I., Dmitriev, V., Kovalyov, K.: Use of systematic code based on data bits weighing for concurrent error detection considering error structure analysis. In: Proceedings of 2018 IEEE East-West Design and Test Symposium, EWDTS 2018, p. 8524722 (2018). https://doi.org/10.1109/EWDTS.2018.8524722 8. Bulavsky, P., Belozerov, V., Groshev, G., et al.: Estimation of time parameters of electronic document management. In: Proceedings of 2017 IEEE East-West Design and Test Symposium, EWDTS 2017, p. 8110062 (2017). https://doi.org/10.1109/EWDTS.2017.811 0062 9. Zhuravleva, N.A., Nica, E., Durana, P.: Sustainable smart cities: networked digital technologies, cognitive big data analytics, and information technology-driven economy. Geopolit. Hist. Int. Relat. 11(2), 41–47 (2019). https://doi.org/10.22381/GHIR11220196 10. Ferrari, P.: Some necessary conditions for the success of innovations in rail freight transport. Transp. Res. Part A Policy Pract. 118, 747–758 (2018). https://doi.org/10.1016/j.tra.2018. 10.020 11. Efanov, D., Osadchy, G., Sedykh, D.: New technology in sphere of diagnostic information transfer within monitoring system of transportation and industry. In: Proceedings of 2017 IEEE East-West Design and Test Symposium, EWDTS 2017, p. 8110152 (2017). https://doi. org/10.1109/EWDTS.2017.8110152 12. Efanov, D., Sedykh, D., Osadtchy, G.: Protocol of diagnostic information transmission via radio channel concerning health monitoring of Russian railway infrastructure. In: 2017 International Conference on Industrial Engineering, Applications and Manufacturing, ICIEAM 2017, p. 8076135 (2017). https://doi.org/10.1109/ICIEAM.2017.8076135 13. Efanov, D., Sapozhnikov, V., Sapozhnikov, V.: Self-Checking method for concurrent error detection system development based on the constant-weight code ‘2-out-of-4’. In: 2017 International Conference on Industrial Engineering, Applications and Manufacturing, ICIEAM 2017, p. 8076374 (2017). https://doi.org/10.1109/ICIEAM.2017.8076374 14. Nikiforova, G.I.: Construction of a descriptive model of the logistics chain for the delivery of goods in the interaction of rail and sea transport. Proc. Petersburg State Transp. Univ. 17(4), 545–551 (2020). https://doi.org/10.20295/1815-588X-2020-4-545-551 15. Nikiforova, G.I.: Interaction of rail and maritime transport in the delivery supply chain of overseas trade cargo traffic. Proc. Petersburg Transp. Univ. 16(3), 339–346 (2019). https:// doi.org/10.20295/1815-588X-2019-3-339-346 16. Sergeeva, T.G., Nikiforova, G.I.: Competitive recovery of transport and logistics companies in the era of digitization. Proc. Petersburg State Transp. Univ. 17(3), 428–436 (2020). https:// doi.org/10.20295/1815-588X-2020-3-428-436 17. Sergeeva, T.G.: Improvement of private wagon fleet management. Proc. Petersburg Transp. Univ. 16(3), 449–454 (2019). https://doi.org/10.20295/1815-588X-2019-3-449-454
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18. Kovalev, K.E., Kizlyak, O.P., Galkina, J.E.: Automation of management functions of operational personnel of railway stations. In: 2019 International Multi-Conference on Industrial Engineering and Modern Technologies, FarEastCon 2019, p. 8933836 (2019). https://doi.org/ 10.1109/FarEastCon.2019.8933836 ˇ 19. Camaj, J., Nedeliaková, E., Ližbetinová, L.: The planning of investment activities in field of railway transport with support of simulation tools. Transp. Res. Procedia 53, 39–49 (2021). https://doi.org/10.1016/j.trpro.2021.02.005 20. De Martinis, V., Corman, F.: Data-driven perspectives for energy efficient operations in railway systems: current practices and future opportunities. Transp. Res. Part C Emerg. Technol. 95, 679–697 (2018). https://doi.org/10.1016/j.sciaf.2020.e00388
About the Strength of a Rail with an Internal Transverse Crack Vladimir Smirnov
and Sergey Maier(B)
Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky pr., Saint Petersburg 190031, Russian Federation [email protected]
Abstract. Among the defects of railway rails there are internal longitudinal and transverse cracks. Of practical interest are small transverse cracks, not always detectable by the flaw detector. The article assesses the ultimate load on a rail with an internal transverse crack. The rail is considered as a beam on a continuous elastic base, which is subjected to a single impact of a concentrated force. The shape of the crack is assumed to be circular. The cross-section of the beam has the shape of an irregular I-beam. The permissible load is calculated for three rail sizes. The initial and final crack sizes correspond to 5% and 30% of the rail head area of each type. The results are comparable with the available experimental data. In this case, for the experimental conditions, the rail was considered as a beam on a solid elastic base, and for the laboratory conditions - as a two-supported beam. It is shown that the crack size does not have a strong influence on the static strength of the rail under a single force impact. As a result of this work, a simple but effective method of determining the coefficient of stress intensity has been developed, which favourably differs from other known methods in that the result has a finite formula, is easily applicable in calculations and gives an acceptable error for assessing the crack resistance of a rail under operational conditions. Keywords: Rail strength · Disc-shaped crack · Beam bending · Beam deflection · Rail base stiffness
1 Introduction Contact-fatigue defects are often the cause of single rail decommissioning. One of the most dangerous defects in this group is internal transverse cracking (ITC) in the rail head (Fig. 1). The formation and growth of these cracks are influenced by design, technological and operational factors. When a crack reaches a certain critical size, a brittle fracture (fracture) of the rail may occur. A sudden collapse of the rail under a train can cause a derailment. In cyclic loading, the static axial load has a decisive influence on the intensity of the development of ITC. However, a cracked rail can withstand loads many times greater than the operating loads when subjected to a single static impact.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 371–379, 2022. https://doi.org/10.1007/978-3-030-96380-4_41
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Fig. 1. Internal transverse crack in the rail head (photo by Lalloo Singh)
2 Research Method Consider an example of an approximate calculation of the permissible axial load on a rail with a small size ITC, so that the influence of the rail head boundaries can be neglected. It is these smaller cracks that are of practical interest, as larger cracks (30% or more of the rail head area) are easily detected by the flaw detector and the rail, as being acutely defective, must be replaced immediately. For small defect sizes, an infinite elastic body weakened by a disc-shaped crack with a uniform load applied to its banks can be used as a model scheme to assess the strength of the rail. Such a model was applied, for example, in [1–3]. In the cylindrical coordinate system (r, θ, z), consider the axisymmetric problem of elastic space stretching with a disk-shaped crack of radius a. A uniform load of intensity p is applied to the banks of the crack, which is located in the plane z = 0. The origin of the coordinates coincides with the center of the crack. Distribution of the breaking stress σ at the crack extension is [4] (1) σz = −(2p/π ) arcsin(a/r) − a/ r 2 − a2 , z = 0, r > a The stress intensity ratio (SIR) can be determined from the expression K1 = lim 2π (r − a)σz (r, 0), r→a
Where from
K1 = 2p a/π
Using the Irwin criterion, KI ≤ KIc find the limit load π 1 , p∗ = KIc 2 a
(2)
(3)
(4)
Where KIc is the fracture toughness (critical stress intensity coefficient). An approximate (asymptotic) ρ → 0, expression for the tangential stress is [4] √
ϕ 5ϕ KI τrz = √ − sin +O ρ , sin (5) 2 2 4 2πρ
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Where (ρ, ϕ) is the polar coordinates in the vertical plane passing through the axis of symmetry and with origin at the crack apex. Analysis (5) shows that the tangential stress reaches a maximum at ϕ ≈ 35◦ , which allows us to explain the possible mechanism of zigzag cracks observed in some defective rails. Let us determine the magnitude of the load p, using as a force diagram the loading of the rail as a beam on a solid elastic base under the action of a concentrated force P. The bending equation is EI
d 2w = M, dz 2
(6)
Where M is the bending moment, w is the vertical deflection, z is the distance from the section in question to the point of contact between the wheel and the rail, I is the moment of inertia of the rail cross-section, E is the modulus of elasticity of rail steel. The solution of Eq. (6) is w(z) =
P −kz e (sin kz + cos kz), 8EIk 3
Where k is the coefficient of the relative stiffness of the rail base k = U /(4EI ),
(7)
(8)
U is the modulus of elasticity of the rail base. Bending moment M(z) =
P −kz e (sin kz − cos kz) 4k
(9)
Reaches a maximum at z = π/(2k). Then Mmax = Pe−π/2 /(4k). The greatest stress in the beam σzmax =
Mmax H, I
(10)
Where H is the distance from the center of the crack to the neutral axis of the rail. Equating now (4) and (10) we find the maximum value of the stress intensity coefficient PH a −π/2 KImax = e (11) 2kl π From expression (11) you can find the permissible axle load of the crew (in kilograms) q∗ = 2P/g(g = 9.81 m/c2 ). That is to say 4kIKIc π π/2 e (12) q∗ = gH a The data required for the calculation are given in Table 1, which denotes: Sh - the area of the rail head, aH , aK - initial and final radius of the crack.
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Rail typea
I ×10−8 , m4
Sh × 10−4 ,
H ×10−2 , m
aH × 10−3 , m
aK × 10−3 , m
kb, m−1
P50
1813
23,89
6,76
6,2
15,1
1,772
P65
3208
27,78
8,51
6,6
16,3
1,536
P75
4180
28,66
8,96
6,7
16,6
1,438
The initial and final crack sizes correspond to 5% and 30% of the rail head area of each type, respectively. As an example, Fig. 2 shows the tolerable axial load q∗ (in tons) on the relative area of the crack (Scr /S√h ,%), built by the formula (8) for the rail type R65 at k = 1.46 m−1 and KIc = 32.3 Ma M. The circles show the results of laboratory testing of rail samples with ITC for three-point bending [6].
Fig. 2. Limit load on the axis depending on the relative area of the crack α = Str / Sr
Figure 3 shows the dependence of ultimate axle load q∗ (in tons) on crack size a (in mm), constructed for rail type P65 at k = 0.31 m−1 . The experimental data are taken from [7]. It should be noted that there is a wide variation in the experimental data. In addition, a satisfactory agreement between the theoretical curve and the experimental data could only be achieved by adjusting the coefficient of relative stiffness of the rail base k: for the operating conditions the rail is treated as a beam on a continuous elastic base and for the laboratory conditions as a two-supported beam (Fig. 4).
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Fig. 3. Dependence of critical axial load on crack size: theory, - experiment
Fig. 4. Beam (rail) length in bend tests
To estimate the necessary girder (rail) length in the laboratory tests as a first approximation, the maximum deflection at three-point bending and at bending the girder on a continuous elastic base can be equal. In both cases, maximum movement occurs under a concentrated force. In the first case we have ϑmax = Pl 3 /(48EI ), in the second case − l is the length of the two-supported beam. By equating these wmax = P/(8EIk 3 ). Here√ expressions, we find l = 3 6/k ≈ 1.817/l. Modulus of elasticity of rail base for track on wooden sleepers Uw = 23 ÷ 29.5 MPa, for track on reinforced concrete sleepers, Uc = 110 ÷ 167 MPa [5]. Therefore, the required girder length (for all types of rails) will be m and m, respectively lw = 1.089 ÷ 1.428 lc = 0.706 ÷ 0.966. These values are practically borderline in terms of the l/Brequirement ≥ 5, where B is the height of the beam. Under laboratory conditions, the length of the beam is limited by the distance between the supports (usually 1.2 m). If we proceed from the condition of equality of tensile stresses determined according to (6) for each girder model, this is equivalent to equality of bending moments. For a threepoint bend, the maximum value of M ≥ 0(under a concentrated force) is Mmax = Pl/4, and for a beam on a continuous elastic base (at distance z∗ = π/(2k) from the origin, inverse moment) is Mmax = Pe−π /2 /(4k). Equating these expressions, we find that in laboratory studies, the length of the beam should be l =, that is, for the railway track on wooden sleepers m and for the track on reinforced concrete sleepers m e−π/2 /k ≈ 0.208/k lw = 0.125 ÷ 0.163lc = 0.081 ÷ 0.110, which is obviously unacceptable. Therefore, if we focus on the experimental data on the destructive stresses, then in the calculations of the strength of the rail with a crack will need to use and corresponding to these
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experiments modulus of elasticity of the rail base U, or what is the same (at EI - const) the coefficient of relative stiffness k.
3 Results Calculations using formula (8) show that for cracks with sizes not exceeding 30% of the rail head area, the permissible axle loads are many times higher than the operating loads. This is also true for elliptical cracks [7], since σzmax , determined by formula (6) at z = π/(2k) is ≈40 ÷ 70 MPa for rails of different types. The maximum intensity √ M, while the coefficient for cracks with a radius of 16 mm does not exceed 9.7 MPa √ crack resistance of rail steel is 27 ÷ 55Ma M [8]. Thus, at small sizes, unstable crack development is unlikely to be expected, in the case of large cracks, the influence will be exerted by the boundaries of the body. It is possible to estimate analytically the influence of the limited size of a body (rail) on its crack resistance using known solutions to problems of fracture mechanics. Thus, in [9] it was proposed to choose as a calculation coefficient of stress intensity (CIN) for an elastic strip with an edge transverse crack. However, for an internal transverse crack in the rail head, a model of an infinitely long circular cylinder with a coaxial disc-shaped crack under the action of remote uniform stretching at the ends is more appropriate to the real design. The problem of determining the CFC for a cylinder with an internal circular crack has been solved by different authors and by different methods, in particular, by displacements of the crack surface near its apex [10]. The numerical values of the oil recovery factor in most works are presented in tabular form and are of little use in practical calculations. In addition, solving the problem in a rigorous formulation requires complex mathematical methods, and the results obtained are cumbersome. In this case, we use a simple but very effective method of determining EIS, which is a generalisation of the planar section method. The known variant of the plane section method uses only the singular term in the equation of equilibrium for the asymptotic decomposition of the breaking stress at the crack continuation. In the generalised flat section method the exact value of the stress distribution in the weakened section for an unbounded body is introduced into the equilibrium condition [11]. The method differs favorably from others in that the result has the form of a final formula and is easily applicable in subsequent calculations. Let an elastic cylinder of infinite length and diameter 2b be stretched at infinity by a uniform stress p. The cylinder contains a coaxial discoidal crack of diameter 2a. The z-axis is directed along the cylinder. At a/b → 0 on the crack continuation (z = 0, r > a; r, z are cylindrical coordinates) there is a tensile stress distribution in the infinite body a a 2p arcsin − √ + p, r > a, (13) σz (r, 0) = − π r r 2 − a2 And the stress intensity factor (according to (2)) is KI∞ = 2p a/π .
(14)
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Let us distinguish in expression (9) the KIN in explicit form σz (r, 0) = −
a 1 2p arcsin + KI∞ a/π · √ + p, r > a. π r r 2 − a2
(15)
Then we assume that in a cylinder with a crack, the stress in the weakened section (z = 0) is expressed by the same formula, but with a different, sought KIN KI . σz (r, 0) = −
a 1 2p arcsin + KI a/π · √ + p, r > a. 2 π r r − a2
(16)
Equation of equilibrium of the cut-off half of the cylinder (z ≥ 0). b
b prdr − 2π
2π 0
σz (r, 0)dr = 0.
(17)
a
After integration and transformations we finally find a arcsin α 1 , 0 ≤ α = < 1. 1+ √ KI = KI∞ · F(α), F(α) = 2 2 b α 1−a
(18)
Where F (α)is the correction function. The results of calculations by formula (10), as well as those obtained in [12] in a strict mathematical formulation, are given in Table 2. Table 2. Correction multiplier for EIS Correction factor KI /KI∞ α
According to formula (10)
Given in [12]
0.2
1.014
1.005
0.3
1.032
1.013
0.5
1.105
1.072
0.7
1.276
1.259
0.8
1.466
1.479
0.9
1.927
2.002
As can be seen from Table 2, the flat section method gives a more than acceptable error for engineering calculations, in particular for the assessment of rail crack resistance under operational conditions. Note that the maximum area of the fatigue crack can exceed the cross-sectional area of the rail head (the crack sprouts into the neck, Fig. 5). Table 2 shows that with a relative crack area of 80% of the rail head area, the TPE increases by almost 1.5 times compared to an unrestricted body. For a wheel load of 100 √ kN, this would be about 2.5 MPa M, which is much less than the fracture toughness of
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rail steel even at low temperatures. As a consequence, long-lived cracks with dimensions comparable to the area of the rail head are often found on secondary railway tracks with a service life of 18–20 years. In [13, 14] the lifetime of the used rails in cycles of loading is estimated. It should be noted that the nucleation of ITC is usually non-metallic inclusions, which are difficult to detect by ultrasound during the acceptance inspection of rails [15].
Fig. 5. Sprouting of the ITC into the rail neck (photo by the authors)
References 1. Smirnov, V.I., Vidyushenkov, S.A., Maier, S.S.: Fatigue fracture of the beam with an internal transverse crack under multicycle loading. Sci. Tech. J. Bull. Civil Eng. 2(79), 75–81 (2020). https://doi.org/10.23968/1999-5571-2020-17-2-75-81 2. Smirnov, V.I., Vidyushenkov, S.A., Bushuev, N.S.: Stress-strain state of elastic base under circular foundation. In: International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 341–346 (2019) 3. Dymkin, G.Y., Kadikova, M.B.: An ultrasonic method for quantitative evaluation of the metal structure of axles of wheel pairs. Russ. J. Nondestr. Test. 45(7), 464–471 (2009). https://doi. org/10.1134/S1061830909070043 4. Dymkin, G.Y., Ostanin, I.A.: On the development of ultrasound control techniques for nonstandard welding compounds. Weld. Diagn. 1, 18–23 (2021). https://doi.org/10.52177/20715234_2021_01_18 5. Dymkin, G.Y., Kosobokov, D.V., Etingen, I.Z., Shelukhin, A.A.: Automated ultrasonic inspection of rails during production. In: JSC “Research Institute of Bridges and Nondestructive Testing”, vol. 23, no. 2, pp. 73–76 (2020). https://doi.org/10.12737/1609-3178-2020-73-76 6. Smirnov, V.I., Vidyushenkov, S.A., Kukhareva, A.S.: Dynamic peculiarities of wagon movement over a marshalling hump. Proc. Petersburg Transp. Univ. 16(2), 241–250 (2019). https:// doi.org/10.20295/1815-588X-2019-2-241-250 7. Dymkin, G.Y., Shevelev, A.V., Kurkov, A.V., Smorodinskii, Y.G.: On the sensitivity of eddy current testing of parts of railway rolling stock. Russ. J. Nondestr. Test. 55(8), 610–616 (2019). https://doi.org/10.1134/S0130308219080062
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8. Bratov, V., Krivtsov, A.: Analysis of energy required for initiation of inclined crack under uniaxial compression and mixed loading. Eng. Fract. Mech. 216, 106518 (2019). https://doi. org/10.1016/j.engfracmech.2019.106518 9. Atroshenko, S.A., Maier, S.S., Smirnov, V.I.: Rail steel fracture analysis under conditions of railroad switch. Solid State Phys. 10(10), 1573–1577 (2020). https://doi.org/10.21883/FTT. 2020.10.49898.094 10. Tikhomirov, V.M.: Determination of stress intensity factors in three-dimensional problems of fracture mechanics. J. Appl. Mech. Tech. Phys. 55, 877–884 (2014). https://doi.org/10.1134/ S0021894414050174 11. Petrov, Y., Smirnov, V., Utkin, A., Bratov, V.: Energy of a solid sphere under nonstationary oscillations. Sci. China Phys. Mech. Astron. 57(3), 469–476 (2014). https://doi.org/10.1007/ s11433-013-5370-4 12. Petrov, Y., Bratov, V., Kazarinov, N.: Dynamic crack propagation: quasistatic and impact loading. Procedia Struct. Integrity 2, 389–394 (2016). https://doi.org/10.1016/j.prostr.2016. 06.050 13. Loktev, A., Fazilova, Z., Gridasova, E.: The life cycle assessment of the used rails according to the results of cyclic high-frequency tests. In: IOP Conference Series: Materials Science Engineering 2020 (2020). https://doi.org/10.1088/1757-899X/862/2/022022 14. Loktev, A.A., Fazilova, Z.T., Zaytsev, A.A., Borisova, N.L.: Analytical modeling of the dynamic behavior of the railway track on areas of variable stiffness. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 165–172. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_17 15. Dymkin, G.Y., Shelukhin, A.A., Anisimov, V.N.: Improving procedures for ultrasonic pulseecho testing of rails in production. Russ. J. Nondestr. Test. 55(8), 560–569 (2019). https:// doi.org/10.1134/S0130308219080025
Light-Colored Ceramic Facing Bricks with Mineral Man-Made Raw Materials Ludmila Maslennikova(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Ave., St. Petersburg 190031, Russian Federation
Abstract. In today’s environment, light-coloured face bricks are the most sought after for the architectural expression of buildings and structures, because by combining dark and light face bricks it is possible to create unique facades. The Cambrian clays typical of the Northwest region are red-burning clays and a light face can be obtained by engobing, two-layer pressing or bulk staining, which is more energy-efficient. The aim of the work is to develop a ceramic charge for lightcoloured face bricks with volumetric colouring using mineral man-made waste - ash from wood bark burning and granulated blast furnace slag. Mineral waste was subjected to pre-screening and partial milling. To study the raw materials and obtained samples of ceramic facing bricks used a set of physical and chemical methods of analysis: thermographic, X-ray phase, microscopic and the method of infrared spectroscopy. When using ash from burning wood bark (15%) in the mix, it is possible to obtain ceramic face bricks of grade M125 with improved thermal properties and a light face surface. The use of granulated blast furnace slag as a retarder (10%) and ground slag as a clarifying additive (20%) allows to obtain a beige ceramic brick M150 with lower values of water absorption and thermal conductivity coefficient. The results of physical and mechanical research obtained samples of light-colored face bricks meet the requirements of the Russian State Standard. Keywords: Granulated blast furnace slag · Ash from wood bark combustion · Light-colored ceramic face bricks
1 Introduction Obtaining a light tone of face bricks based on red-burning clays, which include Cambrian clay, has always been difficult. Relying on the research of many scientists, the light tones of face bricks are usually obtained by adding white-clay, chalk and other carbonatecontaining products [1–5]. However, in this case, it should be noted the need to increase the firing temperature to at least 1020 °C, in addition, such products are characterized by increased water absorption - 20% or more, which requires the use of fusions. The use of industrial by-products in the production of ceramic bricks is devoted to many studies [6–12]. Thus, in [13] the clarifying effect of ceramic charge as a result of the introduction of calcium and magnesium silicates in the form of crushed foam concrete was shown. Analyzing these studies, we can conclude that a promising direction is the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 380–389, 2022. https://doi.org/10.1007/978-3-030-96380-4_42
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search for technogenic raw materials containing carbonates, silicates or aluminosilicates of calcium and magnesium. Such raw materials should have polyfunctional properties: to improve the thermal and decorative properties of facing bricks while maintaining the physical and mechanical characteristics at a firing temperature not exceeding 1000 °C. Examples of such raw materials are ash from wood bark burning and granulated blast furnace slag (GBFS) with its own porosity. The use of blast furnace slag in the ceramic charge as a retarder was investigated by the authors in [13]. Dovzhenko I.G. used cast and self-disintegrated electric steel slag containing alkali metal chlorides and fluorite in combination with aluminium slag as a slag smelter and at the same time as a clarifying additive. Considering the increasing requirements for energy saving, decorativeness and reducing the cost of ceramic facing bricks, it is important to produce a material that is simultaneously structural, thermal insulation and facing, using technogenic raw materials. The purpose of this study was to develop a light-colored ceramic mass for facing bricks with a firing temperature up to 1000 °C with improved thermal properties using man-made mineral raw materials in the form of ash from wood bark combustion and granulated blast furnace slag.
2 Materials and Methods As the clay component in the work was used Cambrian clay, relating to fusible clays with a sintering interval of 50–100 °C, field Krasny Bor, distributed in the North-West region of Russia. According to its mineralogical composition, the Cambrian clay belongs to the hydrosludite-montmorillonite red-burning clays with Fe2O3 content up to 6–7%. The total content of TiO2 + Al2O3 is 17–18%, which allows it to be classified as medium plastic clays, sensitive to drying with free quartz content up to 5% and requires the presence of an annealing agent in the blend. The total sulfur content in terms of SO3 0,5–0,6%, that is, the Cambrian clay is prone to efflorescence, the appearance of whitish residue on the face after firing, which negatively affects the decorative properties of the face brick and requires the introduction of additives to prevent efflorescence. If we get a light tone of the face of the brick, then the problem of scaling is eliminated. The traditional averter for Cambrian clays is construction sand with a particle size modulus of Mkr = 1,8–2,4. Man-made silicates can serve as a substitute for natural silicate raw materials - sand. Obviously, in order to improve the thermal efficiency of the obtained materials should be chosen such man-made silicates, which will reduce the thermal conductivity of ceramic tiles, such as granulated blast furnace slag with Mkr = 2,75, due to its own porous structure. The granulated blast furnace slag used in the work (G. Cherepovets) is formed as a by-product of iron and steel smelting and subsequent granulation, as a result of which it has an X-ray amorphous structure, with a glass-phase content of more than 80%. The phase composition of granulated blast furnace slag consists mainly of helinite (2CaO·Al2O3·SiO2) and okermanite (2CaO·MgO·2SiO2), and in small amounts monticellite, spinel, bleite, calcium and magnesium aluminosilicates and compounds of iron and manganese. Considering that granulated blast furnace slag has its own porosity, which is formed during the granulation process of the slag melt, its use as a heat sink instead of sand will increase the thermal properties of the ceramic tiles. Based on the chemical analysis of the GBFS, where the CaO content is more than
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44%, it can be assumed that the ceramic shards are clarified when they are added to the charge in a finely dispersed form. Considering the large amount of glass phase in the slag, it is possible to assume the formation of contact zones between slag grains and clay matrix during the firing of ceramic material at temperatures of 800–1000 °C due to the crystallization of new formations, which will reinforce the matrix, contributing to the strengthening of the entire structure. Ashes from wood bark combustion were used as another clarifying ingredient with its own porosity in the research. The ash is a black-brown powder with a particle size of up to 1 cm with an admixture of soot. X-ray phase analysis of the ash showed the content of glass phase with crystalline phases of calcium oxide, iron oxide (II), magnetite, magnesioferrite, sodium metaplumbate. Chemical analysis of the ash revealed that 80% of it consists of calcium and magnesium carbonates, silicates and sulphates, with up to 60% calcium compounds and the rest being fusible sodium, potassium compounds, small amounts of iron compounds and other impurities. If the ash is milled and incorporated in a finely dispersed form into the charge, this will have a clarifying effect due to the high content of calcium compounds and reduce the thermal conductivity of the ceramic tiles due to the porous structure. Experimental studies, determinations of physical and mechanical properties and performance characteristics were carried out on samples - cubes 50 × 50 × 50 mm and prisms of size 40 × 40 × 160 mm. The samples were fired in a laboratory furnace at 980– 1000 °C. To determine the coefficient of thermal conductivity from the ceramic charge, samples of tiles 100 × 100 mm in size and 25–30 mm high were made. The thermal conductivity of the ceramic tiles was determined by the steady-state heat flow method using a duly certified electronic thermal conductivity meter ITP-MG4 “300/probe”. The principle of operation is based on the generation of a steady-state heat flux through a flat sample of a given thickness and perpendicular to the face (largest) faces of the sample, measuring the density of this heat flux, the temperature of the opposite face faces and the thickness of the sample. The study of the general and technological properties of raw materials and materials was carried out using standard methods generally accepted in Russia. The raw materials, the phase composition and the structure of the ceramic shards were analysed by a combination of physico-chemical methods: thermographic, X-ray phase microscopy and infra-red spectroscopy. X-ray diffractograms of the samples were taken on a RIGAKU SMARTLAB 3 X-ray diffractometer. The surveys were taken in the º 5–62 degree angle interval at a rate of 4 degrees per minute and in 0.01 degree increments using CuK radiation with a Ni-filter. The powder method was used for the X-ray phase analysis of the samples. Crystallographica Search-Match software was used to identify the compounds in the phase analysis. IR spectra were measured with an infrared fourier spectrometer, modification FSM 1201 , designed for registration and research of optical spectra in
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the infrared (IR) region. The microstructure of the samples was investigated on a scanning electron microscope TESCAN VEGA 3 SBH T by electron-microscopic imaging using secondary and reflected electron signals (SE, RE), allowing morphological and compositional contrast of the image, respectively. The set with the electron microscope also includes: a system for determining the elemental composition, automatic sputtering unit. A tungsten cathode with thermionic emission is used as an electron source. An Everhart-Thornley secondary electron detector and a reflected electron detector are present. Reflected electron detector of the scintillator type based on a highly sensitive YAG (yttrium-aluminum garnet) crystal with atomic number resolution of 0.1Z. The elemental composition of the samples was determined by electron-probe microanalysis, which is based on comparing the characteristic X-ray spectra of the analysed sample and standards of known composition. Samples were prepared in the form of fractures and slices in the cross section. Samples opened in this way were coated with a thin conductive C-coating (~300Å) in a cathodic sputtering machine, to prevent sample charging and improve image contrast. In order to study the influence of ash and its quantity on whitening and physical-mechanical properties of the ceramic mass (70% clay 30% sand) the ash was added in excess of 100% in an amount of 5…35% in steps of 5%. The ash was ground and sieved on a sieve with a mesh size of 0.14 mm. The sand for construction works with particle size modulus Mkr = 1.9–2.4, sieved on a sieve with a mesh size of 1.25 mm, was used as a deflector in the control composition. The samples were fired at 1000 °C in a muffle furnace with a holding time of 1 h. As a result, an acceptable content of ash in the composition of the ceramic charge in the amount of 15–20% in excess of 100% was found. Granulated blast furnace slag was added to the ceramic charge instead of sand as a retarder and partly in a finely ground form as a clarifying additive. Experiments have established the optimum ratio in the charge GBFS with Mkr = 2.75–10%, with a fine grinding of at least 280 m2 /kg - 20%. A plasticising additive based on a mixture of polycarboxylates of maleic acid copolymer and methacrylic acid copolymer modified with silicic acid sol was added to the blend in an amount of 0.5% over 100% together with the mixing water to increase the strength properties. This reduced moulding moisture and intensified new formation processes at the phase boundaries.
3 Results The physical and mechanical characteristics of the samples with a firing temperature of 1000 °C are presented in Table 1. The frost resistance tests carried out showed that all the samples passed the frost resistance test within 50 cycles, which corresponds to the requirements for facing bricks. The tests did not continue any further.
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Table 1. Physical and mechanical characteristics of experimental laboratory samples compared with the control composition Composition, wt%
Average density, g/cm3
Thermal conductivity coefficient, λ, W/(m-K)
Tensile strength, MPa The color of the shard At In bend, Risg.
compression, Rcj.
9.07
1.91
0.363
Cf. 5.0 Min. 4,8
Cf. 19:7 Min.16.3
Red-brown
Composition 1: Clay - 70 Sand - 30 Ash - 15 Over 100%
21.68
1.60
0.269
Cf. 3.4 Min. 3.0
Cf. 15.4 Min. 13.5
Light beige
Composition 2: Clay - 70 Sand - 30 Ash - 20 Over 100%
23.76
1.52
0.248
Cf. 2.6 Min. 2.4
Cf. 11.1 Min. 9.1
Light beige
Composition 14.87 3 Clay - 70 GBFS with Mkr = 2.75–10 GBFS ground - 20 Plasticizer 0.5 Over 100%
1.65
0.28
Cf. 5.6 Min. 5.1
Cf. 21.7 Min. 19.1
Beige
Checklist: Clay - 70 Sand - 30
Water absorption by mass, W, %
4 Analysis of Results It should be noted that the firing of ceramic charge with granulated blast furnace slag at temperatures of 800–1000 °C starts the formation of okermanite, with the formation of dendritic crystals that bind the slag grain to the clay matrix, forming a contact zone and contributing to increased flexural strength (Fig. 1). Fine grinding slag with a particle size of less than 0.14 mm, which also has its own porosity, contributes to a more even distribution of porosity in the matrix with a pore size of less than 10 microns. Figure 2 shows the slag grain, which has its own fine porosity, mainly less than 10 microns. As shown in Table 1, the use of slag in ceramic production as a retarder not only increases the compressive strength but also the flexural strength of ceramic bricks, which is especially
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important for masonry. Figure 3 and 4 show the microstructure of the beige surface of the slag sample and the elemental analysis of this surface. It has been found that the introduction of granulated blast furnace slag as a retarder produces samples with improved compressive and flexural strength and a reduced thermal conductivity compared to the control sample, which is in agreement with earlier studies [13–15]. The average density of the samples made from the experimental composition with GBFS decreased by 11%. It should be noted that on the laboratory samples observed melting of glass, with the content of GBFS with particle size modulus Mkr = 2.75 more than 10%, which is allowed for ordinary bricks. Such smelting can contribute to a better bond between the cement mortar and the bricks in the masonry, but this is not allowed for facing bricks. In this regard, we settled on the content of GBFS with Mkr = 2.75 in the ceramic charge equal to 10%. The remaining 20% of GBFS were milled in a ball mill to a specific surface of not less than 280 m2 /kg to obtain a uniform light coloring of ceramic shards. To determine the phase composition of the obtained samples (control sample and experimental sample with slag), physico-chemical studies were carried out by means of X-ray diffractograms. According to the data of the carried out researches it was established that in the control sample the main phases are represented by quartz SiO2 c with d/n = (4.24; 3,34; 2,46; 2,28; 1,81; 1,54) × 10−10 m; anorthite CaO·Al2O3·2SiO2d/n = (3,20; 2,50; 2,13; 1,83; 1,76; 1,48) × 10−10 m and monticellite CaO·MgO·SiO2 with d/n = (4,19; 3,63; 2,93; 2,67; 1,81) × 10−10 m. In addition to quartz, new formations in the form of okermanite 2CaO·MgO·2SiO2 and diopside CaMg(Si2O6). were identified in the experimental samples.
Fig. 1. Slag grain with a contact zone transitioning to a matrix with a uniform fine-pored structure.
Figure 5 shows a diffractogram of a test sample with slag. While according to the data of Slavina A.M. in the samples with granulated blast furnace slag, only as an annealing agent, in the process of firing, gelenite 2CaO·Al2 O3 ·SiO2 with d/n = (3.71; 2.85; 2.43; 2.29; 1.75; 1.52) × 10−10 m and okermanite 2CaO·MgO·2SiO2 d/n = (3.09; 2.87; 2.48; 2.04; 1.76; 1.64) × 10−10 m, which was confirmed by infrared spectroscopy.
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Fig. 2. Slag grain with its own fine-pored structure
Fig. 3. Microstructure of the surface of a beige-toned sample with slag
Fig. 4. Elemental analysis of the sample surface with slag
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The introduction of ground GBFS with plasticising agent into the ceramic charge thus influenced the phase transformation in the firing process, which resulted in a lightening and hardening of the ceramic shards. There is no significant reduction in the thermal conductivity coefficient when GBFS is added to the ceramic charge compared to compositions 2 and 3 with ash from wood bark combustion. X-ray phase analysis of samples with ash showed crystallization during firing of quartz and anorthoclase (Na,K)AlSi3O8, which gives a light beige color to the ceramic shards. Both ash and fine grinded GBFS gave a uniform brightening of the ceramic shards. The positive properties of the ash should be noted, which are a more effective reduction in the thermal conductivity of the ceramic tiles and a brightening of the front surface to a light beige tone. The clarification of the ceramic shards is ensured by the formation of a low-temperature melt and by increasing the amount of melt.
Fig. 5. Diffractogram of a sample with slag, where K is quartz, O is okermanite, D is diopside
The resulting melt dissolves the iron-bearing clay phases, which are involved in the formation of complex silicates and aluminosilicates with a colourless or low-intensity colouring. In addition, the presence of calcium silicates in the slag and carbonates in the ash reinforces the clarifying effect, ensuring that the synthesis reactions of colourless iron compounds are complete. Obtained samples of face bricks with ash and GBFS have uniform light beige and beige colour and have rather high strength indices (in compression - 11,1…21,7 MPa, in bending - 2,6…5,6 MPa), high frost-resistance (F 50). Thus, compositions of volumetric-painted face building ceramics of light beige and beige tone were developed. The combination of laboratory tests confirmed that the introduction of granulated blast furnace slag as a retarder instead of silica sand and as a clarifying component in fine grinding together with a plasticising additive has a complex effect on the ceramic charge and plays a reinforcing-strengthening and clarifying role. In addition, GBFS promotes the crystallisation of colourless phases with a more complex composition, as well as an increase in total porosity and a shift in porosity towards finer and more uniform porosity, resulting in increased strength properties and a lower thermal conductivity of slag samples compared to the control specimen. It was found that the clarifying effect of ground GBFS and ash depends on the dispersity and content in the mass of the ceramic charge. According to P.I. Bozhenov, metal smelting produces up to a tonne of slag for every tonne of metal, so slag can be seen as a promising component for
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material-intensive production such as ceramic bricks. The introduction of ash into the composition of the ceramic mass gives a decrease in the thermal conductivity coefficient of the tiles by 26–32%, while with slag only by 23%. Therefore, in the future it will be further investigated to find the optimum combination of ash and ground slag in the ceramic charge mixture. Therefore, in the future it will be further investigated to find the optimum combination of ash and ground slag in the ceramic charge mixture.
References 1. Gueneva, V.A., Dubinetskij, V.V., Doroshin, A.V.: Dispersing the charge as a way to improve the quality of ceramic bricks. In: Materials and Technologies in Construction and Architecture, vol. 2018, pp. 558–563 (2018). https://doi.org/10.4028/www.scientific.net/MSF.931.558 2. Guryeva, V.A., Doroshin, A.V., Dubineckij, V.V.: Features of the preparation of calciumcontaining raw materials in the production of ceramic bricks. In: IOP Conference Series: Materials Science and Engineering. International Conference on Civil, Architectural and Environmental Sciences and Technologies, CAEST 2019, p. 012111 (2019). https://doi.org/ 10.1088/1757-899X/775/1/012111 3. Yavruyan, K., Kotlyar, V., Gaishun, E., et al.: High performance ceramic stones on the basis of by-products of waste heaps-screenings and coal slurry. In: E3S Web of Conferences. Innovative Technologies in Environmental Science and Education, ITESE 2019, p. 03017 (2019). https://doi.org/10.1051/e3sconf/201913503017 4. Yatsenko, N.D., Vilbitskaya, N.A., Yatsenko, A.I.: The role of industrial waste in the formation of the structure and properties of effective wall ceramics. Mater. Sci. Forum 931, 578–582 (2018). https://doi.org/10.4028/www.scientific.net/MSF.931.578 5. Kotlyar, V., Yavruyan, K.: Thin issues products of processing waste heaps as raw materials for ceramic wall products. In: MATEC Web of Conferences, vol. 2017, p. 05013 (2017). https:// doi.org/10.1051/matecconf/201712905013 6. Shershneva, M., Kozlov, I., Pankrateva, G., Drobyshev, I.: Geoecoprotective building structures for transport construction using mineral technogenic silicates and their properties. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 319–327. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0454-9_33 7. Shershneva, M., Sakharova, A., Anpilov, D., Eremeev, E.: Efficiency evaluation of the use of mineral technogenic substances in geoecoprotective technologies of transport construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 357–367. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0454-9_37 8. Zhang, L.: Production of bricks from waste materials - a review. Constr. Build. Mater. 47, 643–655 (2013). https://doi.org/10.1016/j.conbuildmat.2013.05.043 9. Raut, S.P., Ralegaonkar, R.V., Mandavgane, S.A.: Development of sustainable construction material using industrial and agricultural solid waste: a review of waste-create bricks. Constr. Build. Mater. 25, 4037–4042 (2011). https://doi.org/10.1016/j.conbuildmat.2011.04.038 10. Vilbitskaya, N.A., Yatsenko, A.I., Popova, L.D., Yatsenko, N.D.: Phase composition and properties of the low-temperature structural ceramics in the clay-calcium containing material system. Mater. Sci. Forum 974, 331–335 (2020). https://doi.org/10.4028/www.scientific.net/ MSF.974.331 11. Stolboushkin, A., Fomin, A., Stolboushkina, O.: Formation of ceramic crock structure made of technogenic raw materials with vanadium component. Appl. Mech. Mater. 756, 250–256 (2015). https://doi.org/10.4028/www.scientific.net/AMM.756.250
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12. Yatsenko, E.A., Smolii, V.A., Goltsman, B.M.: Development of resource-saving cellular glass technology and materials based on it. Mater. Sci. Forum 870, 175–180 (2016). https://doi. org/10.4028/www.scientific.net/MSF.870.175 13. Maslennikova, L., Babak, N., Slavina, A., Naginskii, I.: Effective building ceramics for transport infrastructure. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 495–502. Springer, Singapore (2020). https://doi.org/ 10.1007/978-981-15-0454-9_52 14. Maslennikova, L.L., Abu-Khasan, M.S., Babak, N.A.: The use of oil-contaminated crushed stone screenings in construction ceramics. Procedia Eng. 2017, 59–64 (2017). https://doi.org/ 10.1016/j.proeng.2017.05.010 15. Maslennikova, L.L., Babak, N.A., Naginskii, I.A.: Modern building materials using waste from the dismantling of buildings and structures. Mater. Sci. Forum 945, 1016–1023 (2018). https://doi.org/10.4028/www.scientific.net/MSF.945.1016
Method for Assessing Economic Efficiency of the Projects for the Development of Railway Stations Maksim Chetchuev(B) Emperor Alexander I St. Petersburg State Transport University, 9, Moskovsky Ave., Saint Petersburg 190031, Russian Federation [email protected]
Abstract. One of the most important tasks of the economic assessment of investments is to determine the compliance of the developed project with the goals and interests of its participants. In most industries, the economic efficiency assessment of the investment measures is based on the calculation of indicators recommended by UNIDO. For a number of railway facilities, especially stations, the calculation of such indicators is associated with a number of difficulties caused by the lack of a direct relationship between the implemented solutions and the projected income. Methods for assessing investments in the development of railway stations worked out so far, will make it possible to determine the most expedient option out of several possible ones, but do not show the amount of income that the implementation of the proposed solutions will provide. The article proposes a fundamentally new method of economic assessment of the developing railway stations’ feasibility, taking into account the revenue component of the project. The amount of income that the railway station will provide is linked in this method with the growth and change in the structure of the traffic size, as well as the quality indicators of the railway transport operation in general. Keywords: Economic efficiency assessment · Investment funds · Capital expenditures · Operating costs · Net present value · Railway station · Train flow · Income distribution · Tariff guidance · Operating period
1 Introduction Currently, the economic efficiency assessment of the most investment projects is carried out on the basis of the indicators calculated taking into account the income component (net present value, profitability index, payback period, etc.). A similar approach is generally typical for railway transport, both in Russia and in foreign countries [1–5]. However, in relation to the projects for railway stations development, the calculation of such economic indicators is associated with a number of difficulties associated with: • with the specifics of the income formation from the rail transportation organization; © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 390–398, 2022. https://doi.org/10.1007/978-3-030-96380-4_43
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• with ownership of the developed transport and logistics infrastructure and sources of financing; • with the types of transportation, for the development of which it is planned to develop the railway infrastructure; • with the role of the considered railway station in the transportation organization system; • with the presence of the adjacent railway facilities’ development (other stations and/or runs) within the framework of one project. The potential income that can be provided by measures for the particular railway station infrastructure development directly depends on each of the above-listed factors and will be different in terms of their combinations. Within the framework of this article, a method for assessing the economic efficiency of measures to develop the infrastructure of public railway stations, taking into account the revenue component, is proposed.
2 Materials and Methods The development of a method for assessing the economic efficiency of projects for the railway stations development was carried out taking into account the system of economic efficiency recommended by UNIDO indicators in force on the Russian Railways, the regulatory framework for determining income and expenses when organizing transportation by public railway transport, the existing methods for evaluating projects for the railway stations and junctions’ development. The analysis of scientific publications within the framework of the issue under study showed that in relation to a railway station, the assessment of the effectiveness of project activities is carried out only in the presence of several alternative development options, including staging. In this case, the minimum of the reduced costs is taken as an efficiency criterion. If design solutions are developed in only one version, their economic efficiency is not assessed at all. Justification of the allocating investments’ advisability in the absence of accounting for the income component is made on the basis of such indicators as ensuring the required level of throughput and processing capacity, reducing train travel time, the lowest costs for the implementation of design solutions for comparable options, etc. It is important to note that the use of such indicators at present are typical for justifying the investments not only for railway stations, but also for other objects of railway transport, including lines and entire directions, regardless of the presence or absence of the income component [6–15]. The lack of accounting for the income component in the existing methods is largely due to the obvious uncertainty of the level of participation of railway stations in the process of generating income JSC «RZD» when organizing transportation. On the other hand, it should be understood whether it is correct to separate the income attributable to a certain railway station from the total income for transportation. According to the provisions of the approved by the decree of the RF Federal Energy Commission from June 17, 2003 N 47-t/5 Price list No. 10-01 “Tariffs for the carriage
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of goods and infrastructure services performed by Russian railways” income from the carriage of goods will be determined by the following formula: I = A + B · L,
(1)
Where A is the rate for initial and final operations, rub. (for sending a wagon, ton or container); B is the rate for movement operations, rub. (per wagon-km, ton-km or container-km); L is an average waist distance of transportation, km. When determining the participation degree of the railway station in the formation of income from organized transportation, at least two cases should be considered: 1. the station provides transit passage for trains; 2. the station is the place where the transportation starts or ends. In the first case, based on the condition (1), the station will receive only the income associated with motion operations. The calculation formula for determining the income component for this case will have the following view: I = B · lst
(2)
Where lst is the transportation distance within the railway station boundaries, km. In the second case, the station will account for half of the income received by the carrier for the initial and final operations. Also, the station will generate income from traffic operations for the distance from the entrance traffic light or the sign “Railway station border” to the axis of the station. The calculation formula for determining the profitability of a railway station in this case will take the form: I=
A + B · lsto 2
(3)
Where lsto is the distance from the railway station border to its axis, km. From the standpoint of an objective comprehensive assessment of investment funds, the use of formulas (2) and (3) when determining the income generated by a railway station is not rational. First, the average zoned distance of transportation determined according to tariff schemes often does not coincide with the actual one. Second, an increase in the traffic volume on short and long-distance approaches to the station, in some cases, turns out to be impossible without the implementation of design measures for the development of the station itself. Thus, the measures for the station development ensure the use of other railway transport facilities outside the station in question to generate income. This circumstance is not taken into account by the formulas (2) and (3). It follows that the economic efficiency assessment of the projects for railway stations development should be made on the basis of the potential income received by JSC «RZD» from the organization of additional transportation in general. The final financial result from the implementation of design solutions at railway stations is influenced not only by an increase in the revenue component, but also by a change in associated operating costs. Accordingly, they should also be taken into account in the method for assessing the economic efficiency of project activities.
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With regard to the projects for the railway stations development, the following results of the use of investment funds are possible: • new train flows have appeared; the structure of the existing train flows has changed; • new train flows have appeared; the structure of the existing train flows remained the same; • the structure of the existing train flows has changed; • the quality indicators of railway transport in general have changed. Each of these options has its own characteristics of calculating the income and expenditure components. The financial result for the first use case of investment funds can be determined using the following formula: o m g g p p p Nhe · Ihe − Che − Ih − Ch , (4) (Nj · (Ij − Cj )) + F= j=1
h=1
Where m is the number of varieties of promising trains; p o is the number of varieties of existing trains; Nj is an average daily number of p promising trains of the type j, rub.; Ij is income from transportation of one promising p train of the j-th type, rub.; Cj determines the expenses for the transportation of one promising train of the j-th type, rub.; Nhe is an average daily number of the existing trains of type h, rub.; Ihe defines income from transportation of one existing train of the h-th type after the station development, rub.; Che shows the expenses for the transportation of one g existing train of the h-th type after the station development, rub.; Ih determines income from the transportation of one existing train of the h-th type to the station development, g rub.; Ch defines the expenses for the transportation of one existing train of the h-th type to the station development, rubles; j, h are the variables. For the railway stations providing only transit trains, income and expenses need to be calculated only for organized transportation. At the stations, which are the places of origin and repayment of cargo flows, there may be income and expenses associated with additional shunting work that is not included in the initial and final operations. For the latter case, the income and expense components should be calculated using the formulas (5) and (6), respectively: I = Itr + Isw
(5)
C = Ctr + Csw
(6)
Where Itr is income from transportation of a train along the route, rub.; Isw is income from additional shunting work, rub.; Ctr shows the costs of transportation of a train along the route, rub.; Csw shows the expenses for additional shunting work, rub. The income from the transportation of a train along the route is the most difficult value to calculate. According to the provisions of Price List No. 10-01, its value is influenced by a significant number of parameters (type of cargo, tariff distance of transportation,
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type of rolling stock, type of dispatch, speed, etc.). The definition of income from the train transportation along the route can be mathematically expressed by the formula: Itr = f (x1 , . . . , xz ),
(7)
Where x is the cost influencing parameter. z is a number of parameters affecting the cost. The income from performing additional shunting work can be calculated as follows: Isw = rsw · 2tsw ,
(8)
Where rsw is the rate for half an hour of additional shunting work, rub.; tsw is the duration of additional shunting work, h. The value of rsw is determined according to the Rules for the application of charges for additional operations related to the carriage of goods by federal railway transport (Tariff Guide No. 3). In view of the fact that Tariff Guide No. 3 has determined the rate for half an hour of shunting work, the total duration of shunting in formula (8) is doubled. The value tsw at the investment justification stage can be determined by the project daily schedules or by the results of simulation modeling of the station and adjacent non-public routes’ operation, if the software package used allows this time to be allocated. It is advisable to calculate operating costs when assessing the economic efficiency of project activities at single and aggregated expense rates. The main measure, which includes almost all the operating costs associated with transportation by rail, is the train-km. With its use, the calculation of transportation costs along the route will take the form: Ctr = etr · ltr
(9)
Where etr defines the consolidated expenditure rate for 1 train-km run in freight traffic, rub.; ltr defines the actual distance traveled by train, km. To determine the cost of additional shunting work, it is possible to use the following formula: Csw = esw · tsw
(10)
Where esw defines the unit expense rate for 1 locomotive-hour of shunting work, rub. For the option when, as an investment result, new train flows appear, while the existing train flows remain at the same level, the financial result from transportation can be determined by simplifying the formula (4): m p p p Nj · Ij − Cj . (11) F= j=1
The financial result from a change in the quality indicators of the railway transport operation during the development of a certain station is very multifaceted from the point of view of calculation. For example, if the station development is aimed at increasing
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395
the speed of freight trains on the section, then the financial result will be determined by the reduction in the time spent by freight trains on the section: w g (the − th ) (12) F = ez · h=1
Where ez defines the consolidated expenditure rate for 1 train-hour in freight traffic, rub.; w is the number of freight trains on the site, trains; the defines the time spent on the g section of the h-th train after the station development, h; th defines the time spent on the section of the h-th train before the station development, h. g The values the and th can be determined by the design and normative train schedules, respectively. The station development can also be associated with a reduction in the time for performing shunting operations. In this case, the financial result will be as follows: g
e − tsw ) F = esw · (tsw
(13)
e is the duration of shunting work at the station after its development, h; Where tsw g tsw is the duration of shunting work at the station before its development, h; e and t g can be determined by the design and normative daily schedules The values tsw sw of the abutment station work and the ways of non-public use. As a rule, in order to develop new or change the structure of existing train flows on certain routes, simultaneously or in stages, the development of several stations and other railway transport facilities is envisaged (construction of second tracks on the tracks, strengthening of power supply devices, etc.). In such situations, a correct economic assessment of project activities at a particular station can be performed only if the interconnected transport facilities’ development is taken into account. For the case when all the related activities under consideration are aimed at solving one or several coinciding problems at the same time, it is possible to determine the share of income attributable to a particular railway station using the formula:
kv =
1 v
(14)
Where v is the total number of railway facilities developed simultaneously with the railway station in question. The formulas (4), (11) and (12) are subjected to the presence of several developed objects on train routes aimed at achieving a single goal, will take the following form: ⎞ ⎛ m o g g p p p F = kv · ⎝ Nj · Ij − Cj + Nhe · Ihe − Che − Ih − Ch ⎠ (15) j=1
h=1
F = kv · F = kv ·
p p p Nj · Ij − Cj ,
(16)
e e g g Nh · Ih − Che − Ih − Ch .
(17)
m
o h=1
j=1
Accounting for the adjacent facilities’ development is also required in some cases when the investments are aimed at changing the quality indicators of railway transport,
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for example, as in the previously considered case, while reducing the time spent by freight trains on the section: w g F = k v · ez · (the − th ) (18) h=1
They significantly complicate the calculation of the situation when design activities at the station in question and at adjacent facilities solve different problems. The way out of this situation is to link the share of income that brings JSC «RZD» promotion measures for a specific station development, directly for each type of trains passed. In this case, the calculation formulas (4), (11) and (12) will be as follows: o m g g p p p (kjv · Nj · (Ij − Cj )) + (khv · Nhe · ((Ihe − Che ) − (Ih − Ch ))) (19) F= j=1
h=1
F= F=
o h=1
m
p
j=1
p
p
(kjv · Nj · (Ij − Cj )) g
(20) g
(khv · Nhe · ((Ihe − Che ) − (Ih − Ch )))
(21)
Where kjv is the share of income attributable to the considered railway station relative to trains of the j-th type; khv is the share of income attributable to the railway station under consideration relative to trains of the h-th type. Among the recommended by UNIDO indicators for assessing economic efficiency, as a basis, within the framework of the proposed method, the net present value is selected. It can be calculated using the formula (22): NPV =
T t=0
((Ft · 365 − Kt ) · αt )
(22)
Where T defines the estimated period of operation, years; Ft defines the financial result for one day in the t-th year, rub.; Kt defines the capital investments in the t-th year, rub.; αt defines a discount coefficient. t defines a variable.
3 Results The result of the research carried out in this article is a method for assessing the economic efficiency of the railway stations’ development projects. The currently available methods for assessing investments in the development of railway stations are based on a comparison of capital costs and operating costs for the options under consideration, including the options for staging the development of one station. If only one-stage capital investments are considered and there are no alternative options for plant development, the existing methods do not allow an assessment of the design solutions’ economic feasibility. The proposed method takes into account the presence of both revenue and expenditure components from the stations’ development measures. It is based on using the recommended by UNIDO indicator - net present value. Comparison of existing and proposed methods for assessing the economic efficiency of projects for the development of railway stations is presented in Table 1.
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Table 1. Comparison of existing and proposed methods for assessing the economic efficiency of projects for the development of railway stations Comparison values
Criterion values Existing methods The proposed method
Using UNIDO recommended economic indicators –
+
Economic efficiency assessment of single-stage capital investments
–
+
Rational stages determination of railway station development
+
+
Comparison of several design options
+
+
Possibility of evaluating a railway station – development project as part of a facilities complex
+
Possibility of evaluating investments in the absence of changes in traffic volumes
+
–
4 Conclusion In the course of the study, it was found that in the practice of assessing the economic efficiency of the railway stations’ development projects, there are no methods taking into account the revenue component. This approach does not correspond to modern criteria for assessing the economic efficiency of investment funds. Taking this circumstance into account, the article proposes a fundamentally new method that provides for the accounting of both income and expenditure components. The amount of income that JSC «RZD» will receive, as well as the changes in associated costs, as a result of the project activities’ implementation at a particular station, are linked to the corresponding changes in traffic volumes and quality indicators of railway transport. The proposals made within the framework of the described method for calculating income and expenses from transportation activities in conjunction with the design solutions for a specific railway station have been developed in accordance with the regulatory and legal documents in force on the Russian Railways. The composition of the initial data required for performing calculations can be determined at the pre-design stage. Since in order to develop the new and change the existing train flows, as a rule, a whole range of measures is being worked out for several adjacent railway transport facilities, the revenue and expenditure components from the transportation organization should be proportionally divided between them. The method presented in the article takes into account the specified distribution.
References 1. Gulyi, I.: Economic assessment of the implementation of distributed data registry platforms in multimodal transport. In: E3S Web of Conferences, vol. 220, p. 01068 (2020). https://doi. org/10.1051/e3sconf/202022001068
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2. Li, Z., Shalaby, A., Roorda, M.J., Mao, B.: Urban rail service design for collaborative passenger and freight transport. Transp. Res. Part E Logist. Transp. Rev. 147, 102205 (2021). https://doi.org/10.1016/j.tre.2020.102205 3. Ferrari, P.: Some necessary conditions for the success of innovations in rail freight transport. Transp. Res. Part A Policy Pract. 118, 747–758 (2018). https://doi.org/10.1016/j.tra.2018. 10.020 4. Canca, D., Luis, J., Pineda, A., De-Los-Santos, A.: A quantitative approach for the long-term assessment of Railway Rapid Transit network construction or expansion projects. Eur. J. Oper. Res. 294, 604–621 (2021). https://doi.org/10.1016/j.ejor.2021.02.018 5. Kazanskaya, L., Shaykina, E.: Management and economic efficiency criteria in the organization of safe rail transportation. In: E3S Web of Conferences, vol. 157, p. 05007 (2020). https://doi.org/10.1051/e3sconf/202015705007 6. Petrov, M.: Tools for complex assessment of projects for construction of priority railway lines in the Ural-Siberian macro. Transp. Res. Procedia 54, 429–435 (2021). https://doi.org/ 10.1016/j.trpro.2021.02.092 7. Kukleva, N.V., Kuklev, D.N.: Study of bypasses for high-speed passenger trains, as an alternative to the reconstruction of railway stations. In: IOP Conference Series Earth and Environmental Science, vol. 459, p. 032022 (2020). https://doi.org/10.1088/1755-1315/459/3/ 032022 8. Kukleva, N.V., Kuklev, D.N.: Research of typical schemes of conversion of stations for speed passenger traffic in comparison with the variant of the bypass construction. In: IOP Conference Series Earth and Environmental Science, vol. 459, p. 052078 (2020). https://doi.org/10.1088/ 1755-1315/459/5/052078 9. Pokrovskaya, O., Kurenkov, P., Khmelev, I., Goncharenko, S.: Evolutionary and functional development of transport nodes. In: IOP Conference Series: Materials Science and Engineering, vol. 918, no. 1, p. 012033 (2020). https://doi.org/10.1088/1757-899X/918/1/ 012033 10. Nesterova, N., Anisimov, V.: Economic efficiency of strategies that change multimodal transportation network shape and capacity. In: IOP Conference Series: Earth and Environmental Science, vol. 403, no. 1, p. 012235 (2019). https://doi.org/10.1088/1755-1315/403/1/012235 11. Anisimov, V., Bogdanova, L., Morozova, O., et al.: Multimodal transport network of the Far Eastern Federal District of Russia. In: Proceedings of the XIII International Scientific Conference on Architecture and Construction. Lecture Notes in Civil Engineering, vol. 130. Springer, Cham (2020). https://doi.org/10.1007/978-981-33-6208-6_45 12. Zheng, H., Cao, X.: Impact of high-speed railway construction on spatial relationships in the Guanzhong Plain urban agglomeration. Reg. Sustain. 2(1), 47–59 (2021). https://doi.org/10. 1016/j.regsus.2021.01.001 13. Talvitie, A.: Rail factor and realism of the unconscious. Transp. Res. Interdiscip. Perspect. 6, 100144 (2020). https://doi.org/10.1016/j.trip.2020.100144 ˇ 14. Camaj, J., Nedeliaková, E., Šperka, A., Ližbetinová, L.: The planning of investment activities in field of railway transport with support of simulation tools. Transp. Res. Procedia 53, 39–49 (2021). https://doi.org/10.1016/j.trpro.2021.02.005 15. Bayane, M., Qiu, Y., Yusupov, B., et al.: A study on the development strategy of the railway transportation system in the West African Economic and Monetary Union (WAEMU) based on the SWOT/AHP technique. Sci. Afr. 8, e00388 (2020). https://doi.org/10.1016/j.sciaf.2020. e00388
Concept for the Urban Space and Transport Infrastructure Development Taking into Account International Experience Ekaterina Shestakova(B)
and Ekaterina Kazaku
Emperor Alexander I Petersburg State Transport University, 9, Moskovsky Ave., Saint Petersburg 190031, Russian Federation
Abstract. Concepts for the urban space and transport infrastructure development play an extremely important role in the socio-economic life of the society. Transport systems, creating a global transport and communication framework of world cities, occupying vast territories in modern cities around the world, retain the problems not only in the ecological, economic, but also at the general social level, thus determining the quality and standard of living of the population, demonstrate a real need for open public space, in increasing the use of the technical and economic potential of transport lines by creating a longitudinal tunnel corridor (tunnel-type bridge) with a large number of various public buildings and structures built on the superstructure (theaters, universities, squares, gardens and parks). World practice and the analysis carried out show that in the conditions of megalopolises, within the framework of the territorial frameworks’ development concept and the space expansion, the most promising is the use of the technology for the construction of residential and commercial structures over the existing transport infrastructure. The research work presents a feasibility study for the use of load-bearing platforms over the existing transport routes in a dense urban development. A scientific and technical hypothesis is proposed and an economic justification of an innovative project is carried out on the example of the city of St. Petersburg. Keywords: Economy · City · Road · Sustainable development · Socio-economic development · Aggressive infrastructure · Overbuilding · Corridor-tunnel · Supporting platform
1 Introduction Studying the prospects for investment and innovative development of the transport complex in large cities on the basis of the existing road and railway lines, in the context of global economic instability, against the background of an aggravated situation with exchange rates and, as a consequence, financing according to a truncated format scheme and budget cuts is a complex multi-criteria task requiring long-term and large financial investments with an assessment of risks, profitability of the project. The volumetric and spatial development of the transport structure is unique for each city and differ significantly, primarily in different degrees of development (number of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 399–407, 2022. https://doi.org/10.1007/978-3-030-96380-4_44
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stations, length of lines, elements of transport interchange hubs) and configuration of the transport network structure (linear, radial, radial-circular, diagonal-lattice) depending on the planning structure of the city, the local landscape, transport networks, as well as taking into account the coverage of suburban residential areas with a high population density with the city center, where the density of enterprises, companies, industrial and business districts is the highest. Modern buildings and structures are designed and built taking into consideration the location of the historical center, cultural heritage sites, residential areas, factories and enterprises, transport links, the creation of transport and logistics complexes at the intersection with other types of urban, suburban and intercity transport. Traffic lines spanning vast areas in modern cities around the world demonstrate a real need for open public space and success in building capacity to redevelop the rail corridors through the creation of public gardens, parks and the construction of buildings and structures. As urban population tends to steady growing, the space-constrained cities develop the innovative solutions to further work on the commercial and residential buildings in metropolitan centers. Thus, there is a need for the new technical and economic solutions in the use of a resource approach for the transport urban environment formation in the trend of new programs for a comfortable, safe and smart city. Based on the analysis carried out on the main concepts of the territorial spaces’ development in world practice, it was found that the most promising is the use of overbuilding technology with the elements of transport and engineering infrastructure within the framework of the territorial frameworks’ development concept along major transport routes. The prospects for the use of this innovative technology in the Russian Federation are very high, since its application allows solving a whole set of such issues and problems in large cities as: 1. Lack of parking spaces. 2. Lack of park areas, recreation areas in densely built-up areas. 3. Protection of residential buildings located near railway infrastructure from adverse impact factors. 4. The need to resettle dilapidated housing. 5. Deficit of free land plots for the new real estate construction, along with an excess of territories occupied by transport infrastructure. A qualitative improvement in the architectural, planning, functional, environmental and other characteristics of both the railroad areas and the space above the roadbed of the railway line will not only organically fit into the urban environment, but also gain a dominant role in the creation of new integrated urban structures capable of giving a new round development of large cities. Purpose of the study: the feasibility substantiation of using platforms - coatings for encapsulating transport networks in large cities in dense urban development. The objectives of the study are: – Concept, functional purpose and typology of “overbuilding” technology. Analysis of the world experience in the overbuilding projects’ implementation.
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– The main technological solutions for construction in the framework of “overbuilding”. – Hypothesis and economic substantiation of innovative technology for the construction of residential and commercial structures over the existing transport infrastructure. The practical value of this work is in the possibility of preparing the feasibility surveys and determining budgets for the construction of amenities, landscape architecture, residential and public buildings and structures in order to revitalize railroad areas and the space above railway tracks and highways.
2 Materials and Methods Overbuilding is a technology for the construction of residential and commercial structures over the existing transport infrastructure, in which the release and development of urban space occurs due to artificial covering (encapsulation) with the structures of load-bearing platforms (tunnel-type motors), which ensure the requirements for safe and long-term facilities’ operation. A number of cities have already developed feasibility studies and are benefiting from the ideally located airspaces that create a “new city within a city”: New York - Hudson Yards, Philadelphia - Schuykill Yards, Paris - Rive Gauche. Data on publications in Scopus (6 results of document search (by keywords, and in the title of the article: overbuild & rail *), among which 1 article is based on the results of the 2019 IABSE Symposium congress on engineering structures, shows only the development stages of an innovative project. The Espacenet patent database summarizes experience in innovative solutions in the field of overbuilding, but is not related to the buildings and structures above the railway. As a result of a patent search for December 2020 to identify analogues from the modern level, no documents were found in the Espacenet Worldwide and USPTO Patent databases for the request: “overbuild AND railway” - 0 applications. In Moscow, for example, there are about 800–1000 hectares, which can be effectively used, as well as more than 40 sorting stations, which, together with warehouse buildings and a depot, amount to more than 2000 hectares, of which 1500 hectares are located in the central and middle part of the city (see details in the articles with examples, maps and reviews on an identical situation to all cities of the Russian Federation). In general, effectively using the potential of these territories, which have significant reserves for new construction, 15 districts the size of Moscow City could be built in the capital territories. Construction of bridges-galleries, bridges-promenades, residential and commercial buildings over the existing railways are constructed in many large cities and countries, especially where the high cost of the right-of-way of land for construction, purchase at the market value of the redemption 1 m2 land (approximately 50% of the construction cost for the European countries). The classification of the existing options for intersections with highways can be carried out according to load-bearing structural schemes, functional purpose and combined options: gallery bridges (shopping centers), promenade bridges (eco-city), elevated highways and truss bridges, tunnel-type bridges, for example, for buildings, commercial property or parking. Most of the projects maintain a balance between ecology and
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the creation of new recreation scenarios for citizens (outdated infrastructure is being integrated into living green spaces - the Seoul Bridge Park project). Successful global projects for the urban space reorganization can be implemented in the PGUPS students’ theses at the department “Tunnels and subways”. In 2021, a city tunnel project was completed (Fig. 1) with the implementation of a superstructure mounted by a floating crane of the building metal frame, analogous to 2019 at Rockefeller University, SNF – DR River Campus. The implementation of the project includes the construction of a pedestrian bridge from the hotel and a walk along the embankment in St. Petersburg.
Fig. 1. Cross-section of an urban road tunnel (1) along the embankment with the superstructure of a shopping and entertainment center (2), including a metal pedestrian bridge (3) from the hotel. Visualization of the metal structures’ installation with a floating crane (4)
Unique projects are interdisciplinary in nature, combining the areas of practical use of the latest scientific knowledge and methods of interaction between all participants: suppliers, manufacturers with logistics, engineers, architects, economists, designers, architects and customers, all must work together, there should be an alliance of private and public structures. Figure 2 presents the theoretical aspects of the economic feasibility substantiation concept. The use of the space above the existing railway tracks will increase the efficiency of using the land plots in the cities. On the one hand, this is due to the involvement of new city squares in the business environment, and on the other hand, to the railway connection social significance positions’ preservation for the city. The study takes into account the experience of implementing similar projects from 2004 to 2020. The projects of Paris and London, building areas, including cafes, bars, restaurants, theater, libraries, Promenade routes study should be considered as the closest to the building height conditions. Basic values for the area and number of buildings’ floors are taken in further calculations using the example of Ligovsky City and an analogue of English “Linear Infrastructure Overbuild Guide”. Let us consider a pilot project. There is a promising building a project for a plot of 1.0 hectares with a building permit for building buildings with a total internal area of over 40 000 m2 (1 × 120 × 12 × 100/3.6 = 40 thousand m2, this is approximately according to the London project: 120 houses of 100 m2 12 floors and sparse buildings
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Comfort and stability high-speed movement
Infrastructure Stability
Business environment Development of social-cultural space objects
Development of real estate objects
Fig. 2. Economic feasibility justification concept
(depending on the residential buildings’ density) or not all buildings of 12 floors, is accepted as k = 3.6), and if less, for example, for a plot with an area 1.0 ha - 20 000 m2 , then it becomes unattractive for construction. The cost was determined based on the objects cost analysis’ results: 1 - Millennium entertainment park, eco-city, 2 - Museum, gallery, children’s center, shops and a farmer’s market, 3 - Cafes, bars, restaurants, theater, libraries, the Promenade route, eco-product, eco-town, 4 - Parking and eco-products, ecotown, 5 - New district directly above the railway platform tracks, including a 52-storey one skyscraper with a height of 273 m. Cost planning, determination of the planned cost of objects by the types of structures and different number of buildings’ floors according to the world practice in Europe and America is given in Fig. 3.
Construction cost, thousand rubles/per hectare, 2 quarter 2020
2,00,00,000 1,79,26,301
1,50,00,000 1,00,00,000 30,20,997 50,00,000
18,97,801
13,450
3,07,538
0 -50,00,000
0
1
Type of territory application
2
3
4
5
6
7
Cost by structure type Аverage value considering 33 m height altitude
Fig. 3. Cost of facilities construction (thousand rubles/ha at the price level of 2 sq. 2020) depending on the structure type
So, for example, for a plot of land (Ligovsky ave.) for 1 hectare of development, the total area is 55.9 thousand m2. The rise in price per coverage is approximately 5–10%. According to preliminary analysis, the cost of a building in Ligovsky City 2019 can reach about 1000$ for m2 . The cash flow model was built for 25 years, including 5 years of construction and 20 years of operation. It is assumed that the area for corporate use is 130 hectares, and the rest of the area released by the company will be put up for sale. The proceeds from the space sale can be used to invest in the project. The following inflows are accepted: proceeds from the land and housing sale, income from the lease of offices and trading floors. In the example, the prices for rent and sale of real estate are taken on average for the objects in the Central District of St. Petersburg. The recommended cost of selling land is not lower than the cadastral value, but taking into account the demand assessment on the land market in the city.
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Figure 4 shows an example of calculating the main indicator of an investment project - Free Cash Flow (FCF).
50,00,00,000 40,00,00,000 30,00,00,000 20,00,00,000 10,00,00,000 0 -10,00,00,000 -20,00,00,000
2021 2022 2023 2024 2025 2026 2027 2028 2029 2030 2031 2032 2033 2034 2035 2036 2037 2038 2039 2040 2041 2042 2043 2044 2045
Free Cash Flow, FCF, thousand rubles, 2 quarter 2020
60,00,00,000
-30,00,00,000
Years
Fig. 4. Free Cash Flow (FCF) - a set of real values of monetary amounts in thousands of rubles for each period (year)
The net present value, NPV is 478.63 billion rubles. The internal rate of return shows a significant project efficiency margin of 17.4%. Discounted payback period 8.6 years, including 5 years of construction. The use of the space above the existing roads will increase the efficiency of the urban land plots’ use. This is due, on the one hand, to the new city squares’ involvement in the business environment, and on the other hand, to the preservation of the transport communication social significance positions for a modern city within the framework of the current trend and global innovative practice of overbuilding technology for a smart eco-city.
3 Results Thus, the “overbuilding” concept is presented in the context of dense urban development on the territory of the Russian Federation. The analysis of the world experience in the implementation of overbuilding projects for various types of structures has been performed. The technological solutions of “overbuilding” in the conditions of dense urban development in Russia are considered. The studies carried out within the framework of this innovative project for the implementation of the pilot project have shown the potential for the urban infrastructure development and transformation for the rational use of space above the railway with the buildings and structures’ integration (flyover, platform type with high rigidity trusses like outriggers), including innovation, trade, engineering, logistics, finance and construction. The hypothesis of the city business environment development, taking into account the technologies of “overbuilding” in the conditions of dense urban development in Russia, is considered on the example of the St. Petersburg city. An economic feasibility study for the use of space above the existing roads had been carried out, the results of
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which reflected the effectiveness of the “overbuilding” technology introduction and the effectiveness of the use of land plots in the cities over the existing highways. A concept for organizing scenario modeling of inversion projects for the residential and commercial real estate construction, considered as separate scenarios, taking into account the technical and economic indicators of the main types of load-bearing structures (gallery bridges (shopping centers), promenade bridges (eco-city) and truss bridges, tunnel-type bridges for buildings, structures, parking lots - as reliable objects for investment (10–20% of profit) is proposed.
4 Results Analysis The feasibility of using overbuilding platforms in a dense urban development not only satisfies the traffic safety conditions, but is also based on ensuring the economic efficiency of the implementation of such innovative projects, including the main trends: green technologies, BIM design, environmentally friendly construction, life cycle contracts (LCC), public-private partnership (PPP) instruments in the field of transport infrastructure [1–6]. Large state educational institutions in Russia train professional personnel with qualifications and engineering competencies necessary for this technology [7–13]. Modern educational programs and research contain the necessary theoretical, practical and scientific components for the transport infrastructure innovative projects’ implementation [14–20], taking into account promising economic research [20]. There is no sufficient amount of regulatory and technical documents and legal acts regulating the construction of buildings over the existing transport infrastructure facilities in the Russian Federation today. A growing factor of global distribution and the number of implemented investment and construction projects, using special technical conditions, including guidelines for the overall urban rail development concept, such as The Urban Rail Development Handbook and the linear expansion of construction along the existing railways, such as the Linear Infrastructure Overbuild Guide with an album of architectural solutions for “overbuilding” and design data, technological parameters of structures, the use of which will set a stable vector for the future smart cities’ innovative development.
5 Conclusions An urgent task of modern construction is to increase the efficiency of using small land plots and at the same time to preserve the existing transport buildings and structures, especially historical buildings. The number of unique technologies, distinguished by non-standard design solutions has significantly increased recently thanks to innovative building materials, the latest technological developments and modern equipment. In the context of a modern city development, along with architectural and planning solutions and engineering territorial development, it is necessary to improve and optimize indicators taking into account the considered innovative project for the construction of residential and commercial structures over the existing transport infrastructure within the framework of the potential development concept based on the use of internal reserves of own territories.
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The transport system of the capital cities in the Russian Federation has a huge potential for the development of territories over the existing highways and will retain its significance for the future. It is also worth noting the future potential for the introduction of new technology, especially for a country like Russia, with such a scale of its territory. The budget and timing of technology implementation depend on the design and contracting organizations’ skill level, as well as on the production capacities of organizations. In addition, it is influenced by the investment project implementation strategy, the investment sources’ structure. According to the model under consideration for St. Petersburg - 5 years of construction. It is also necessary to take into account 1 year - for the development of a business plan for the project and a risk map, as well as an additional 2 to 3 years for the development of the project documentation. The considered model can be scaled with the need for interpolation of calculated values for other cities. So, for the city of Moscow, the building area, the cost of building and selling real estate are increasing.
References 1. Shestakova, E., Malshchukova, N., Chizhov, S.: Building information modeling concept in bridge construction. In: E3S Web of Conferences, vol. 157, p. 06019 (2020). https://doi.org/ 10.1051/e3sconf/202015706019 2. Shestakova, E., Novikov, A., Antonyuk, A., Kurchanov, P.: Transport construction of the mainland—Sakhalin Island. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 249–263. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0450-1_26 3. Lediaev, A.P., Konkov, A.N., Novikov, A.L., Soloviev, D.A.: Influence evaluation of buildings constructed in protected zone on St. Petersburg subway underground structures stress-strain state. Proc. Eng. 189, 492–499 (2017). https://doi.org/10.1016/j.proeng.2017.05.079 4. Benin, A., Nesterova, O., Uzdin, A., Prokopovich, S., Rutman, Y., Guan, Y.: On estimating the reduction factor of bridge piers. In: E3S Web of Conferences, vol. 157, p. 06012 (2020). https://doi.org/10.1051/e3sconf/202015706012 5. Ledyaev, A., Kavkazskiy, V., Grafov, D., Soloviev, D., Benin, A.: An assessment of the sewer tunnel stress-strain behavior during the reconstruction of an object of cultural heritage. In: E3S Web of Conferences, vol. 157, p. 02008 (2020). https://doi.org/10.1051/e3sconf/202015 702008 6. Chizhov, S., Pismak, A., Antonyuk, A.: The stability of the wall of the main beam of the movable bridge (application of SP method). In: E3S Web of Conferences, vol. 157, p. 06014 (2020). https://doi.org/10.1051/e3sconf/202015706014 7. Selyutina, L., Pesotskaya, E., Rybnov, E., Sitdikov, S.: Risks accounting when building a management system for innovative and investment processes in construction. In: E3S Web of Conferences, vol. 217, p. 11010 (2020). https://doi.org/10.1051/e3sconf/202021711010 8. Shestakova, E.B., Ermilova, A.V.: Safe operation of escalators: state of the art and the way forward. Bezopasnost’ Truda v Promyshlennosti 2020(8), 86–93 (2020). https://doi.org/10. 24000/0409-2961-2020-8-86-93 9. Ulitsky, V., Bogov, S.: Restoration engineering of historic structures: case study of building 12 on new Holland Island in Saint-Petersburg. In: Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations - Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 390–395 (2019). https://doi.org/10.1201/9780429058882-75
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10. Belyi, A., Shestovitskii, D., Karapetov, E., Sedykh, D., Linkov, V.: Main solutions of structural health monitoring in managing the technical condition of transport objects. In: 2019 IEEE East-West Design and Test Symposium, EWDTS 2019, p. 8884435 (2019). https://doi.org/ 10.1109/EWDTS.2019.8884435 11. Belyi, A., Osadchy, G., Efanov, D., Shestovitskiy, D.: Implementation of the continuous monitoring system for technical condition of the St. Petersburg arena stadium sliding roof. In: Proceedings of 2018 IEEE East-West Design and Test Symposium, EWDTS 2018, article № 8524680 (2018). https://doi.org/10.1109/EWDTS.2018.8524680 12. Smirnov, V.N., et al.: Dynamic interaction of high-speed trains with span structures and flexible support. Mag. Civ. Eng. 76(8), 115–129 (2017). https://doi.org/10.18720/MCE.76.11 13. Vorob’eva, K.V., Uzdin, A.M., Freze, M.V., Habin, W., Yuan, Z.: Effect of the foundation-base interaction on the dynamics of metal bridge spans. Soil Mech. Found. Eng. 53(5), 336–343 (2016). https://doi.org/10.1007/s11204-016-9408-2 14. Diachenko, L., Benin, A.: Justification of the bridge span vertical stiffness on high-speed railways. In: E3S Web of Conferences, vol. 135, p. 03065 (2019). https://doi.org/10.1051/e3s conf/201913503065 15. Kanashin, N.V., Nikitchin, A.A., Svintsov, E.S.: Application of laser scanning technology in geotechnical works on reconstruction of draw spans of the palace bridge in Saint Petersburg. Proc. Eng. 189, 393–397 (2017). https://doi.org/10.1016/j.proeng.2017.05.062 16. Benin, A., Konkov, A., Kavkazskiy, V., Novikov, A., Vatin, N.: Evaluation of deformations of foundation pit structures and surrounding buildings during the construction of the second scene of the State Academic Mariinsky theatre in Saint-Petersburg considering stage-by-stage nature of construction process. Proc. Eng. 165, 1483–1489 (2016). https://doi.org/10.1016/j. proeng.2016.11.883 17. Vvedenskij, R.V., Gendler, S.G., Titova, T.S.: Environmental impact of the tunnel construction. Mag. Civ. Eng. 79(3), 140–149 (2018). https://doi.org/10.18720/MCE.79.15 18. Serebryakov, D., Konon, A., Zaitsev, E.: The study of subgrade operating conditions at bridge abutment approach. Proc. Eng. 189, 893–897 (2017). https://doi.org/10.1016/j.proeng.2017. 05.139 19. Kazaku, E.V., Zvereva, E.V., Tsarionova, J.V.: The transport construction investment project effectiveness assessment by Monte Carlo method. In: IOP Conference Series: Materials Science and Engineering, vol. 913, no. 5, p. 052006 (2020). https://doi.org/10.1088/1757-899X/ 913/5/052006 20. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., Polovnikova, N.A.: Features of the factor models for the corporate cost management purposes in construction. In: IOP Conference Series: Materials Science and Engineering, vol. 913, no. 4, p. 042075 (2020). https://doi.org/ 10.1088/1757-899X/913/4/042075
Stress Intensity Factor for Cylindrical Specimen with External Circular Crack Under Tension Vladimir Smirnov
and Sergey Vidyushenkov(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Ave., St. Petersburg 190031, Russian Federation
Abstract. The aim of the work is to determine the approximate value of the stress intensity factor for a cylindrical sample with a circumferential crack. Irwin’s idea to extrapolate formulas for stress concentration at the notch top obtained by Neuber for a body of revolution with an annular recess of a hyperbolic shape under conditions of uniaxial tension is used. The calculations were carried out for the particular case of an infinitely small root radius of the notch (crack) on the experimental data basis. The structural fracture criterion is used to estimate the sample size (ligament diameter and outer diameter). The size of the minimum (in the crack plane) cross-section of a cylindrical sample is calculated from the condition of matching the structural criterion with Irwin’s fracture criterion. The diameter of the sample itself is proposed to be determined based on the requirement of the stress intensity factors’ equality for a deep crack in a body of revolution and a surface crack in a half-plane. The assessment of fracture toughness is given on the example of beinitic steel of strength class 650, which is used, in particular, for the construction of trunk pipelines. It is shown that, in accordance with the structural approach, the ratio of the ligament diameters and the sample is not predetermined, but is determined by sequentially selecting. Keywords: Structural strength criterion · Circumferential crack · Cylindrical sample · Critical load · Stress intensity factor · Ultimate strength · Fracture toughness
1 Introduction To assess the performance of a material in a structure, the experimental data on the material resistance to brittle fracture are required. It is especially important to have such data in cases where the structural element is weakened by a sharp stress concentrator such as a crack. The most common quantitative characteristic of material’s resistance to crack propagation in it is the limiting value of the stress intensity factor (fracture toughness) KIc [1–6]. Experimental determination of the KIc quantity is usually carried out on the samples made of sheet materials, when a generalized plane-stress state is realized. However, in structural elements of large cross-sections, the crack often propagates under the plane deformation conditions. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 408–417, 2022. https://doi.org/10.1007/978-3-030-96380-4_45
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One of the standard test schemes for fracture toughness of metallic materials is the tensile test of a cylindrical sample weakened by an annular notch (Fig. 1). In this power scheme, a local plane deformation state is realized along the entire crack front, which makes it possible to increase the load level at which crack resistance can be assessed, that is, to test more ductile metals. The absence of the exit of the crack contour to the free surface and the limitation of the sample’s working section by the crack front leads to constraint of plastic deformations in the pre-fracture zone. Samples of this type are convenient for testing bar materials, for example, used as reinforcement for various reinforced concrete structures [7–12]. The method for making cylindrical samples and initiating external circular cracks usually involves only work on a manufacturing lathe. The configuration of the pre-fracture region and the processes occurring in it at the moment of rupture under the plane deformation conditions are determined by the stress intensity factor KI = KIc . The quantity KIc is taken as an indicator of fracture toughness. Tests by KIc definition consist of two stages: 1) the crack formation, 2) the crack propagation under the action of a load until complete destruction. In order for the test results to be recognized as reliable, it is necessary to choose such sample sizes in which the pre-fracture zone is in a plane deformation state at the moment of unstable crack propagation. In engineering practice, cylindrical samples have long been used to determine the strength and plastic properties of structural materials. Also, to calculate the stress concentration, such samples were often weakened by a circumferential notch with a given radius at the top of the notch. If the radius of curvature at the notch top tends to zero ρ → ∞, then we obtain a solution for an elastic cylinder with a circumferential crack. The test results of the samples made of ductile metals may turn out to be more correct in the case of a stress concentrator, rather than a crack, since the opening of the latter can reach 1–3 mm.
Fig. 1. Cylindrical pattern with annular cut
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2 Materials and Methods The problem of the limiting equilibrium of an elastic cylinder with an external circular crack has been considered by many authors. There are a number of analytical solutions in which the expressions for determining the stress intensity factor are established. For the comparative analysis purpose, we present some formulas that give close results (without taking into account the possible eccentricity and ellipticity of the crack notched cross section). Further, the following designations are introduced: P – tensile force, D, b – outside diameter and radius of the cylinder, d, a – inner diameter and radius of the original outer crack, c = b-a – crack depth, p = P/(πa2) – rated voltage. • Andreykiv A.E., Kovchik S.E., Panasyuk V.V., 1986 0.7978 1 − Dd P , K1 = √ D D d d d D D 1 − 0.8012 D • GOST 25.506-85
2 d P d KI = √ + 0.9167 6.53 1 − 1.8167 , 3 D D D
• Loo T.-T., 1980
4 a 3 2 a 5 3 a 7 , 1− KI = − − 3π b 5π b 14π b 2a πa P √
• Panasyuk V.V., Andreykiv A.E., Kovchik S.E., 1977
a 3 a 4 a 2 P 1 − ab a KI = + 0.2757 − 0.2082 × 1 − 0.5 − 0.125 2a πa b b b b a 5 a 6 a 7 −1 + 0.0663 − 0.0048 − 0.013 b b b • Yarema S.Ya., 1970
0.199 ab P K1 = √ 1− , 1 − 0.801 ab 2a π a
• Panasyuk V.V., Andreykiv A.E., 1970 √
a 3 a 5 a 7 P 2 , K1 = √ 1 − 0.3382 − 0.1359 − 0.0904 b b b d πd • Srawley J.E., 1969 P K1 = 3/2 D
1.72
D − 1.27 d
Stress Intensity Factor for Cylindrical Specimen
• Gross B., Srawley J.E., Brawn W.F., 1964 √ 1 − ab 1 a · · K1 = p π D 2 b 4 − 3.2 ab
411
(1)
Manufacturing a cylindrical sample with an external circular crack is a rather laborious and expensive process: after obtaining the initial workpiece of the required diameter, it is necessary to first make a notch on the lateral surface, and then grow a fatigue crack from it. For an approximate estimate of the fracture toughness KIc a cylindrical sample with an annular V-shaped cut can be concerned. During the tests of cylindrical specimens made of bainitic steel with an annular Vshaped cut, the following technique was used. It is known that the stress intensity factor KI (SIF) can be found from the stress concentration factor at the top of a smooth notch using the formula, proposed by Irwin √ σmax (2) KI = limρ→0 πρ 2 where ρ – is the curvature of the notch at its top, σmax – is the maximum normal stress at the top of the notch. The expression (2) can be rewritten in terms of the stress concentration factor Kt, assuming that the stress intensity factor reaches its critical value under breaking load p*, where p* = P*/(π(d2/4)): 1√ πρp∗ Kt (ρ) (3) 2 Since in this case only the notch top is of interest, the stress concentration factor can be determined by the formula obtained by Neuber for the case of tension of an infinite elastic body with an annular deep notch of hyperbolic shape 1 1 d 1d 1d 1d ρ 2 ρ 2 + 1 + 2 + v ρ 2 + (1 + v) 1 + ρ 2 +1 , (4) Kt (ρ) = 1d 1d + 2v + 1 + 2 ρ 2 ρ 2 KIc (ρ) =
where ν – is the Poisson’s ratio. The radius of curvature at the top of the sample is 0.25 mm (Fig. 2).
Fig. 2. Fracture toughness test sample
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3 Results According to the test results, the critical load was P* = 14.17 kN. Then the stress concentration factor according to the formula (4) is equal to Kt = 3.043, and the critical stress intensity factor (static fracture toughness) according to the formula (3) is: KIc = 48.1 MPa·m1/2. Results are given in Table. 1. Table 1. Results Critical load P* kN
Stress concentration factor Kt
Critical stress intensity factor KIc MPa·m1/2
14.17
3.043
48.1
The same KIc value can be obtained by the formula: 0.9656 1 − Dd P∗ K1 = √ . D D d d 1 − 0.8012 d D D D The type of the plane samples’ stress state directly depends on their thickness. In our opinion, it is preferable to measure the fracture toughness KIc (in particular, metals) under conditions of plane deformation. Experiments show that the quantity KIc ceases to depend on the thickness of the sample with a sequential increase in the latter and becomes constant. In this case, the influence of plastic effects on the sample surface (shear lips) becomes negligible, and the fraction of the brittle component in the fracture can reach 100%. From this point of view, a cylindrical sample looks more attractive, since a local plane strain state is realized in it along the entire crack contour, and edge plastic effects are absent, since the crack contour does not protrude onto the sample surface. In addition, it is easier to take into account the sample surface effect on the stress state in the crack front vicinity in the computational model. In addition, round smooth samples are used as standard in determining material strength and yield characteristics.
4 Discussion In order to be in plane deformation conditions, the sample dimensions must have optimal dimensions for the pre-fracture zone in the crack front vicinity. This condition requires the manufacture of the samples of large sizes. Cylindrical sample radius b (b > a) (where a – ligament radius) can be approximately estimated, taking into account the consideration that in the case of a shallow crack, the stress intensity factor should follow the value for an edge crack of length (b-a) in an infinite plane, stretched away from the crack by stress p (5) K1 = 1.12p π(b − a)
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Stress intensity factor for an external circular crack of radius in elastic space a 1 √ p πa 2 Now equating the values (5) and (6), we find KI =
b = 2.686a
(6)
(7)
Now we can propose the following procedure for determining the critical coefficient of stress intensity (fracture toughness). 1) Cylindrical sample with an external circular crack with an arbitrary value of the ligament radius a and the radius of the sample in the first approximation equal, for example, to b ≥ 3a is tested for uniaxial tension. 2) Critical load is determined as p*. 3) The fracture toughness limit is calculated Kc (critical value of the stress intensity factor at an arbitrary crack length) 1 √ p∗ π a. 2 4) The structural parameter of fracture is calculated [13]. Kc =
dc =
2Kc2 , π σc2
where σc defines tensile strength. 5) The value is set, it is the difference in the critical load value, determined by the structural criterion and by the Irwin criterion, and the minimum ligament radius is determined by the formula [14]. dc . a∗ = 2(2−) 6) At a = a* (with some error within the instrumental accuracy), the radius of the sample is determined according to (6). 7) For a sample of the dimensions obtained, the ultimate load p* is calculated as well as crack resistance limit Kc and further we mean KIc = Kc. So, for = 0.10 (10%) (tightening this difference leads to an increase in the size of the minimum section and the entire sample) for beinitic steel (σc = 750 MPa) in the first approximation we get: a = a* = 6.9 mm, b = 2.686·6.9 ≈ 18.5 mm. Accordingly, the diameters of the ligament and the sample will be equal to 14 mm and 37 mm, and their ratio is 0.38. This ratio, in contrast to the one regulated by the GOST standard 25.506-85 in the size of 0.6–0.7, here, in accordance with the structural approach, will be different for different materials. Experimental data from various sources show an increase in the reliability of determining the fracture toughness parameter KIc with an increase in the cylindrical sample diameter. In particular, it is noted that the correct values of fracture toughness can be obtained on the samples with such dimensions for which the shear bands do not intersect on the center line. In bending and torsion of cylindrical samples with shallow and deep circumferential cracks, the ratios for stress intensity factors are proposed in the works [15, 16].
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5 Accounting for Ligament Asymmetry Experience in testing materials for crack resistance shows that cylindrical samples with an external circular crack at the time of unstable fracture have a certain asymmetry: the crack front is an ellipsoidal curve, the center of which is displaced relative to the sample axis. Such a picture is observed on fractures during cyclic tests of materials for circular bending, as well as for viscous materials under single tension. The stress intensity factor in this case can be calculated using an approximate formula obtained on the Neuber’s interpolation equality basis (Yarema S.Ya., 1970): 1 P sinγ cosβ cosγ sinβ 32 μ1 4 2 1+k √ + × + K1 = √ a2 b2 1+g 1 + 0.5625g 2 π ab √ 1 d 1 + k2 ab r0 , g = 0.199 (8) = , μ1 = , κ = dβ R− a2 cos2 β + b2 sin2 β Here P is axial force applied to a sample, r0 , γ are the polar coordinates of the cylinder axis intersection point with the plane of the notched cross section, R is cylinder radius, a, b are the semiaxis of ellipticity of the crack ligament, r, β are the polar coordinates with origin at the ellipse center. In the special case when the crack becomes concentric (a = b = , r0 = 0), formula (8) coincides with the expression (1). Various techniques to create circular surface axisymmetric cracks of strict concentricity in cylindrical samples have been proposed. The most common is the circular bending of the sample during rotation with a rigid fixation of the deflection. During loading, the depth of the developing crack is controlled and the kinetics of its growth is monitored. Having calibration functions, it is possible to obtain an initial circumferential crack of a given size. Automatic control over the change in the sample stiffness requires the manufacture of a rather complex strain gauge device. To observe the possible occurrence of the ligament ellipticity during the sample process, non-destructive testing methods are also used, in particular, the electromagnetic method. It should be noted that a significant change in the loading rate causes the crack to propagate in depth uneven along the front, which leads to a fracture in the sample manufacture process at a typical test speed of 3000 rpm. Therefore, it is proposed to reduce the rotation speed to 50 rpm at a stress level from 0.7 to 1.1 of the material yield point. In this case, the number of training cycles is within 103 –105 . The disadvantage of the cyclic training technique is the formation of a cyclic work-hardening crack in front of the formed crack front for a number of structural steels. To overcome work hardening, it was proposed to place the sample in the zone of the stress concentrator in a chamber with a surface-active medium. A method for creating a circumferential crack by impact-fatigue bending is also proposed. A sample with a stress concentrator in the form of an annular notch with a small root radius is subjected to cyclic impact bending with rotation at each impact on a pile driver. A concentric circular crack develops at the bottom of the notch. In contrast to the usual cyclic tension at impact bending, in the high-stress zone there is only a small
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area at the notch top, which prevents the development of plastic deformation. This makes it possible to obtain circumferential cracks on the samples from more yield materials. The development of an effective method for the surface concentric cracks’ formation in cylindrical samples by cyclic circular bending is associated with the need to take into account various factors in the manufacturing process: the effect of temperature, environment, loading rate, size factor, etc. This requires the construction of a calibration curve for each individual case. There are attempts to create a single calibration curve for geometrically similar samples, which, to some extent, does not depend on the type of metal and external factors. In particular, to calculate the loading force Pf and the calibration curve, the following expression is proposed [1]: Pf ≤
0.06K1c · d (D + dc )2 D−d (D − d )1/3 · L · Y D+d c
where L is the total sample length, D is the total sample length, d, d are the sample diameters along the concentrator and crack tip, respectively, Y is a calibration function for prismatic sample with concentrated bend. It is assumed that this expression for the loading force will eliminate the need for preliminary tests when removing artificial cracks in cylindrical samples.
6 Conclusions The results of tests for crack resistance of beinitic steel showed that this steel has a high toughness (ductility) and can be considered as a building material for the manufacture of various structures, in particular, pipelines. The quantitative assessment of fracture toughness obtained from the test results should be considered as preliminary. The simplifications made in the samples’ manufacturing (the absence of an initial fatigue crack, neglect of the fatigue crack front possible asymmetry) do not allow an unambiguous interpretation of the results obtained. The growth of the initial fatigue crack emanating from the apex of the notch will contribute to the correct determination of the ultimate crack resistance. If it is impossible to create such a crack, an (unequal) alternative can be the production of the samples with the minimum possible root radius at the annular notch top. It should be noted that the main attention in the study of materials’ crack resistance is paid to loading according to mode I, when the forces applied to the sample are directed normal to the crack front (plane strain or plane stress state). However, cylindrical samples can also be used under conditions of anti-plane strain (loading according to mode III). Such tests are important in solving practical problems of increasing the durability of such structural elements as shafts, torsion bars operating under the influence of torsional loads. In this case, it is necessary to overcome the difficulties associated with assessing the current crack length and stress intensity factor. So, to calculate the current KI and KIII values, the analytical dependencies that take into account the complex configuration of the growing crack are required. Also, an important characteristic is the stress intensity factor level, at which the crack growth mechanism changes. Torsion testing of the notched samples is important, first of all, for brittle materials (hardened carbon and shear steels, cast iron, etc.).
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References 1. Diachenko, L., Benin, A., Smirnov, V., Diachenko, A.: Rating of dynamic coefficient for simple beam bridge design on high-speed railways. Civ. Environ. Eng. 14(1), 37–43 (2018). https://doi.org/10.2478/cee-2018-0005 2. Kuznetsova, I., Uzdin, A., Sabirova, O.: Load combinations in performance-based designing of earthquake-resisting structures. In: MATEC Web of Conferences, vol. 239, p. 05009 (2018). https://doi.org/10.1051/matecconf/201823905009 3. Surgutanova, Yu.N., Mikushev, N.N., et al.: IOP Conference Series: Materials Science and Engineering “International Conference and Youth Scientific School on “Materials and Technologies of New Generations in Modern Material Science”. Institute of Physics Publishing, Tomsk, 09–11 June 2016, p. 012–018 (2016). https://doi.org/10.1088/1757-899X/156/1/ 012018 4. Yarullin, R.R., Shlyannikov, V.N., Ishtyriakov, I.S., Yakovlev, M.M.: Stress intensity factors for mixed-mode crack growth in Imitation Models under biaxial Loading. Frattura ed Integrita Strutturale 14(53), 210–222 (2020). https://doi.org/10.3221/IGF-ESIS.53.18 5. Zakharov, A., Shlyannikov, V., Tartygasheva, A.: Plastic stress intensity factor behavior at small and large scale yielding. Frattura ed Integrita Strutturale 14(53), 223–235 (2020). https:// doi.org/10.3221/IGF-ESIS.53.19 6. Li, S., Wang, J.: The stress intensity factors of multiple inclined cracks in a composite laminate subjected to in-plane loading. Fizicheskaya Mezomekhanika 22(2), 35–48 (2019). https://doi. org/10.24411/1683-805X-2019-12003 7. Petrov, Y.V., Smirnov, V.I.: Estimate of the limit displacement wave amplitude in the dynamic problem on an out-of-plane crack. Mech. Solids 52(4), 397–406 (2017). https://doi.org/10. 3103/S0025654417040069 8. Smirnov, V.I., Vidyushenkov, S.A., Bushuev, N.S.: Stress-strain state of elastic base under circular foundation. In: Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations. Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 341–346 (2019). https://doi.org/ 10.1201/9780429058882-66 9. Kazarinov, N., Smirnov, A., Petrov, Y., Gruzdkov, A.: Dynamic fracture effects observed in a one-dimensional discrete mechanical system. In: E3S Web of Conferences, vol. 157, p. 01020. https://doi.org/10.1051/e3sconf/202015701020 10. Kazarinov, N., Petrov, Y., Smirnov, A.: Dynamic fracture effects observed in discrete mechanical systems. Proc. Str. Int. 28, 2168–2173 (2020). https://doi.org/10.1016/j.prostr.2020. 11.044 11. Petrov, Y., Kazarinov, N.: Instabilities encountered in the dynamic crack propagation process under impact loading as a natural consequence of the dynamic fracture discreetness. Proc. Struct. Int. 28, 1975–1980 (2020). https://doi.org/10.1016/j.prostr.2020.11.021 12. Petrov, Y.V., Cherkasov, A.V., Kazarinov, N.A.: Instability of critical characteristics of crack propagation. Acta Mech. 232(5), 1997–2003 (2020). https://doi.org/10.1007/s00707-020-028 52-y 13. Smirnov, V.I.: Structural approach in problems of the limit equilibrium of brittle solids with stress concentrators. J. Appl. Mech. Tech. Phys. 48(4), 605–613 (2007). https://doi.org/10. 1007/s10808-007-0076-x 14. Smirnov, V.I.: On the size of cylindrical samples with a circumferential crack for evaluating the fracture toughness of materials. Strength Mat. 44(4), 369–375 (2012). https://doi.org/10. 1007/s11223-012-9390-5
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15. Dobrovolsky, D.S., Dobrovolsky, V.I., Dobrovolsky, S.V.: Stresses, strains and energies in areas of concentration under prolonged stretching of structural elements. Kalashnikov ISTU 20(1), 4–5 (2017). https://doi.org/10.22213/2413-1172-2017-1-4-5 16. Dobrovolsky, D.S.: Crack resistance of a shaft in flexure with rotation. Rus. Eng. Res. 39(3), 208–210 (2019). https://doi.org/10.3103/S1068798X19030055
Methods Proposed for Analysis of Vibrations of Railway Cars Yulia Chernysheva(B)
and Anatoly Gorskiy
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky pr., Saint Petersburg 190031, Russian Federation {vvh,toe}@pgups.ru
Abstract. Oscillations of carriages, which are especially noticeable when the speed of a railway train increases, require a detailed study, which presents significant mathematical difficulties. The article presents two methods for analyzing oscillations of railway cars: an estimated mathematical one based on solving differential equations, and a more accurate one based on simulation modeling in the MATLAB Simulink system. A reasonable simplification of the equations describing the oscillations makes it possible to consider the physics of the phenomena arising in this case more clearly, and a detailed account of the factors and parameters affecting the development of oscillations will make it possible to do this more accurately. Keywords: Car dynamics · Vibration · Track irregularities · Free forced vibrations · Galloping · Rock and roll · Lateral motion · Inertia force · Resonance · Differential equations · Independent · Coupled · System of equations
1 Introduction When a freight train moves along a track with irregularities (rail sagging, worn joints), vibration of the carriages may occur. In the case when the frequency of vibrations (for example, free vibrations of a carriage) coincides with the frequency of forced vibrations caused by irregularities, resonance phenomena are possible. In this case, the amplitude of the oscillations can increase significantly. This consumes the power of the locomotive driving the train. As a result, a decrease in the train speed may occur, because the power of the locomotive may not be enough to maintain the required traction force.
2 Methodology Consideration of forced oscillations (they are caused by irregularities in the path) is associated with taking into account resonance phenomena, therefore, dissipative forces must be taken into account. Allowance for dissipative forces will lead to a joint system of two coupled differential equations (along each axis). Based on the available literature data, we will consider the influence of dissipative forces belonging to different degrees © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 418–426, 2022. https://doi.org/10.1007/978-3-030-96380-4_46
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of freedom on the general process of damping of oscillations to be insignificant. Namely we will assume that the listed modes of oscillations are described by independent differential equations. In other words, when formation the differential equations of the arising oscillations, in the first approximation we will consider only one degree of freedom. The foregoing is also confirmed by experimental results. In symmetrical carriages, vertical (bouncing and galloping) and horizontal (wobbling, lateral and rolling motion) may be considered separately. For the most studied oscillatory motion - bouncing, the equation has the form [1, 2] dz d 2z + b + cz = Fnet (1) 2 dt dt where m is the mass of the sprung part of the car, b is the parameter of the viscous resistance of the damper, c is the stiffness of the springs, Fnet is the inertia force that takes into account the forward motion of the car. Here we consider a rectilinear, uniform movement, in which the forces causing the movement and the braking forces are balanced and only one force can be taken into account - the force of inertia. When driving on a path with an unevenness as m
h 2π x sin v (2) 2 L it is assumed that at the beginning of movement (x = 0) the car is at the point from which the unevenness begins. Such as x = vt, L = vT, expression (2) written as a function of the x coordinate can be reduced to expression (3), in which the value of roughness η will be a function of time η=
h sinωt (3) 2 In expressions (2, 3) T is the time during which the car passes the length of the unevenness L with the speed v, ω = 2π T . Force of inertia η=
Fnet = mη¨ = −m
d2 (ηmax sinωt) = ηmax mω2 sinωt dt 2
Then Eq. (1) takes the form m¨z + b˙z + cz = Hsinωt
(4)
where H = 2h mω2 . The processes in the mechanical system described by expression (4) are similar to the processes in the transient mode in the circuit R, L, C LC
d 2 uc duc + uC = u(t) = Um sinωt + RC dt 2 dt
(5)
Taking into account that the electric charge q = Cuc the Eq. (4) can be written by choosing the electric charge as an argument L
d 2q q dq + R + = Um sinωt dt 2 dt C
(6)
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b If all the terms of Eq. (4) are divided into m and be insymboled: ρ = 2m , v2 = mc and the coordinate is replaced by the generalized coordinates q, then Eq. (4) will have the form:
q¨ + 2ρ q˙ + v2 q =
H sinωt m
(7)
Its solution according to [3] is q=
H sin(ωt − γ ) + e−ρt (A1 sink1 t + A2 cosk1 t) 2 2 2 2 m v − ω + 4ρ ω
(8)
where constants A1 and A2 are determined from the initial conditions 2ρω v1 = v2 − ρ 2 ; α = arctg 2 . v − ω2 The value v = mc corresponds to the frequency of free vibrations of the mechanical b ; the system without taking into account the attenuation determined by the value ρ = 2m 2 2 value v1 = v − ρ corresponds to the frequency of free vibrations of the mechanical system, taking into account the attenuation. R ,ω = If all terms of Eq. (6) are divided into L and be insymboled δ = 2L 1 2 ω0 − δ 2 ,ω0 = √ (ω0 is the resonant frequency, i.e. the proper frequency of the LC loop without attenuation, ω is the proper frequency of the loop with attenuation), then Eq. (6) will be written in the form of Eq. (9), and its solution will have the form (10)
q + 2δ q˙ + ω02 q =
Um sinωt L
Um q = sin(ωt + uc ) + e−δt (A1 sinω1 t + A2 cosω1 t) 2 2 L ω0 − ω + 4δω
(9) (10)
where A1 and A2 are the integration constants, determined from the initial conditions, 2δω . ω1 = ω02 − δ 2 ; ψuc = −arctg 2 ω0 − ω2 Replacing Um → H , L → m, ω02 → k 2 , ω1 → k1 , ψuc → (−γ ) we obtain that expression (10) is transformed into (8). Thus, expression (8) is the final result of studying the vibrations of the car (the selected model) caused by bouncing. The study of other vibrations: along the x, y-axes, angles ϕ, θ, ψ can also be carried out by solving independent second-order differential equations, as the parameters affecting the vibrations are the same: the mass of the car, the stiffness of the springs, the viscous resistance of the damper. Of course, the considered model is very approximate, but it makes it possible to consider the physics of the phenomenon, in particular to evaluate the resonance phenomena and qualitatively to take them into account when considering the motion under the influence of a source of limited power.
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3 Results The dynamic effects [4–6] in the interaction of a locomotive and a train moving under the tangential force of traction motors of limited power on a track with a uniform unevenness of the rail lines are considered. For this, a freight train is presented as a chain of articulated rigid bodies (wagons) that make various vertical movements when moving along uneven railway track, and the longitudinal displacements of all cars are equal. The total kinematic disturbing effect on a 4-axle car when it moves along rail irregularities is represented by the function. ηn =
h 1 4n h sin(ωx − αk ) = Dn sin(ωx − αn ), n = 1, 2, . . . , N , k=4n−3 2 4 2
where x is the coordinate along the axis of the track; ω is the frequency of vertical oscillations of wheel sets relative to the axis of unevenness (ω = 2π V/L tir ) at a speed of V = 1 m/c; h, L tir - the span and length of the actual irregularity of the rail lines; α k = 2π lk /L ti – initial phase of the k-th wheel set movement; l k is the distance between the 1-st and k-th wheel sets of the train along the x -axis, in our case the distance between the first and second wheel set is 2·lT , the first and third wheel set - 2·l, the first and fourth wheel set - 2·(l + lT ), the distance between the first and fifth wheel set - L cl ; Dn is a coefficient that takes into account the reduction of the amplitude of the actual unevenness of the rail lines to the amplitude of the average unevenness under all the wheels of the car; 2 2 4n 4n 1 Dn = D = sin(αk ) + cos(αk ) ; k=4n−3 k=4n−3 4
4n cos(αk ) αn = arctg k=4n−3 . 4n k=4n−3 sin(αk ) k is the counting number of the wheel set in the train; The position of the system can be described by the following generalized coordinates – q1 = z1 bouncing of the body of the1st car; ……….. – qN = zN bouncing of the body of the N-th car; – qN+1 = x longitudinal movement of the train. Then the Lagrange equations of the second kind can be written in the form [7–9]:
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where L is an external force equal to the resultant of the tangential traction force of the locomotive F and the force of resistance to movement RL along the track; L(V ) = F-RL = F-RL / -RL // ; RL / i RL // – - the main resistance to the movement of the locomotive and the train, respectively; M - the mass of the train taking into account the inertia of the rotating parts, kg; cn - the rigidity of the equivalent stage of suspension (per carriage) during its deformation along the vertical axis of the n-th carriage, N/m; ϕ n - the coefficient of relative friction in the spring suspension system of the n-th car; mn - the mass of the spring-suspended parts of the n-th car, kg; Zn = zn + 2h Dsin(wx − αn ) and Z˙ n = z˙n + 2h Dw˙xcos(wx − αn ). When the train moves along the railway, the power of the locomotive varies in a wide range. This is reflected in occurrence of the Sommerfeld-Kononenko effect, which is found when the output power of a non-ideal energy source (of locomotive) is comparable to the power consumed by the oscillatory system (train set) during resonant oscillations [10]. Therefore, first, we analytically determine the power of the energy source and load in stationary modes using the expressions. NETD (V ) = 0, 238FV
(11)
/ // NRS (V ) = 0, 238 RL + RL + Rosc V
(12)
As we can see, the resistance to oscillatory motion Rosc =
N N d ηn = cn Zn + φn mn gsign Z˙ n Rn osc dx n=1
n=1
does not explicitly depend on the speed of movement and changes over time. Therefore, we will consider stationary modes of train movement with steady-state speeds V 0 . Let us determine the average value Rosc over the period of oscillations (Rosc0 ) under the assumption that oscillations in the resonance region are close in shape to harmonic ones, and dry friction can be replaced by equivalent viscous friction when calculating zn . In the expression for Rosc , we substitute the vertical displacement of the center of mass of the spring-suspended parts of the car, calculated by expression (8), and expand the function sign into a trigonometric series: 2 sin(αZn ) − sin(2ωV0 t − 2αηn − αZn ) h h Rn osc = cn fn Dωcos(ωV0 t − αηn ) + cn ω D 3 2 2 2 4 h cos(αZn ) + cos(2ωV0 t − 2αηn − αZn ) −φn mn g ω D π 2 2 ∞ 4 h π cos((i − 1)ωV0 t − αZn ) + cos((i + 1)ωV0 t − 2αηn − αZn ) , −φn mn g ω D sin(i ) π 2 2 2i i=3,5
Methods Proposed for Analysis of Vibrations of Railway Cars
where 3n =
2 2 2 ω2 V02 − π4 φn g hD ; v 2 −ω2 V 2 n 0
4 αZn = arctg
2 π φn g hD 3n 2 2 vn −ω V02
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; vn2 =
cn mn ; fn
=
mn g cn .
Taking the mass of the spring-suspended parts, the parameters of dry friction vibration dampers for all cars to be the same and denoting mn = m, cn = c, ϕ n = ϕ, Δn = Δ, α Zn = α Z , vn = v, f n = f , the expression for Rosc0 takes the form: h 4 cos(αZ ) sin(αZ ) h ϕ Rosc0 = ω D c D 3 − ϕmg N = Rcosc0 + Rosc0 . 2 2 2 π 2 As you can see, the average value over the oscillation period of the variable component of the resistance to oscillatory motion is equal to zero and the constant component Rosc0 depends only on V 0 . Figure 2 shows the dependence of the constant component of the resistance to the oscillatory movement of cars, referred to the train mass in tons, (Rosc0 ) on the frequency of the disturbing function ηn . The calculation was carried out for a car model 12–132 (m = 85,96 t, c = 17,537 106 N/m, ϕ = 0,065) and h = 10 mm with an irregularity length of 8.86 m. From expression (12) it can be seen that the component of the load power is the power consumed by the locomotive to overcome the force of the main resistance to the movement of the train, which is determined by the type of rolling stock. The power of an unideal energy source depends on the traction electric drive of the locomotive, the mode of train driving, which is set by the driver and is limited by the condition of adhesion of the wheels to the rails, as well as on the value of the highest current of traction electric motors (TEM) I q . Let’s choose as an imperfect energy source a traction electric drive of a single-phase DC electric locomotive with zone-phase voltage regulation ES5K [11–13] in a two-section design. Taking the rectified current ideally smoothed, the traction force is determined by the expression: (13) F = η3, 6Cv β0 Iq (V ) Iq ndm , where C v F(β 0 I q (V)) is the magnetization characteristic of traction electric motors of the 2ES5K electric locomotive, V/km/h; β 0 – coefficient, which takes into account that 98%, 70%, 52%, 43% of the armature current passes through the excitation winding of the traction motor; η is the efficiency of the traction motor, (η = 0.97); ndm is the number of traction motors of a two-section electric locomotive, (ndm = 8). The traction motor current depends on the ratio of the rectified voltage and the rotating electromotive force, which is determined by the speed of the locomotive and the degree of attenuation of the excitation of the traction motor [14]. Therefore, by computer simulation of the processes associated with a change in the current and voltage of the traction electric motor, when starting and moving an electric locomotive with a train set, the current characteristics I q (V 0 ), were obtained. Then, according to expression (13), the dependence F(V0) is determined for various set current values of the TEM (I) and
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the power characteristic of the energy source is constructed according to expression (11) (Fig. 1). From the ratio of the powers of the energy source and the oscillatory system, consisting of the 71st car model 12–132 with axle load q0 = 23,5 t (Fig. 2), it can be seen that the speed of the train is 71.8 km/h, where N ETD (V 0 ) has a maximum, the power N RS is comparable to N ETD (TEM set current value I = 400 A). When calculating the load power, the expressions of the main resistance to the movement of the 2ES5K locomotive and the car model 12–132, given in the rules of traction calculations, were used. Knowing the ratio of the power of the energy source and the oscillatory system, let’s consider the movement of a freight train on a track with a uniform unevenness of the rail lines under the action of the tangential forces of the traction motors of a locomotive of limited power in transient modes. For this, using the given expressions in the MATLAB Simulink system [14, 15], a simulation model was developed, which consists of the 71st block diagram for calculating the movement of the spring-suspended mass of a car in the vertical plane, a block diagram for solving the movement of a train and a model of a traction drive of a 2ES5K electric locomotive.
Fig. 1. Resistance to oscillative motion of wagons, referred to the mass of the train in tons
Fig. 2. The graph of the ratio of powers normalized to the power of an electric locomotive in stationary mode
The 2ES5K module is implemented according to the design diagram of the power circuit and the functional diagram of the automatic control system of the 2ES5K electric locomotive, with a perfectly smoothed rectified current, with two stages of field weakening. The peculiarities in changing the speed of the train become apparent mostly at the values of the TED current setting of 400 A and 500 A (Fig. 3). The following sections can be distinguished on the graph of changes in the speed of movement: – pre-resonant section with a relatively fast increase in V; – the initial resonant section, where the rate of increase of V decreases as the amplitudes of vertical oscillations of the spring-suspended mass of the cars grow (Fig. 4); – the final resonance section, where the rate of increase of V decreases more strongly as the amplitudes of vertical oscillations of the spring-suspended mass of cars fall; – the section after resonance, where the rate of increase of V increases again, but more slowly as the steady-state value of V 0 is approached.
Methods Proposed for Analysis of Vibrations of Railway Cars
Fig. 3. The speed of the train when passing through the resonance.
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Fig. 4. Bouncing of the body of the first carriage when passing through resonance.
4 Discussion of Results In stationary modes of movement of a train consisting of single-axle cars with dry friction vibration dampers, it is established: – in the curve of resistance to oscillatory movement of cars in train set there are a constant component, a harmonic with a frequency equal to the frequency of the disturbing effect, and even harmonics; – in the resonance zone the constant component of the resistance to the oscillatory movement of the cars in the train set is proportional to the range of the actual irregularity of the rail lines and the amplitude of the dynamic compression of the spring set h/2DΔ3 ; – the variable component of the resistance to the oscillatory movement of the cars in the train set is mainly determined by the value of the static deflection of the spring set f.
5 Conclusion Significant mathematical difficulties in analyzing the vibrations of cars, which can lead to undesirable consequences with increasing speeds, can be alleviated by separately considering different modes of vibrations. The parameters influencing the vibrations of various types are the same - the mass of the car, the stiffness of the springs, the viscous resistance of the damper, the given unevenness of the track. Therefore, the equations describing different oscillations will be similar. The obtained analytical expressions will make it possible to show the physical side of the process and evaluate how it is possible to influence the decrease in the amplitude of the oscillations and change (if required) the frequency of the oscillations. Using the example of the interaction of a locomotive with engines of limited power and a train set consisting of uniaxial cars, moving on a track with a uniform unevenness of the rail lines, it is shown: – an increase in the difference between the power of the locomotive and the load, due to an increase in the value of the current setting of the traction motor I, leads to a smoothing of the differences in the rate of change of speed. The graph of V(t) changes is straightened and loses its characteristic area in the resonant region;
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– the maximum of amplitudes and the duration of the vertical oscillations of the springsuspended mass of the cars decrease with the growth of the locomotive power. The results obtained will make it possible to perform a traction calculation to determine the optimal control mode for the train movement, which will ensure the minimum energy consumption for a given section of the track.
References 1. Schmitz, T.L., Smith, K.S.: Single degree of freedom forced vibration. In: Mechanical Vibrations. Springer, Boston (2012). https://doi.org/10.1007/978-1-4614-0460-6_3 2. Mori, Y.: Vibration theory. In: Miri, Y. (ed.) Mechanical Vibrations (2017). https://doi.org/ 10.1002/9781119384502.ch1 3. Faleski, M.C.: Transient behavior of the driven RLC circuit. Am. J. Phys. 74, 429–437 (2006). https://doi.org/10.1119/1.2174032 4. Wedig, W.V.: Jump phenomena in road-vehicle dynamics. Int. J. Dyn. Control 4(2), 213–220 (2015). https://doi.org/10.1007/s40435-015-0182-1 5. Blekhman, I., Kremer, E.: Vertical-longitudinal dynamics of vehicle on road with unevenness. Proc. Eng. 199, 3278–3283 (2017). https://doi.org/10.1016/j.proeng.2017.09.361 6. Kong, X., Jiang, J., Zhou, C., Xu, Q., Chen, C.: Sommerfeld effect and synchronization analysis in a simply supported beam system excited by two non-ideal induction motors. Nonlinear Dyn. 100(3), 2047–2070 (2020). https://doi.org/10.1007/s11071-020-05626-2 7. Zboinski, K., Golofit-Stawinska, M.: Investigation into nonlinear phenomena for various railway vehicles in transition curves at velocities close to critical one. Nonlinear Dyn. 98(3), 1555–1601 (2019). https://doi.org/10.1007/s11071-019-05041-2 8. Corno, M., et al.: Single-track vehicle dynamics control: state of the art and perspective. IEEE/ASME Trans. on Mech. 20, 1–12 (2015). https://doi.org/10.1109/TMECH.2014.238 2717 9. Zboinski, K.: Modelingsimulation, and results of their use in railway vehicle dynamics studies, railway research - selected topics on development, safety and technology, Krzysztof Zboinski, IntechOpen (2015). https://doi.org/10.5772/62105 10. Kononenko, V.O.: Vibrating Systems with a Limited Power-Supply. Iliffe, London (1969) 11. Titova, T.S., et al.: Improving the energy performance of alternating-current electric vehicles. Russ. Electr. Eng. 88, 666–671 (2017). https://doi.org/10.3103/S1068371217100145 12. Zaitsev, A.A., Rolle, I.A., Evstaf’eva, M.V., et al.: Determination of the energy indices of alternating current electric rolling stock using computer simulation. Russ. Electr. Engin. 89, 612–616 (2018). https://doi.org/10.3103/S1068371218100115 13. Evstaf’ev, A.M., Yakushev, A.Y., Sereda, A.G.: A simulation mathematical model of a traction transformer with tapped secondary windings. Russ. Electr. Engin. 87, 275–281 (2016). https:// doi.org/10.3103/S1068371216050072 14. Uyulan, C., Gokasan, M., Bogosyan, S.: Modeling, simulation and slip control of a railway vehicle integrated with traction power supply. Cogent Eng. 4, 1 (2017). https://doi.org/10. 1080/23311916.2017.1312680 15. Jha, P., Gokhale, S.: Modeling and validation of Gatimaan express with Matlab. Simulink 162, 441–457 (2016). https://doi.org/10.2495/CR160401
Contact of a Railway Wheel and a Rail in the Presence of Sliding and Coupling Sergey Krotov1
and Dmitry Kononov2(B)
1 Rostov State Transport University, 2 Rostovskogo Strelkovogo Polka Narodnogo
Opolcheniya sq., Rostov-on-Don 344038, Russian Federation 2 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue,
St. Petersburg 190031, Russian Federation
Abstract. Predicting the tense-deformed condition of the wheel or rail when they interact depending on normal pressure. A study of the stress-strain state in the wheel of the car and in contact with the rail using the finite element method with various combinations of the load factors into account temperature effects, dynamic effects, contact parameters, effects of fatigue; calculated the force of interaction between wheel and rail, causing the stress state of the wheel, wear and fracture of the contacting surfaces, and as a consequence, the reliability of the car and safety. The influence of tangential loads on the stress-strain state in the presence of sliding in the contact zone of the wheel with the rail is determined. The parameters of dangerous stresses depending on the axial load are given. Experimental and theoretical approaches to determining the stress-strain state of contacting bodies in the presence of both sliding and coupling in the contact of the wheel and rail are shown. The components of the stress tensor as a function of the contact pressure are obtained according to the calculated formulas. Diagrams of the distribution of tangential stresses in the contact of the wheel with the rail in the presence of a zone of coupling and sliding are given. The intensity of the change in the stress state in the contact of the wheel with the rail is determined. The results obtained show the effect of sliding and coupling zones on the stress state in the contact zone in comparison with full sliding. The results are useful in predicting the stress-strain state of a wheel or rail when they interact as a function of normal pressure. Keywords: Tangential load · Normal pressure · Slip · Grip · Stress state · Contact
1 Introduction The determination of the destructive number N of stress repetition cycles in time, depending on the stresses, the nature of the stress state, the cycle parameters and other conditions of contact between the wheel and the rail, is very relevant, especially in connectionwith the need to increase the load capacity of freight cars [1–4]. The dependence N = f σeq cannot be solved theoretically at this stage of the development of the theory of contact fatigue failure. We have to resort to modeling the rolling of the wheel on the rail, including testing small samples. These tests require a lot of time and a significant number of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 427–435, 2022. https://doi.org/10.1007/978-3-030-96380-4_47
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samples themselves. Therefore, the accumulation of experimental data, their systematization and careful analysis will allow us to obtain empirical and analytical dependencies and transfer them to the practice of calculating the wheels of freight cars for contact fatigue life. It is known that fatigue microcracks originate at the very surface of the contacting bodies due to the specific conditions of the stress state of the body surface [5–8]. To assess the danger of a stress state on the contact surface of the wheel with the rail and to assess the possible occurrence of microcracks of contact fatigue, it is very useful to know all the stress components. An important role here is played by experiments in the interaction of samples made of rail and wheel steel, which is carried out under all possible combinations of loads, rotation speed, the presence or absence of lubrication, slippage, etc. These studies recreate the full-scale conditions of wheel-rail interaction with a sufficient degree of accuracy N = f σeq , and their results are of considerable value in ensuring the safety of railway transport [9, 10].
2 Experimental Data on the Contact Fatigue Life of Samples and Their Analysis The results of testing of disc samples [11] made of wheel and rail steels for contact fatigue durability are published. They are calculated by the formula of the plane deformation that occurs when cylinders whose length is much larger than their diameters (theoretically, for infinitely long cylinders) come into contact. In fact, the diameter of the test samples is about 50 mm, and the length l = 6 mm. Consequently, the stress state of the disks under the experimental conditions was closer to the plane stress state (PSS) than to the plane strain (PS). In the contact zone, compression stresses occur. They change according to the elliptic law described by the Hertz-Belyaev solution. Based on this, we assume that: P0 =
1 p.s. 2 p.s.s. P + P0 . 2 0 3
In accordance with the accepted assumptions, the equivalent stresses in the disks for their test conditions are calculated as follows: σeq =
1 p.s. p.s.s. σeq + σeq . 3 3
(1)
The theoretical analysis performed above showed that the lowest limit value of the Vlv, starting from which the slip is carried out on the entire contact area (i.e., complete slip), is equal to Vlv = βaf .
(2)
We calculate these values for the experimental conditions [11]. The half-width of the contact strip is determined by the formula a = l12P π P0 and, respectively, for three loads. Substituting the data in formula (2) will give the following limit values of the relative slip rates under the conditions of the experiment:
Contact of a Railway Wheel and a Rail P0 , kg
65
100
150
a, mm
0.161
0.224
0.275
V lv
0.00225
0.00279
0.00341
429
At these values of Vlv, the tangential force in the contact reaches the maximum coupling value Tlv = fN and then remains almost constant with the growth of V [12]. At relative sliding speeds greater than 0.025, as a result of wear from abrasion, the metal that has cracked along the shear planes is removed from the contact surface, i.e., the foci of fatigue failure are removed. If the wear rate is high enough, fatigue chipping may not occur at all. But wear is also a type of destruction of surfaces, so with a large slip V, one type of destruction is replaced by another. The lowest values of N at V = 0.025 indicate [13] that at this rate of relative sliding, abrasive wear has not yet worn away the mouths of microcracks, the development of which would lead to fatigue chipping of the contact surface. Therefore, in this case, as in the conditions of frictional rolling, the decisive factor affecting the development of fatigue cracks should be recognized as the value of the equivalent stress σek and it should be tried to establish the functional dependence of N on σeq.
3 Consideration of the Influence of Tangential Load in the Presence of a Single Slip Zone in the Contact When braking, tangential forces occur on the surface of the wheel and rail. Even when the wheelset is rolled, the wheels slip elastically, accompanied by tangential forces in contact. The problem of determining the dependence of tangential forces in contact on elastic slides is very complex and has not yet been fully solved. In the presence of a visible relative slip, a proportional relationship between the tangent and normal forces is assumed, assuming for the latter the preservation of the ellipsoidal law and the validity of the formulas [7]. In that case q0 Q q = = f = const = p p0 P
(3)
where q is the intensity of tangential forces at an arbitrary point of the contact area; q0 is their greatest intensity; P is the vertical component of the load on the wheel; p0 is the specific pressure in the contact spot of the wheel with the rail; Q is the horizontal component of the load on the wheel; f is the rolling friction coefficient. So, in the average operating conditions of the coupling wheels of locomotives, f = 0.15…0.20 can be considered. Under more severe conditions and at the limit (skidding), the coefficient of friction reaches the value f = 0.30…0.33 and can be higher. The practical significance of the problem of the influence of tangential loads on wear and strength is obvious and fully justifies the attempts to solve this issue made by a number of researchers. Tangential forces have a significant effect on the stress state in the immediate vicinity of the contact, especially for points on the surface itself.
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Assuming that the relations (3) are valid over the entire contact area, B. S. Kovalsky introduced formulas for stresses from tangential forces. In the case of an elliptical contact area and the direction of tangential forces towards the negative axis, these formulas have the form (for the contact surface itself) ⎫ q x x ⎪ · = fp A , σx = 2q0 β D + μ 2D−K ⎪ 0 1 a ⎪ l2 ⎪ a ⎪ ⎪ q 2D−K x x ⎪ σy = 2q0 β μD − μ l 2 · a = fp0 B1 a , ⎬ 2 (4) q τy = q0 K − D − 2μ βl · (2D − K) · by = fp0 C1 by , ⎪ ⎪ ⎪ ⎪ ⎪ ⎪ 2 2 ⎪ q ⎭ τ = fP 1 − x − y = fp γ . 0
xz
a
0
b
Here K is a complete elliptic integral of the first kind modulo l, E is the same of the second kind, D=
K −E . l2
We calculate the values of the semi-axes a, b, the specific pressure p0 and the dimensions of the contact area F: √ 3 a = 0, 91 · 10−2 · P, sm; b = 1, 568 · 10−2 · F = 19, 216 · 10−4 · p0 = 780, 6 ·
√ 3
P, sm;
√ 3 P 2 , sm2 ;
√ 3 P, kg/sm2 .
Similarly, we define them for the other cases of contact between the wheel and the rail [7]. We calculate the stresses at the characteristic points of the contact area for the case I, in which the eccentricity of the contour ellipse at β = ab = 0, 7365 is l 2 = 1 − β 2 = 1 − 0.73652 = 1 − 0.5424 = 0.4576 and l = 0.676. According to the tables of complete elliptic integrals we find at l = sinα, α = 42° 30’ the values K = 1.8189, E = 0.3026, C1 = 0.9376. Then D=
K −E = 0.9762. l2
We define the constant terms of the formulas (2): A1 = 1.5668, B1 = 0.3026, C1 = 0.9376. Now the formulas (4) for the stresses take the form ⎫
τxz p0
σx x ⎪ p0 = 1.5668f a , ⎪ ⎪ σy ⎪ x ⎬ = 0.3026f , p0 a τxy y ⎪ p0 = 0.9376f b , ⎪ x 2 y 2 ⎪ ⎪ = f 1 − a − b .⎭
(5)
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At the end of the semimajor axis x = a, y = 0 and at f = 0.3 we have σy τxy σx τxz = 1.5668f = 0.47, = 0.0908, = 0, = 0. p0 p0 P0 p0 From the normal pressure at the same point there will be stresses [7] 0.7365 2a · cth0.676 p σx = p0 (1 − 0, 6) 1+ = 0.1390p0 , 0.4576 0.676 p
σy = −0.1390p0 , p
τxy = 0. With the simultaneous action of normal and tangential loads, the total value of the stresses at the end of the large semi-axis will be σx = 0.609p0 ; σy = −0.048p0 . Due to the small value of σy in comparison with σx, the stress state at the end of the q semimajor axis (x = –a, y = 0) is close to linear with a tensile stress σx = 0.609p0 . Replacing p0 with its expression in terms of the load P on the wheel, we get (kg/sm2 ). √ 3 σx = 0.609 · 550.2 P. We present the values of the total stresses at the end of the semimajor axis of the wheel-rail contact ellipse at f = 0,3. P, kg
10·103 12·103 14·103 16·103 20·103
σ x, 7216 kg/sm2 …
7668
8074
8442
9092
Thus, when rolling with slipping, the voltage at the contact surface on its large halfaxis at the maximum possible contact with the maximum possible value of f = 0.3 increased by 0.470/0.139 = 3.38 times. When the tensile stresses reach the ultimate strength, the possibility of crack formation is not excluded here.
4 Stresses on the Contact Area in the Presence of Sliding and Coupling Zones In the general case of rolling the wheel on the rail on the contact surface, there will be different conditions for the relative elastic displacement of the contacting particles. Where there is no displacement of the particles of one body relative to another, there will be a rigid coupling between these bodies. In the same areas where the ratio of the
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tangential force to the normal pressure is equal to the coefficient of friction (q/p = f), there will be a relative slip of the particles of the contact surfaces [14–16]. To simplify the calculations, it is proposed to consider the coupling zone as elliptical, similar to the ellipse of the entire contact area. Under the action of a tangential load q = fP, proportional to the normal pressure (i.e. distributed according to the law of the q q ellipsoid), the normal stresses σx 1 and σy 1 , as well as the deformations caused by them q1 q1 Ex and Ey change within the contact area according to the linear law. This follows from the formulas given in [7]. Therefore, to obtain permanent deformations in the coupling zone, it is necessary from the stresses (deformations) corresponding to the load
x 2 y 2 − , q1 = q0 , γ1 = q0 1 − a b subtract stresses (deformations) from loads
x 2 y 2 q2 = Kl q01 1 − − a b cdq02 cdq02 Here Kl = 3 abq [3] abq represents the similarity coefficient of the subtracted 01 01 ellipsoid. From the relation Q = μP after substituting the expression for Q, we get the formula: 2 2 2 Q = π abq01 − π cdq02 = π abfP0 1 − Kl3 = Pf 1 − Kl3 . 3 3 3 As a result, we will have that Kl = 3 1 − μf . Thus, the distribution of tangential forces in contact in the presence of a coupling zone, if we assume that the linear deformations in it are constant, is found by the following expressions:
x 2 y 2 x 2 y 2 1 1 − − q02 1 − − , (6) τxz = q1 − q2 = q01 1 − a b c d in the slip zone –
τxz = q01 1 −
x 2 a
−
y 2 b
.
The stresses due to these conditions are most easily determined by algebraic summation, for example q
q
q
σx = σx 1 + σx 2 . On the contact pad within the small “coupling ellipse”, including its contour, the stresses from q2 can be calculated using the formulas (4). q
σx 2 = ±q02 A1
x1 q = ±fP0 Kl A1 ; τxy2 = 0, c
Contact of a Railway Wheel and a Rail q
σy 2 = ±q02 B1
433
x1 q = ±fP0 Kl B1 ; τxz2 = 0. c
The constants A1 and B1 are defined in terms of the complete elliptic integrals modulo l. The eccentricity of l depends only on the ratio β = ab = dc . Therefore, A1 and B1 retain the previously found values. The longitudinal friction force Q when rolling the driven wheel in the most unfavorable cases can reach values of 0.15 P. Assuming the existence of a coupling zone at the 0,15 , we find the numerical values of the incident edge of the contact spot, and at μf = 0,30 similarity coefficient and normal stresses:
0.15 3 = 0.7940; Kl = 1 − 0.30 q
σx 2 = ±0.3P0 · 0.7940 · 1.5668 = ±0.3732P0 ; q
σy 2 = ±0.3P0 · 0.7940 · 0.3026 = ±0.0721P0 . As a result, we determine the stresses from the action of longitudinal tangential forces. Within the coupling zone, they remain constant and equal to their values at the point x = a, y = 0: q σx = fP0 A1 (1 − Kl ) = 0.0968p0 ; q σy = fP0 B1 (1 − Kl ) = 0.0187p0 . Outside the coupling zone, the stresses are measured according to the curvilinear q q q law. Figure 1 shows the plots σx 1 and σx 2 . The stress plot σx is obtained by superposing its components. For the strength evaluation of the stress state [8–10] in the presence of a coupling in the contact, we calculate the largest (main) tangential stress τmax. In the absence of friction, the greatest tangential stress on the contact surface is due to the half-difference σx and σz, i.e. τmax =
σx − σz . 2
In the case of simultaneous action of normal pressure P and tangential forces q, the greatest tangential stress will be determined by the half-difference of the main stresses
q
q
since the value of σy is about 5 times less than σx . Thus, σx − σz 2 2, τmax = + τxz 2
(7)
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and it occurs at the points of the semimajor axis of the contact ellipse. In order to determine the location of this point, we calculate the individual terms of expression (5). We represent the differences (σx − σz ) as terms of P and q. The values of the stress difference caused by the action of the normal pressure P are calculated by the formula x l β x , (σx − σz )P = 0, 4p0 γ − 2 (1 − βγ ) − arcth a l al 1 + βγ resulting from [7]. The analysis of the above results shows that the greatest tangential stress is tmax at the point at x = –0.588, y = 0: 0.3024 2 τxz = + 0.24272 = 0.286. p0 2 Its value is less than in the case of the action of only P and significantly less than in the case of full slip. Therefore, the stress state in the presence of coupling and sliding zones cannot be more dangerous than in the case of complete sliding along the entire contact. In this case, the intensity of the stress state increases with the approximation of μfK. The danger of a stress state in contact is aggravated by the cyclical nature of the stress changes over. Therefore, the ability to resist the action of such stresses is determined by the fatigue characteristics of the wheel material [14–17]. The results obtained are of practical significance and can be used in engineering calculations of the stress-strain state assessment.
References 1. Gavrilov, T., Kolesnikov, G., Khoroshilov, K.: Tangential forces in the contact area of upper road layer with the base. MATEC Web Conf. 239, 05012 (2018). https://doi.org/10.1051/mat ecconf/201823905012 2. Boronenko, Yu.P., Rahimov, R.V., Lafta, W.M., Dmitriev, S.V., Belyankin, A.V., Sergeev, D.A.: Continuous monitoring of the wheel-rail contact vertical forces by using a variable measurement scale. In: 2020 Joint Rail Conference, JRC 2020 (2020).https://doi.org/10.1115/ JRC2020-8067 3. Molyneux-Berry, P., Davis, C., Bevan, A.: The influence of wheel rail contact conditions on the microstructure and hardness of railway wheels. Sci. World J. 2014(4), 209752 (2014). https://doi.org/10.1155/2014/209752 4. Okagata, Y., Kiriyama, K., Kato, T.: Fatigue strength evaluation of the Japanese railway wheel. Fatigue Fract. Eng. Mater. Struct. 30(4), 356–371 (2007). https://doi.org/10.1111/j. 1460-2695.2007.01117.x 5. Prokopev, V., Zhdanova, T., Kuschov, B.: Modeling of the stress-strain state of railway wheel and rail in contact. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 982, pp. 603–614. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-19756-8_57 6. An, B., Wang, P., Xiao, J., Xu, J., Chen, R.: Dynamic response of wheel-rail interaction at rail weld in high-speed railway. Shock Vib. 5634726, 11 (2017). https://doi.org/10.1155/2017/ 5634726
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7. Krotov, S.V., Kononov, D.P.: Contact fatigue durability of track and wheel steel. Proc. Petersburg Transp. Univ. 15(1), 54–61 (2018) 8. Vorobev, A.A., Krutko, A.A., Shadrina, N.U., Badamshin, A.M.: Study of the stress-strain state of the wheel pair of a freight car during braking. J. Phys. Conf. Ser. 1260(7), 072019 (2019). https://doi.org/10.1088/1742-6596/1260/7/072019 9. Vorobev, A.A., Konogray, O.A., Krutko, A.A., Malakhov, I.I.: A study of the contact of the wheel with the rail for various conditions of freight car. J. Phys. Conf. Ser. 1441(1), 012127 (2020). https://doi.org/10.1088/1742-6596/1441/1/012127 10. Krotov, S.V., Kononov, D.P., Sobolev, A.A.: Influence of friction on contact fatigue life samples from rail and steel. Proc. Petersburg Transp. Univ. 16(2), 212–219 (2019) 11. Ivanov, I., Evseev, D., Ovsyanikova, I., Tarapanov, A.: Analysis of forming tread wheel sets. Transp. Problems 12(3), 35–42 (2017). https://doi.org/10.20858/tp.2017.12.3.3 12. Gubenko, S., Ivanov, I., Kononov, D., Urushev, S.: Improving the properties of wheeled steel during thermal repair. IOP Conf. Ser. Mater. Sci. Eng. 971, 052067 (2020). https://doi.org/ 10.1088/1757-899X/971/5/052067 13. Blagoveshchenskaya, E.A., Gruzdev, N.V., Bochkarev, S.V., Zuev, D.V.: The use of selflearning systems to solve the problems of finding failures on the railway. CEUR Workshop Proc. 2556, 21–28 (2020) 14. Grachev, V.V., Grishchenko, A.V., Kruchek, V.A., Andreev, V.E., Kim, S.I., Fedotov, M.V.: An intelligent wheelset spinning detection system in a direct current traction drive. Russ. Electr. Eng. 90(10), 675–681 (2019). https://doi.org/10.3103/S1068371219100043 15. Kononov, D., Gubenko, S., Ivanov, I., Urushev, S.: Using fractal characteristics to analyze the development of whole-rolled wheel destruction. MATEC Web Conf. 329, 02009 (2020). https://doi.org/10.1051/matecconf/202032902009 16. Smirnov, V.I.: Fracture assessment diagram for solid with circular crack subjected to concentrated forces. Mat. Phys. Mech. 31(1–2), 71–74 (2017) 17. Iakushev, A., Homonets, I.: The effect of residual stresses on the railcar wheel strength. In Proceedings of the Mini Conference on Vehicle System Dynamics, Identification and Anomalies, November 2019, pp. 93–100 (2019)
The Transport Industry Development Directions in Russia in the Context of Transport Space Integration Natalya Loginova , Tatiana Ksenofontova(B)
, and Liudmila Guzikova
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Ave., St. Petersburg 190031, Russian Federation
Abstract. The prerequisites for the study are: dynamically changing factors of the international economic integration external environment, which is a key tool for the regional and national economy development; the creation of various alliances, which is due to the natural phenomenon of the world economic ties’ development; the difference in the integration processes course at various levels (global, national, regional), which is due to the influence of many external factors. The purpose of the study is to analyze the state of the customs and transport and logistics infrastructure to identify the patterns in the integration processes course at various levels. Since the end of the 20th - beginning of the 21st centuries, integration processes have become widespread. Every day in Russia, about 50.61 million passengers and 22.12 million tons of cargo are carried by all types of transport. By the end of 2019, Russia ranked only 75th out of 160 countries of the World Bank in the international logistics ranking (LPI). This position does not clearly correspond to the strategic guidelines, according to which Russia should become a part of the global economy and develop, effectively using its export potential, which requires active participation in material goods’ transporting. Such federal projects as “Europe Western China”, “Sea ports of Russia”, “Railway transport and transit”, “Transport and logistics centers”, “Communications between centers of economic growth”, “Development of regional airports and routes” should contribute to improving the efficiency of the transport industry in the Russian Federation, integrating Russia into the global transport space and international transport corridors. Modern integration processes contribute to the successful interaction of both individual states and their economic processes. This format gives an opportunity to move to a qualitatively new level of relations. The decisive role in the integration processes’ implementation is played by the customs, transport and logistics infrastructure of the country, region, territory. Keywords: Transport · Logistics · Integration
1 Introduction The transport system communication lines’ length of Russia in the beginning of 2020 was 87 thousand km of public railways, 55 thousand km of industrial railway transport; 1,666 © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 436–444, 2022. https://doi.org/10.1007/978-3-030-96380-4_48
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thousand km of highways, including 1508 thousand km of public use; 101 thousand km of inland waterways; more than 600 thousand km of overhead lines served by a unified air traffic management system, trunk pipelines: gas pipelines - 180 thousand km, oil pipelines - 53 thousand km, oil product pipelines - 17 thousand km. Every day, about 22.1 million tons of cargo are transported through these transport communications by all types of transport. The transport industry is booming, and the demand for its services is growing. Thus, it is expected that by 2050 the volume of freight traffic in Europe will have increased by 80%, and international freight traffic to ports will quadruple [1]. The purpose of this study is to identify the urgent tasks of Russia’s integration into the global transport space.
2 Methods In this article, in order to achieve this goal - to analyze the state of the customs, transport and logistics infrastructure in Russia - the systematization of statistical data in the areas of customs, transport and logistics activities is carried out. The work uses the methods of logical analysis of cause-and-effect relationships and structural-dynamic and comparative analysis of the transport industry statistical data for the period from 2015 to 2019. The sources of quantitative data were the websites of Rosstat gks.ru and the Ministry of Transport of the Russian Federation.
3 Results The growth of the Russian economy in 2019 was 1.3%. In general, over the 5 years under study (2015–2019), the volume of freight traffic increased by 2.1%, and freight turnover by 1.9%, which deserves a positive assessment and testifies to the even development of the Russian national economy. Analysis of the data presented on the site gks.ru gives a reason to conclude that the largest volume of transportation is carried out by road transport (68.1%), which is due to its advantages (availability, the possibility of door-to-door delivery). Bezdudnaya A.G., Ksenofontova T.Y. [2] note that road transport has medium operational flexibility, since road transport can serve a variety of purposes. Road transport systems require high maintenance costs for vehicles and infrastructure and are predominantly associated with consumer goods industry. The highest efficiency of road transport is in areas where fast transportation of goods in small consignments is the norm. The work of Kim, K.K., Panychev, A.Y., Blazhko L.S. [3] also indicates that the road transport role in the economy as a whole, and in transport industry has increased due to containerization.
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The second and third places are occupied by railway (16.61%) and pipeline (13.76%) transport. This type of land transport provides the maximum throughput. Taking into account modern technological advances, the composition of railway transport should also include monorails and maglev. From the point of view of cargo transportation, rail transport has an average level of physical restrictions, the main one of which is a slight bias. Heavy industry has traditionally been associated with rail transport systems. Containerization has increased the rail transport flexibility [4]. The largest volume of cargo transportation is provided by the transport of the industries of the Ministry of Transport of Russia, which, on the one hand, is due to the historically established specifics of the Russian transport industry development, and on the other hand, reflects the modern tendency of companies in other industries to outsource transport services in order to increase the production and economic activities’ efficiency. The factors that contributed to the growth in the volume of traffic can also be attributed to the increase in the number of economic entities in the transport industry, the provision of preferences by the state to small businesses and, in general, the revival of the national economy. The volume of cargo transportation, taking into account the transport economy sectors, increased in 2019 (compared to 2018) by 1.9% and reached 8,421 million tons, freight turnover increased by 1% and amounted to 5,674 billion ton-km (Statistical data 2020). In general, for the 5 years under study (2015–2019), the volume of freight traffic has increased by 2.1%, and freight turnover by 1.9%, which deserves a positive assessment and testifies to the even development of the national economy of Russia. The distribution of traffic volumes by mode of transport in 2015–2019 is shown in Fig. 1. Air Traffic Marine Transport Inland Waterway Transport Pipeline Transport Railway Transport Road Transport
0.02% 0.23% 1.30% 13.81% 16.60% 68.04% 0%
0.02% 0.02% 0.23% 0.24% 1.30% 1.30% 13.80% 13.79% 16.60% 16.65% 68.05% 68.00%
20%
40%
0.03% 0.02% 0.27% 0.22% 1.31% 1.29% 13.78% 13.76% 16.52% 16.60% 68.09% 68.11%
60%
80%
100%
2015 2016 2017 2018 2019
Fig. 1. Distribution of traffic volume by transport mode in 2015–2019 [5]
The data analysis Fig. 1 makes it possible to conclude that the largest volume of traffic in the transport industry corresponds to road transport (68.1%), which is due to its advantages (availability, the ability to deliver from door to door). Contribution to the transport industry of rail (16.61%) and pipeline transport (13.76%) is also noteworthy. It is important to emphasize that railway transport and pipeline transport, despite the significant difference in the volumes of transported goods in comparison with road transport, play an important role in the course of integration processes at all levels (global, national, regional).
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Figures 2, 3, and 4 show the results of comparing the number of transported goods by different modes of transport, which confirms the conclusions drawn. 11 646.40
January – December 2019
10864.7
January – December 2018
Transport of all economy sectors, including:
10639.8
January – December 2017
10555.9
January – December 2016
10378.9
January – December 2015
9000
10000
11000
12000
Fig. 2. The amount of cargo transported by transport of all economy sectors (thousand tons)
1502.4
9962
January – December 2019 January – December 2018
9776.7
1088
January – December 2017
9608.8
1031
January – December 2016
9554.9
1001
January – December 2015
9380.6
998.3
Transport of the Ministry of Transport of Russia industries Transport of other ministries and departments
80% 85% 90% 95% 100%
Fig. 3. The number of goods transported by the transport of the Ministry of Transport of Russia branches and the transport of other departments and ministries (thousand tons)
Air Traffic Inland Water Transport Marine Transport Road Transport Industrial railway
0.93
0.94
114.01
116.2
117.8
118
112.1
January – December 2015
24.25
24.31
24.51
24.62
26.57
January – December 2016
0.974
0.977
1.118
5312.45 5367.65 5396.65 5430.65 5454.3 2770.72 2846.32 2867.62 2975.63
3141.8
1158.31 1199.51 1201.31 1226.91
1256.5
0%
20%
40%
60%
80%
January – December 2017 January – December 2018 г. January – December 2019 г.
100%
Fig. 4. The number of goods transported by the transport of the Ministry of Transport of the Russian Federation branches (thousand tons)
Analysis of the data presented in Figs. 3 and 4 gives an opportunity to draw the following conclusions: 1) a stable increase in the amount of cargo transported by transport of all economy sectors was established, which indicates the national economy development during the analyzed period; 2) it was revealed that the largest amount of transported goods was provided by the transport of the Ministry of Transport of Russia branches, which is due to the specifics of the Russian transport industry development;
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3) it was found that the largest amount of cargo transported by transport of all economy sectors is provided by road transport, which is associated with its advantages over other types of transport; it should be noted about the stable growth of the railway transport quantitative indicators. To achieve the goal of this study, it is necessary to separately study commercial transport by all modes of transport. The results of this study are shown in Fig. 5 and Fig. 6 [6]. January December 2019 г.
3728.2
January December 2018 г.
3640.6
January December 2017 г.
Transport of industries of the Ministry of Transport of Russia
3620.1
January December 2016 г.
3597.2
January December 2015 г.
3541.9
3400 3450 3500 3550 3600 3650 3700 3750
Fig. 5. The number of goods transported by commercial vehicles of the Ministry of Transport of the Russian Federation (thousand tons)
1.128 0.977 0.974 0.94 0.93
Air Traffic
118.6 118 117.8 116.2 114.01
Inland Water Transport 24.57 24.62 24.51 24.31 24.25
Marine Transport
1612.1 1577 1575.2 1569.1 1562.5
Road Transport 715.3 693.1 690.2 687.1 681.9
Industrial railway
1256.5 1226.9 1211.4 1199.5 1158.3
Public railway 0
200
400
600
January – December 2019 г.
800
1000
1200
1400
1600
1800
January – December 2018 г.
Fig. 6. The number of goods transported by commercial transport of the Ministry of Transport of Russia branches (thousand tons)
The data analysis in Fig. 5–6 gives a reason to draw the following conclusions: 1) it was established that 5.44 million tons of various goods were transported by road in 2019, commercial freight turnover reached 132.8 billion tons/km; 2) it was revealed that in 2019 the volume of cargo handling reached 1.26 billion tons of various cargoes in railway transport, an increase of 3.2%, this indicates a positive growth in macroeconomic indicators of the national economy and regions; 3) it is noted that during the study period (2015–2019) the number of goods transported by commercial transport by the Ministry of Transport of Russia branches tends to increase, which is due to the increase in the number of economic entities in the
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transport industry, the provision of preferences from the state to small businesses and, in general, the national economy revival. The role of transport in the international integration process is reflected in the statistics of vehicles’ movement across the customs border of Russia. Table 1 shows the dynamics of import and export of transport services by type of transport. The situation presented in the tables is partly due to the influence of political factors, but it is aggravated by the fact that the Russian transport industry does not keep up with global trends in terms of intermodal and multimodal transportation, their infrastructure and legal support [7]. Table 1. Structure of export-import of transport services by mode of transport in 2015–2019 Type of transport
2015
2016
2017
2018
2019
Air
59.42
59.29
59.08
59.2
59.30
Water
29.12
29.26
29.36
29.16
29.00
Export
Car
5.35
5.37
5.41
5.46
5.50
Railway
6.11
6.08
6.15
6.18
6.20
Import Air
60.91
61.1
61.07
61.1
61.11
Water
27.03
27.05
27.03
27.6
27.04
Car
5.17
5.17
5.19
5.15
5.20
Railway
6.89
6.68
6.71
6.69
6.65
According to the data presented in [8], the interests of transport companies in developing countries at the time of the report’s formation were mainly focused on domestic markets, and there was no reason to expect a change in the situation in the foreseeable future. The experts who participated in the preparation of the report assessed the likelihood that providers of transport and logistics services from developing countries will receive a significant market share in developed countries as low. However, some experts noted that companies from developing countries are more flexible in terms of scale and location. Taking into account that the developing countries’ own transport and logistics markets demonstrate higher growth rates than the developed countries’ markets, transport and logistics service providers in these fast-growing markets lack incentives to enter mature, competitive and saturated markets [9]. In the studies [10, 11], based on empirical data, the dependence of export and import volumes on six transport and logistics variables was analyzed: the ability to track and accompany cargo; competence and quality of logistics services; ease of organizing supplies at competitive prices; the efficiency of the customs clearance process; compliance with deadlines; quality of trade and transport infrastructure. It was revealed that
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the volume of exports has a statistically significant positive correlation with all of the above-mentioned characteristics, while for imports, a statistically significant positive correlation exists only with the competence and quality of logistics services and the efficiency of the customs clearance process. The other four characteristics have a positive, but statistically insignificant, correlation coefficient with the import volumes. The Government of the Russian Federation approved the Strategy for the Development of Export Services until 2025 (the Government of the Russian Federation “On Approval of the Strategy for the Development of Export Services until 2025”, 2019), where the greatest attention is paid to the export of transport services. A number of new legislative and regulatory legal acts were adopted and amendments were made to the existing acts aimed at harmonizing the legal field of the transport industry with world practice and standards, creating a legal basis for advanced work practices [12]. Table 2 shows the transport industry efficiency indicators in the context of transport types. Profitability of services reflects the share of gross profit in revenue from the sale of services and, on the one hand, depends on the price level, and on the other hand, on the resources cost, which, in addition to resource prices, depends on the accounting policies of companies. The return on assets indicator characterizes the efficiency of asset exploitation and their ability to generate profit in the current environment. Table 2. Indicators of the transport services’ efficiency in 2015–2019 [13]. Type of transport
2015
2016
2017
2018
2019
Service profitability, % Air
1.65
1.70
1.72
1.74
1.80
Water
3.30
3.40
3.45
3.50
3.50
13.00
13.30
13.42
13.40
13.50
Pipeline Road Railway
3.80
3.89
3.91
4.00
14.70
14.80
14.95
15.00
4.00 15.2
Return on assets, % Air
8.19
8.24
8.27
8.30
8.50
Water
3.00
3.06
3.09
3.19
3.30
Pipeline
5.30
5.33
5.36
5.40
5.50
Road Railway
4.15
4.21
4.28
4.35
4.40
15.21
15.27
15.35
15.60
15.80
Stable levels of profitability indicators in the context of transport modes can be largely explained by a high degree of government regulation. The highest rates of services’ profitability are demonstrated by railway and pipeline transport - in 2019, 15.2% and 13.5%, respectively. In terms of return on assets, the first places are occupied by rail and air transport - in 2019, 15.80% and 8.50%, respectively. As a part of the indicators characterizing the efficiency of transport and logistics companies, it is necessary to highlight the data on import and export operations.
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4 Discussion Data on the traffic and freight turnover volume dynamics in Russia in the context of transport modes show that the growth rate of the traffic volume is ahead of the economy growth rate. At the same time, the rate of change in the volume of traffic is significantly less than the growth rate in freight turnover. Accordingly, the structure of the traffic volume is more stable than the cargo turnover structure. The demand and efficiency of the activities of certain types of transport and the transport complex of the country as a whole depends on the methods of cargo handling and the transport and logistics structure. The most urgent tasks are to improve the quality of transport infrastructure and logistics processes, in particular the customs procedures (CTCN, 2009). According to A. Fisenko, the undeveloped transport infrastructure of Russia significantly increases the transport component in the cost of export products, therefore, the logistics infrastructure needs investments to bring it into line with the European and world standards [14]. In the Strategy for the Services Development until 2025, the unresolved legal issues of intermodal and multimodal transportation are indicated as an obstacle to the transport services export development. The revision and adoption of the federal law on direct mixed (combined) transportation would allow to remove some of the problems. For Russian transport and logistics companies, it remains attractive to work within partnerships with the companies from the developed countries, which will allow both parties to expand their activities, extending it to the domestic markets of business partners.
5 Conclusions Russia’s integration into the global transport space requires a preliminary solution to the problems of ensuring the internal Russian space connectivity and the effective functioning of export-import transport corridors. Integration into the global transport space should be ensured at the level of uniform technical, legal and economic requirements and indicators. The results of this study can be used in planning the development of import-export transport services in order to expand the understanding of the composition and sequence of tasks facing the transport industry in the context of the transport space integration.
References 1. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., Polovnikova, N.A.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 2. Bezdudnaya, A.G., Ksenofontova, T.Y., Rastova, Y.I., Kraiukhin, G.A., Tulupov, A.S.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. 2018 (3), 76–80(2018). https://doi.org/10.32861/jssr.spi3.76.80 3. Kim, K.K., Panychev, A.Y., Blazhko, L.S.: Dependence of the reactivity compensation degree of a synchronous compensator on its parameters. Rus. Elect. Eng. 88(10), 623–628 (2017). https://doi.org/10.3103/S1068371217100078
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4. Yudenko, M.N., Chepachenko, N.V., Polovnikova, N.A., Nikolikhina, S.A.: Innovative materials in construction and their role in improving the organizations efficiency. IOP Conf. Ser. Mater. Sci. Eng. 698(7), 077024 (2019). https://doi.org/10.1088/1757-899X/698/7/077024 5. Bachurinskaya, I.A., Vasileva, N.V., Yudenko, M.N., Nikolikhina, S.A.: Green technologies in housing: the experience of Russia. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042071 (2020). https://doi.org/10.1088/1757-899X/913/4/042071 6. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 7. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 8. Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 9. Selyutina, L., Pesotskaya, E., Chernykh, A.: Principles and basic provisions for a system for assessing the ecological potential of the modern ecosystem. IOP Conf. Ser. Mater. Sci. Eng. 962(4), 042029 (2020). https://doi.org/10.1088/1757-899X/962/4/042029 10. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., Kosheleva, T.N., Burgonov, O.V., Kudrova, N.A.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Intern. J. Recent Tech. Eng. 8(2), 4302–4305 11. Valinsky, O.S., Titova, T.S., Nikitin, V.V., Evstaf’ev, A.M.: Modeling onboard energy storage systems for hybrid traction drives. Rus. Elect. Eng. 91(10), 604–608(2020). https://doi.org/ 10.3103/S1068371220100119 12. Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002 13. Pesotskaya, E., Selyutina, L., Egorova, L.: Actual aspects of modeling method application in organization of construction management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044005 (2019). https://doi.org/10.1088/1757-899X/687/4/044005 14. Selyutina, L., Maleeva, T., Frolova, N.: Acceleration of regional housing development in Russia on the basis of industrial housing construction modernization. E3S Web Conf. 97, 06003 (2019). https://doi.org/10.1051/e3sconf/20199706003
Guidelines of JSC “Russian Railways” in the Strategy of Sustainable Development Liana Chechenova(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Ave., St. Petersburg 190031, Russian Federation
Abstract. Objective: To set guidelines for Russian Railways within the framework of the main sustainable development goals 9 “Industrialization, Innovation and infrastructure”, 11 “Sustainable cities and human settlements”, 13 “Combating climate change”, 17 “Partnership for Sustainable Development”. The methodology is based on the analysis of existing approaches and evaluation criteria for ESG components with the use of analytical methods for determining the causal dependence of the Russian railway transport development strategy. The work is carried out taking into account the current state of the railway economy of the Russian Federation in terms of the principles of sustainable development and is based on the analysis of the reporting documentation of transport organizations and data of JSC “Russian Railways”, indicated in the Concept of financing Sustainable Development Projects. The assessment of the guidelines of JSC “Russian Railways” in the strategy of sustainable development with the justification of priorities and criteria for development is given. The limits of compliance of the railway transport development strategy of the Russian Federation with the goals of sustainable growth with the correlation of national projects, state programs and strategic goals for the development of the transport complex of the Russian Federation are established. The analysis confirms the possibility of using the main results of the study in making decisions on the sustainable development of infrastructure sectors of the economy and, in particular, transport to attract investment in projects for the development of main infrastructure with long implementation periods and a low rate of return. Keywords: Railway transport · Sustainable development goals · Guidelines of JSC “Russian Railways”
1 Introduction Currently, the transport industry faces non-traditional challenges, such as the need to modify the transport service and reduce dependence on the raw material lever. Also, the implementation of a forward-looking transport policy has a close relationship with the economic category of time, since the value of time, converted into speed, shifts the emphasis of value from the initial price of the purchased transport service to the total cost of ownership. Russian Railways, as one of the leaders of the world transport system, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 445–453, 2022. https://doi.org/10.1007/978-3-030-96380-4_49
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has every opportunity to actively participate in the global restructuring in response to the global climate and environmental crises. Digital transformation of the transport industry becomes an inevitable process of business adaptation to the new realities and preferences of the digital world, since the dynamics of changes in the preferences of the modern consumer and the forms of his consumption of goods and services are the determining factor of digital transformations (Fig. 1). Railway transport transformation is predetermined by large-scale social, technological and economic progress in the market of transport services, formed by a new model of consumption. Significant changes have affected geodynamics, organization and forms of transportation. The transport system is moving to the format of an eco-friendly (safe), social (highly mobile) and economical system [1–3]. The concept of sustainable development provides not only “green” guidelines, but also creates an exceptional factor of investment attractiveness. At the same time, the implementation of investment projects is a more conscious and less speculative process, in which not only business, but also the state is interested, as shown in the study [4]. It is worth noting the studies [5] on the interdependence and mutual influence of the principles of sustainable growth and the cost of transport companies. In addition, there is strong research and evidence that building social capital has a positive impact on sustainable business models [6]. The limitation and complexity of this issue is to include environmental, social and managerial factors in the analysis, in particular their standardization and classification. In our opinion, the approach and methodology of this study will partially solve this problem.
2 Research Methodology The new guidelines for the activities of JSC “Russian Railways” accumulate the processes of search and implementation of sustainable development projects, developed to ensure the transparency of the basis for the use of “green” financing tools. The purpose of this study is to determine the relationship between the adoption of a sustainable development policy and the effectiveness of the implementation of infrastructure development projects of JSC “Russian Railways”. Our task is to prove that the Company’s functioning within the established principles of sustainable development of ESG contributes to the improvement of its operational activities. Currently, the main objectives of the Holding are to achieve national goals by expanding the capabilities of the transport infrastructure and increasing the economic connectivity of the territories. Considering the strategic nature of the development of railway transport, we have structured the key areas of transport services, taking into account their positive impact on the business processes implemented in the industry (Fig. 1). It is necessary to note the preliminary trend of JSC “Russian Railways” in compliance with the principles of environmental protection and compliance with safety measures, which is enshrined in the Environmental Strategy of the Holding until 2020 and for the future until 2030 [7]. Currently, the company’s share of atmospheric emissions, waste water pollution and the creation of waste substances is no more than 1% compared to all organizations operating on the territory of the Russian Federation. At the same time, in 2019. in accordance with the corporate Program of measures to increase environmental
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Fig. 1. Scope of activity of JSC “Russian Railways” for the provision of transport services
responsibility, there is a reduction in atmospheric emissions, wastewater discharges and water consumption in the range of 3–4% compared to the previous period. In order to reduce the negative impact of rail transport on the environment, the Holding actively uses “green” technologies in the electrification of track lines intended for passenger transport. The economic impact of the implementation of energy-efficient projects amounted to more than 2 billion rubles in 2019, which indicates the leading positions held by Russian Railways among international freight and passenger rail carriers in terms of energy and environmental efficiency.
3 Research Results 3.1 The Strategic Priorities of JSC “Russian Railways” are Defined in Accordance with the Principles of Sustainable Development The Strategic Priorities of JSC “Russian Railways” are Defined in Accordance with the Principles of Sustainable Development, presented in Fig. 2.
Fig. 2. Russian Railways strategic priorities in the field of sustainable development
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ESG 9 refers to the processes of innovative development and modernization of the infrastructure complex due to the growth of cargo turnover in the Russian Federation by more than 10% over the past 3 years and passenger turnover in all modes of transport by more than 12% over the same period. The objectives of SDG 9 are addressed within the framework of the Spatial Development Strategy of the Russian Federation for the period up to 2025, the Transport Strategy of the Russian Federation, the Comprehensive Plan for the Modernization and Expansion of the Main Infrastructure, the national project “Safe and High-quality Highways”, the national program “Digital Economy of the Russian Federation”. ESG 11 refers to the improvement of the quality of life, including the restoration of the environment within the framework of the national project “Ecology”. ESG 13 is aimed at implementing projects to counteract climate change and reduce emissions into the atmosphere. According to statistical data, emissions decreased by about 50% compared to the 1990 baseline due to targeted measures to modernize the energy sector, the active use of energy-efficient technologies, and the implementation of innovative economic projects in various industrial complexes. ESG 17 involves the allocation of funds and the federal budget of the Russian Federation for the implementation of measures to promote international development, the volume of which exceeds $ 5 billion for the period from 2018. The main action of the Strategy for the Development of Railway Transport in the Russian Federation until 2030 is the electrification of the railway transport system. Accordingly, the task of the Holding is to support environmentally oriented projects for the construction and reconstruction of infrastructure facilities, as well as environmentally oriented railway transportation, which can include electric trains and electric locomotives to reduce harmful emissions and minimize energy consumption. Assessing the railway as the most energyefficient mode of transport in comparison with others, it should be noted the expansion of urban infrastructure and high-speed geography over the past 10 years and the minimum 3% energy consumption of the railway sector, which accounts for about 9% of global passenger traffic and 7% of cargo traffic.
2020
2019
Soot emissions, tons Hydrocarbon emissions, tons Carbon monoxide emissions, tons Emissions of nitrogen oxides, tons 0
2
4
6
8
10
Fig. 3. Emissions from passenger rail transport. Source: [8]
In order to develop the system of accounting and management of greenhouse gas emissions, a program of organizational and technical measures aimed at reducing greenhouse gas emissions in JSC “Russian Railways” for 2020–2025 was approved. The implementation of measures makes it possible to further reduce direct and indirect emissions of harmful atmospheric substances, which can be reduced by increasing the share
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of renewable energy supplied to the network through which electricity is supplied to power locomotives (Fig. 3–4). Given the low energy intensity and intensity of carbon dioxide emissions, the development of rail transport is an important element in improving energy security/ Due to the fact that the Company’s activities are associated with the constant expansion of the capacity of passenger public transport, the construction and modernization of passenger infrastructure, and an increase in the share of transportation using environmentally friendly electric transport, JSC “Russian Railways” makes an important contribution to the decarbonization of the economy. This is the basis for the Company’s green bond issue and provides investors with the opportunity to support the financing of low-carbon transport assets and infrastructure.
2020
2019
Soot emissions, tons Hydrocarbon emissions, tons Carbon monoxide emissions, tons Emissions of nitrogen oxides, tons 0
50
100
Fig. 4. Emissions from rail cargo transport. Source: [8]
3.2 The Involvement of JSC “Russian Railways” of Green Financing Instruments for the Implementation of Environmental Infrastructure Projects is Justified The issue of green bonds provides a guaranteed attraction of capital investments and investments for environmentally friendly projects. The Green Bond Principles (GBP) imply transparency and disclosure of information, promote integrity in the development of the green bond market by clarifying the approach to the issue of green bonds. It should be noted that JSC “Russian Railways”, within the framework of the developed Concept of financing sustainable development projects, actively uses the tools of “green” financing in order to develop investment activities in the field of green finance, the draft of which was prepared by VEB of the Russian Federation (Fig. 5). The fundamentals and principles of this Concept do not contradict the EU Green Bank Standard and the principles of the EU Taxonomy for Sustainable Development. The document is a supplement to the Concept of green bonds of JSC “Russian Railways” (Green Bond Framework).
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XS1843437036
Bond code CH0522690715
RU000A102564
23 May 2027 (8 years)
Maturity date 12 March 2026 (6 years)
No set maturity date
500 000 000 euro
Issue volume 250 000 000 Swiss francs
100 000 000 000 rub.
2.2 % fixed, annual
Coupon 0.84 % fixed, annual
7.25% floating, every 182 days
Fig. 5. Economic effect of the project implementation. Source: prepared by the author
4 The Priorities of JSC “Russian Railways” in the Strategy of Sustainable Development are Systematized The analysis of the current state of the railway industry in the context of the principlesESG allowed us to identify the main priorities of JSC “Russian Railways” in the strategy of sustainable development, based on the strategic objectives of the Holding and projects that reduce the negative impact on the environment (Fig. 6).
1. Construction of wastewater treatment plants to reduce emissions of pollutants
2. Construction of new railway lines that contribute to reducing the impact on the environment
3. Electrification of track sections to reduce greenhouse gas emissions
Russian Railways projects that reduce the negative impact on the environment
Construction: Central transport hub, including the Moscow Central Ring (MCC) Moscow Central Diameters (MCD)
Electrification: Plot Rtishchevo-Kochetovka Direction of the Necklace-Nodal – Yelets
The use of technologies to minimize the level of noise exposure (protective screens) and devices of a seamless path to minimize noise pollution. Introduction of a system of passageways and galleries to protect passengers from adverse weather events, including the creation of conditions for low-mobility groups of the population.
Improving the environmental situation and increasing the attractiveness of the surrounding areas. Reducing environmental pollution, in particular reducing the amount of harmful emissions into the atmosphere, due to the movement of electric trains on this infrastructure.
Fig. 6. Economic effects of the project implementation. Source: prepared by the author
Assessing the impact of Russian Railways «green» projects on the economic growth of the industry as a whole, it is necessary to be guided by the ratio of costs and expected results based on the results of the implementation of projects consistent with the basic principles of sustainable growth, which determines the subject of our future research. The Holding company has identified environmental goals in accordance with the Long-term Development Program until 2025, as shown in Fig. 7.
Guidelines of JSC “Russian Railways” • Reduction of air emissions from stationary and mobile sources
• Reducing the volume of water resources consumed
451
• Reducing the specific level of greenhouse gas emissions
18%
4,5%
20%
18% • Reducing the discharge of polluted wastewater
Fig. 7. Environmental goals of «Russian Railways»
At the same time, the share of Russian Railways in environmental pollution of the Russian Federation is currently less than 1% in terms of emissions of harmful substances into the atmosphere, discharge of polluted wastewater into surface water bodies, and waste generation. The holding is a leader among international freight and passenger rail carriers in terms of energy and environmental efficiency and has saved more than 2 billion rubles. through the implementation of projects on the use of energy-efficient technologies.
5 Results Discussion The transformation processes taking place in the transport industry undoubtedly play an important role in the conditions of a dynamically developing economy, while the specifics of the process are the consistency of the strategic goals of Russian Railways and the Sustainable Development Goals developed in 2015 by the UN General Assembly as a “plan for achieving a better and more sustainable future for all” [9]. The analysis of the assessment of the strengths and weaknesses of the Russian railway transport, conducted by the authors [10], showed the main problems of the functioning of the transport sector in Russia, allowed us to assess the state of the main infrastructure facilities of the industry, which gave us the opportunity to determine the advantages, disadvantages and features of the development of the industry. Thus, the authors [11] propose an evolutionary and functional approach to the processes of development of transport hubs, which makes it possible to observe the process of transition to new standards, technologies and tools that may be successful or failed in the future, but, nevertheless, are of exceptional value for science. The work [12] presents considered priority tasks that require scientific and practical solutions: building a compliance system, improving the planning and pricing system for integrated transport services, updating the concept of rationing the operational work of railways, and also proposed tools for improving the planning and organization of
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transportation activities. The results of quantitative research presented in [13] determine the vector of attracting green financing instruments to Russian Railways for the implementation of environmental infrastructure projects. The main discussion about the goals and essence of sustainable growth, shown in [14], confirms that the inclusion of “green” practices has a positive impact on the environmental, social and economic indicators of the new approach to the development of the transport industry, taking into account the factors that determine the increase in sustainability. The consequences for the fundamental SDGs in terms of preventing railway hazardous pollutants from polluting the environment have been studied by the authors [15]. As you can see, the research on this issue is at an early stage of development. We have the opportunity to observe the process of transition to a new concept of development using the latest technologies and tools that are exceptional and valuable for science due to a certain novelty and significance both for JSC “Russian Railways” and for the transport sector as a whole.
6 Conclusion The study confirms that the stereotypes of the Holding’s development have shifted in favor of environmental friendliness, energy efficiency and transportation safety. This will necessarily lead to the transformation of the industry, the emergence of new business models and the revision of the structure of the cost of transport services, as sustainable development projects generate their ideas as financially attractive and socially significant. In fact, any infrastructure projects can be considered sustainable if they comply with the principles of sustainable development. In a narrower sense, “green” can be any initiative that meets certain environmental requirements. In the world practice, there are facts when infrastructure facilities were created using PPP mechanisms and were subsequently certified according to “green” standards.
References 1. Wang, X., Diew Wong, Y., Fai Yuen, K.X., Li, K.: Environmental governance of transportation infrastructure under belt and road initiative: a unified framework. Trans. Res. Part Policy Pract. 139, 189–199 (2020). https://doi.org/10.1016/j.tra.2020.03.001 2. Jong, E., Vijge, M.: From Millennium to Sustainable Development Goals: Evolving discourses and their reflection in policy coherence for development. Earth Syst. Govern. 7 (2021). https:// doi.org/10.1016/j.esg.2020.100087 3. Svatovskaya, L., Drobyshev, I., Mikhailova, K., Khamenok, N.: Criteria of green geoecoprotective technologies in transport construction. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 431–440. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_45 4. Shaydurova, A., Panova, S., Fedosova, R., Zlotnikova, G.: Investment attractiveness of “green” financial instruments. J. Rev. Global Econ. 7, 710–715 (2018). https://doi.org/10.6000/19297092.2018.07.65 5. Ya, A., Li, X., Càmara-Turull, X.: Impact of sustainability on firm value and financial performance in the air transport industry. Sustainability 12(23), 1–23 (2020). https://doi.org/10. 3390/su12239957
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6. Kluza, K., Ziolo, M., Spozc, A.: Innovation and environmental, social, and governance factors influencing sustainable business models - Meta-analysis. J. Clean. Product. 303, 127015 (2021). https://doi.org/10.1016/j.jclepro.2021.127015 7. Environmental strategy of JSC “Russian Railways” for the period up to 2020 and the prospect until 2030. https://company.rzd.ru/ru/9353/page/105104?id=958 8. Social responsibility. Reducing greenhouse gas emissions. https://company.rzd.ru/ru/9386/ page/103290?id=17515 9. Resolution adopted by the General Assembly on 6 July 2017, Work of the Statistical Commission pertaining to the 2030 Agenda for Sustainable Development. http://ggim.un.org/mee tings/2017-4th_Mtg_IAEG-SDG-NY/documents/A_RES_71_313.pdf 10. Kurenkov, P., Pokrovskaya, O., Anastasov, M., Sokolov, M., Bochkov, A.: Study of the current state of the transport infrastructure of road and rail transport of the Russian Federation. IOP Conf. Ser. Mater. Sci. Eng. 698(6), 066064 (2019). https://doi.org/10.1088/1757-899X/698/ 6/066064 11. Pokrovskaya, O., Kurenkov, P., Khmelev, I., Goncharenko, S.: Evolutionary and functional development of transport nodes. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012033 (2020). https://doi.org/10.1088/1757-899X/918/1/012033 12. Pokrovskaya, O., Fedorenko, R., Kizyan, N.: Cargo transportation and commodity flows management. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012050 (2020). https://doi.org/10. 1088/1757-899X/918/1/012050 13. Shavshukov, V.M., Zhuravleva, N.A.: Global economy: new risks and leadership problems. Int. J. Finan. Stud. 8(1), 7 (2020). https://doi.org/10.3390/ijfs8010007 14. Panova, Y., Korovyakovsky, E., Semerkin, A., Henttu, V., Li, W., Hilmola, O.-P.: Russian railways on the Eurasian market: issue of sustainability. Europ. Bus. Rev. 29(6), 664–679 (2016). https://doi.org/10.1108/EBR-01-2016-0008 15. Petriaev, A., Svatovskaya, L., Baidarashvili, M., Sakharova, A.: Green technology with geosynthetics prevent environment from railway dangerous pollutants. In: 11th International Conference on Geosynthetics (2018), ICG 2018, vol. 2, pp. 1554–1560 (2018)
Monitoring of Analytical Supply and Key Indicators of the Transportation Companies’ Financial Policy Tatyana Satsuk1
, Svetlana Tatarintseva1(B)
, and Konstantin Fedorenko2
1 Emperor Alexander I St. Petersburg State Transport University,
9 Moskovskiy Ave., St. Petersburg 190031, Russian Federation [email protected] 2 Siberian Transport University, 191 Dusi Kovalchuk Str., Novosibirsk 630049, Russian Federation
Abstract. The article focuses on an overview of the financial position and results of financial activities of large transport corporations for the transport of goods. The purpose is to monitor and evaluate the information and analytical support of Russian transport companies for the transportation of goods. The authors’ approach to the methodology of financial monitoring has been used. The main stages of financial corporate policy monitoring have been highlighted. Methods of economic and statistical analysis have been applied. The rating of transport companies has been carried out in terms of revenue and assets. Three main purposes of financial monitoring have been integrated with financial analysis. Calculations for monitoring the financial position and results of financial activities of a Russian company - PJSC «TransContainer» have been performed. The main key growth drivers have been identified and systematized. Indicators with deviations from the accepted standard values have been noted. In financial monitoring, two rating methods were used: the methodology for assessing the creditworthiness of the Russian Sberbank clients and the methodology for assessing the effectiveness of the organization proposed by the company «Audit-IT». The principle of comprehensiveness in monitoring was used. A close connection with logistics has been established - there is a stable balance between the economy sectors. Keywords: Financial analysis · Financial monitoring · Financial position · Financial activities · Transport companies · Ranking scores
1 Introduction The methodology and methods of financial monitoring are substantively closely related to the pyramid: mission, corporate strategy, functional financial strategy and financial policy of the company. The financial management mechanism includes several structural elements. One of them is informational and analytical. Strategic and tactical financial management issues are under development. The article discusses the effectiveness of the internal and external factors use as well as the determinants of growth in the analysis of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 454–462, 2022. https://doi.org/10.1007/978-3-030-96380-4_50
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the company’s final state as a part of the corporate financial policy important problems for the medium and long term. A number of authors highlight additional effects leading to synergy. The three main areas that maximize business benefits are: quality of growth in customer service, operational processes of the company, and improvement of the company’s business models [1]. The authors’ hypothesis is as follows: starting successful financial policy is a stable growth in sales in terms of revenue. At the same time, any increase in sales is correlated to varying degrees with the investment of additional financial, labor and other resources. Additionally, it is planned to increase the volume and optimize the choice of sources of borrowed funds, to reduce dividend payments. There is a need for expenses for obtaining additional competencies by personnel, improving technologies for collecting and processing data, introducing the Big-data elements [2]. Monitoring should be comprehensive. Rational proportions are needed between the individual forms of financial policy. Optimality can be assessed by comparative monitoring and analysis of the level of risks, profitability, and the choice of the type of risk position. In one of the scientific works it is determined that “the current economic situation in Russia requires new methods and technologies…. Rational use of various combinations of transport in organizing the delivery of goods leads to a decrease in the total cost of logistics” [3]. Monitoring is based, inter alia, on the financial analysis methods. “The main attention is paid to the assessment of financial stability indicators as an information base for making effective management decisions” [4]. Significant assistance in proving hypotheses was provided by an acquaintance with the literature on “limiting the time for improving the strategic management system at Russian enterprises” [5]. Macroeconomic prerequisites for the formation and monitoring of financial policy are important [6]. Interesting studies were carried out by a number of authors on the “interest of entrepreneurs in competent employees in order to form an effective personnel policy” [7]. The principles of building financial policies are currently based on innovation based on the economic systems’ development and the improvement of digital technology tools. In the work of professor Palkina E.S. it is emphasized that “the creation of a research methodology in the field of development processes of the production and economic system, the real and potential results of its functioning on the basis of improving business processes will serve the management decisions” [8].
2 Materials and Methods The purpose of information and analytical support is the timely provision of information of appropriate quality to internal and external users. Information and analytical support in a systematic approach. It is important to classify the goals and objectives of the company’s management to ensure the relevance and usefulness of the information. The users interested in obtaining certain information about the organization activities can be divided into external and internal as follows (Table 1).
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Table 1. Users interested in information about the company activities. Source: compiled by the authors Internal
External
General director
Founders
Board of directors
Competitors
Chief engineer
Investors
Heads of departments, sectors, segments
Lenders
Heads of analytical department, planning and economic, financial department, management department, sector
State and municipal organizations and institutions (for example, tax services, statistical organizations, etc.
Managers of different levels
Consulting organizations and others
Accountants
Independent analysts, external auditors
Internal auditors
Credit institutions
Information and analytical support of financial management includes indicators of the external and internal environment. These indicators are presented in Table 2. Table 2. Indicators of the internal and external environment for the information analysis and analytical support. Source: compiled by the authors Indicators of the external environment
Internal environment indicators
1
2
Macroeconomic indicators
Market indicators
Sectoral economic indicators
Production indicators
Regional economic indicators
Financial performance
Market indicators, including financial
Rating indicators
Rail transport accounts for the bulk of the freight work of domestic transport [9]. Currently, dozens of the largest companies, the key activity of which is the transportation of goods, are successfully developing on the Russian market [10].
3 Results Based on the statistical data on a limited number of transport organizations, a rating of companies by type of activity 52.29 “Other auxiliary activities related to transportation” was compiled by financial indicators of the assets and revenue volume in million rubles for 2019. Revenue characterizes the financial policy of the organization in relation to income from the main activity. The results are shown in Table 1. For comparison, two largest companies were selected: transportation operators in the transport industry of the Russian Federation:
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1. PJSC «TransContainer» - until September 2019 - a subsidiary of the JSC «RZD» holding 2. AO «NTC» («New Transport Company»). The company group «Delo» is a holding company with a rich history and a connection of sea, rail and container shipping. Parent company of the Group is OOO «MC «Delo». The ownership structure is as follows - 70% belongs to an individual who founded the group in 1993 - Sergey Shishkarev, and 30% belongs to the State Corporation «Rosatom». The next research company of the transport complex is AO «New transport company». AO «New transport company» was incorporated in the Russian Federation as an open joint stock company on June 24, 2003. In July 2015, the company changed its organizational structure from OAO to AO. On October 29, 2015 the company was reorganized in the form of a merger with OOO «Stiltrans» (OOO «Stiltrans» was liquidated and all of its assets and liabilities were transferred to AO «New transport company»). Mission of the company is to contribute to the sustainable and efficient development of the rail freight market and the country’s economy (Table 3). Information about the company activities, which is used by all employees from the executives to the lower-level managers, is always asymmetric. This means that it is distributed unevenly among all structural divisions, functional services, departments. The Table 3. Rating of organizations by revenue and assets. Type of activity: 52.29 “Other auxiliary activities related to transportation, 2019, million rubles.” Source: compiled by the authors independently on the basis of data from the Audit-IT company. Your Financial Analyst Program. Organization
Assets
Place
Revenue
Place
Region
PJSC «Center for the transportation of goods in containers «TransContainer»
101 781
1
101 073
2
Moscow
OOO «Selta»
75 177
2
38 996
7
Krasnodar region
OOO «Vostok1520»
61 850
3
28772
Further 50 places
Moscow
OOO «TransOil»
61 499
4
107 502
1
St. Petersburg (SPb)
OOO «REILGO» 7707205911
45 271
5
40 875
5
Republic Bashkortostan
AO «New transport company»
38 334
6
62 964
3
Moscow
OOO «VM-Trans»
27 410
7
17473
Further 50 places
SPb
OOO «Novatek-TransServis»
19 546
8
1629
Further 50 places
Yamalo-Nenets autonomous region
OOO «LM Soil-Trans»
18 562
9
43 189
4
Moscow
AO «RZD Logistika»
10437
Further 50 places
36 253
10
Moscow
OOO «Deloviye linii»
5726
Further 50 places
33 272
11
SPb
OOO «TD «Sezar»
4915
Further 50 places
39 617
6
SPb
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degree of information asymmetry depends on the company organizational structure type choice. The most successful from this point of view is the choice of a matrix organizational structure. In a matrix organizational structure of PJSC «TransContainer» there is Risk Management, Internal Control and Corporate Governance. This organizational decision is aimed at a high level of feasibility of the company’s financial policy [11]. PJSC «TransContainer» pays significant dividends, which is undoubtedly beneficial from the point of view of the company position in the financial markets, but not always attractive to the interests of the company itself: the policy of managing the capital structure and investments. Weighted average cost of capital over 30%. To reduce the weighted average cost of capital, it is logical to reduce the percentage of dividends in order to increase funds for investment in the future in the interests of the company. That is exactly what happened in 2020. Payments for 2020 as of 03/30/2021 are forecast in nature. The next negative point is the high share of expenses in revenue. The revenue position is growing mainly due to an increase in demand for services provided. It depends on the financial policy in the field of income generation. The outlook is positive due to the change in the share capital ownership. The effect of financial leverage in 2019 showed an increase in the return on equity by only 0.95% while attracting additional debt capital. A more active issue of bonds can be recommended as additional cash resources for the company. The financial position and financial results of the company in 2020 include a number of multidirectional characteristics. According to the financial statements, non-current assets exceed current assets by 3 times. There is a positive trend towards an increase in the volume of long-term financial investments by 15%. Short-term financial investments increased by 5%. Cash increased by 8.8%. In the sources of financing, the most significant increase was in long-term borrowed funds - by 66.2%. The growth rate of short-term borrowed funds amounted to 10.4%. Payable accounts increased by more than 8%. There is a decrease in equity capital in ratio terms by 16% points. There is a positive trend towards an increase in the volume of long-term financial investments close to 15%. Short-term financial investments increased by 5%. Cash increased by 8.8%. Dependence on borrowed capital is significant. The autonomy ratio as of December 31, 2020 was 0.19. In the analysis horizon from 2011 to 2020, it decreased by 0.43. Coefficient availability of inventories does not meet the standard values for the entire nine-year monitoring horizon (Table 4).
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Table 4. Factors of change in the return on investment of PJSC Transcontainer in 2020 compared to 2019, %. Source: calculated by the authors independently based on data from the official website of PJSC Transcontainer. Section : “Reporting” Influence factor
2020/2019
ROS transformation
−0.24
Asset turnover
−1.69
Change in the share of equity capital (E) +18.38 Total change in profitability E
+16.45
All three options for calculating the coverage of stocks by own circulating assets in the estimated period of 2011–2020 worsened their values, demonstrating the company’s instability. Current liquidity ratio as of 31.12.2020 is significantly below the norm and is 0.87. At the same time, the absolute liquidity ratio is twice the standard. Calculation and monitoring of financial performance included absolute and relative indicators. For the period from 2011 to 2020, the company’s revenue has grown 3 times. Profitability according to the traditional set of indicators is growing, demonstrating a linear trend. For example, over an estimated horizon of nine years, ROE increased by 24%. Return on equity (ROE for 2019 was 27%, for 2020 43.5%. In 2020, the ROA value is 15.4%; an important market driver - (EBIT/revenue) * 100% in 2020 is 19%. Business activity is relatively low. Asset turnover is equal to one. Two types of rating of the company performance in terms of key indicators were used: a method for assessing the creditworthiness of a client of Sberbank of Russia and the author’s method for assessing a company rating «Audit – IT». The calculation results for 2020 are shown in Tables 5 and 6. Table 5. Analysis of the company’s creditworthiness PJSC «TransContainer» according to the Sberbank of Russia methodology (N285-5-p from 30 June 2006) Source: calculated by the authors Index
Actual value
Category
Absolute ratio
0.31
1
Quick ratio
0.7
Current ratio
Indicator
Calculating the points
For reference: indicator categories Category 1
Category 2
Category 3
0.05
0.05
0.1 and higher
0.05–0.1
Less 0.05
2
0.1
0.2
0.8 and higher
0.5–0.8
Less 0,5
0.92
3
0.4
1.2
1.5 and higher
1.0–1.5
Less 1.0
Coefficient of availability of own funds
0.2
3
0.2
0.6
0.4 and higher
0.25–0.4
Less 0.25
Product profitability
0.14
1
0.15
0.15
0.1 and higher
less 0.1
Unprofitable
Profitability of operations
0.14
1
0.1
0.1
0.06 and higher
menee 0.06
Unprofitable
Total
x
x
1
2.3
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The result of the sum of points 2.3 is the second class of credit. Lending requires a balanced approach. Table 6. Financial condition rating of the company PJSC «TransContainer» by «Audit-IT» method, scores. Source: calculated by the authors independently based on «Audit-IT» company data Index
1
Indicator
2
Grade Past
Present
Future
Average rating (fr.3 × 0.25 + fr.4 × 0.6 + fr.5 × 0.15)
Assessment considering indicator (fr.2 × fr.6)
3
4
5
6
7
I. Indicators of the company financial position Autonomy coefficient
0.25
+2
−1
+1
+0.05
+0.013
Ratio of net assets to authorized capital
0.1
+2
+1
+2
+1.4
+0.14
Equity security ratio current assets
0.15
−2
−2
−2
−2
−0.3
Current ratio
0.15
−1
−2
−1
−1.6
−0.24
Quick ratio
0.2
+1
−1
−1
−0.5
−0.1
Absolute ratio
0.15
+2
+2
+2
+2
+0.3
Total
1
Final grade (in total: fr.7: fr.2):
−0.187
II. Performance company indicators (financial results) ROE
0.3
−1
+2
+2
+1.25
+0.375
ROA
0.2
+1
+2
+2
+1.75
+0.35
ROS
0.2
+2
+2
+2
+2
+0.4
Revenue dynamics
0.1
+2
+2
+2
+2
+0.2
Working capital turnover
0.1
+1
+1
+1
+1
+0.1
Ratio of profit from 0.1 other operations to revenue from operating activities
+2
+2
+2
+2
+0.2
Total
Final assessment (in total: fr.7: fr.2):
1
+1.625
Criteria for rating the company according to the «Audit-IT» methodology suggest the following (Table 7).
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Table 7. Criteria for rating the company, points Score From
Legend (rating)
Qualitative characteristics of the financial condition
To (incl.)
2
1.6
AAA
Excellent
1.6
1.2
AA
Very good
1.2
0.8
A
Good
0.8
0.4
BBB
Positive
0.4
0
BB
Normal
0
−0.4
B
Satisfactory
−0.4
−0.8
CCC
Unsatisfactory
−0.8
−1.2
CC
Bad
−1.2
−1.6
C
Very bad
−1.6
−2
D
Critical
4 Discussion/Results Analysis The procedure for monitoring corporate financial policy is, according to the authors, as follows: First, the external financial environment of the company is considered. The most significant factors are identified. In numerical terms, the significance of factors is rated when choosing the main directions in the management decisions’ structure [12]. Second, the internal environment of the corporation is periodically analyzed. The state and proximity in the statics and dynamics of the key indicators’ values to the generally accepted corporate, industry and intracorporate standards are observed. Third, the degree of the corporation financial policy compliance with the stated forecasts and a given level of risk is determined [13]. Financial policy traditionally includes a set of types - investment, capital structure management policy, management of working capital, income and expenses, cash flows, tax policy. Comprehensive monitoring is carried out in order to assess the factor sensitivity of growth or decrease in key indicators [14]. An increasingly important role is played by non-financial indicators of corporate policy performance, which, due to the human factor action, have a significant impact on the development and growth opportunities of the organization, for example: – assessment of the state and municipal support possibilities [15]. Further research is planned to be continued in the direction of expanding the empirical base and the application of economic and mathematical modeling methods. In particular, the principle of consistency and complexity implies the combination of accounting, that is, accounting and market (cost) approaches into a single block of financial monitoring.
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References 1. Suvorova, S., Numova, E., Scherbanyuk, I., Nos, V.: Digital transformation in management of container-on-flatcar transportation: evaluation of business effects. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012044 (2020). https://doi.org/10.1088/1757-899X/918/1/012044 2. Bugaeva, M., Buryakov, S., Vassilieva, K., Zaytseva-Savkovich, E., Satsuk, T.: The efficiency of personnel management using motivation modern methods. Int. J. Rec. Technol. Eng. 8(4), 3922–3925 (2019). https://doi.org/10.35940/ijrte.D8360.118419 3. Pokrovskaya, O., Reshetko, N., Kirpicheva, M., Lipatov, A., Mustafin, D.: The study of logistics risks in optimizing the company’s transportation process. IOP Conf. Ser. Mater. Sci. Eng. 698(6), 066060 (2019). https://doi.org/10.1088/1757-899X/698/6/066060 4. Takhumova, O., Ryakhovsky, D., Satsuk, T., Kochkarov, R., Mirgorodskaya, O.: Ways to assess and improve the financial sustainability of Russian organizations development. Int. J. Eng. Adv. Technol. 9(1), 1568–1571 (2019). https://doi.org/10.35940/ijeat.A1360.109119 5. Bezdudnaya, A.G., Ksenofontova, T.Y., Rastova, Y.I., Kraiukhin, G.A., Tulupov, A.S.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. 3, 76–80 (2018). https://doi.org/10.32861/jssr.spi3.76.80 6. Zhuravleva, N., Guliy, I., Shavshukov, V.: Simulation modeling of changes in demand for rail transportation. IOP Conf. Ser. Earth Environ. Sci. 403(1), 012230 (2019). https://doi.org/10. 1088/1755-1315/403/1/012230 7. Israfilov, N.T., Shnyreva, E.A., Panfilova, E.E., Bozhko, L.M., Konstantinov, V.A.: Market information and entrepreneurship education: a case of transition economies. J. Entrep. Educ. 22(3), 383 (2019) 8. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. MATEC Web Conf. 224, 02011 (2018). https://doi.org/10.1051/matecconf/201822402011 9. Gulyi, I.M., Satsuk, T.P., Tatarintseva, S.G., Egorov, Y., Koneva, O.V.: Economic evaluation and future growth trends of railway transport development economic evaluation and future growth trends of railway transport development. Ind. Am. J. Pharm. Sci. 6(3), 6294–6301 (2019). https://doi.org/10.5281/ZENODO.2604248 10. Batchaeva, F., Mardeshich, A., Satsuk, T., Tatarintseva, S., Udalova, D.: Information, organizational and financial aspects of Russian corporations. Ind. Am. J. Pharm. Sci. 6(3), 6232–6242 (2019). https://doi.org/10.5281/zenodo.2604229 11. Lazareva, N.V.: Responsibility of auditors for the opinion on the reliability of financial statements as a factor of business security. Zh. Econ. Entrep. 2(127), 1023–1026 (2021) 12. Lukasevich, I.Y., Lvova, N.A., Sukhorukova, D.V.: Creation of corporative financial stability index: integrated approach. J. Rev. Glob. Econ. 7, 703–709 (2018). https://doi.org/10.6000/ 1929-7092.2018.07.64 13. Voronova, N.S., Sharich, E.E., Yakovleva, D.D.: Architecture of the system for supporting investment decision-making in the financial economy based on monitoring market conditions. J. Econ. Entrep. Law 12, 2934–2946 (2020). https://doi.org/10.18334/epp.10.12.111452 14. Skorokhod, A., Pakhtusova, V.N.: The life cycle of an organization: model tools for identifying the growth stage. Soc. Polit. Econ. Law 6, 41–46 (2017). https://doi.org/10.24158/pep.2017. 6.10 15. Ivanova, N., Morunova, G., Fedosov, V., Kuzmina, S.: Fiscal decentralization: the search for new approaches for the development of local government. E3S Web Conf. 110, 02059 (2019). https://doi.org/10.1051/e3sconf/201911002059
Assessment of the Stress State and Strength of the Cutting Tool Used in the Rolling Stock Wheels’ Repair Aleksandr Vorobev
and Maksim Kharlov(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. This work evaluates the stress state and strength of the cutting tool under the combined action of external factors. At the same time, a numerical method for calculating the stress state of the complex shaped carbide tool’s cutting part for machining railway wheels was used, taking into account the hardening chamfer and various values of its front surface angle. The changes in the physical and mechanical properties of the tool material under the temperature field influence and various laws of loads distribution on the tool contact surfaces, leading not only to elastic, but also to plastic deformations of the hard alloy, are taken into account. The article evaluates the static strength of the cutting tool when processing the wheels of different hardness, taking into account temperature and power effects. The technology of reuse of cutting tools for machining railway wheelsets has also been presented. Keywords: Simulation · Stress state · Railway wheel · Cutting tool · Reinforcing chamfer · Temperature field · Load · Hardness · Stresses · Strength
1 Introduction The role of railway transport in the economic system of any country is growing every year. To meet the growing needs for the transportation of goods, it is necessary to take into account the operational reliability and traffic safety on the railways [1–3]. This largely depends on the trouble-free operation of wheelsets, which are one of the main rolling stock elements [4–9]. During the rolling stock operation, wear and damage to its chassis and, in particular, the profile of the wheelsets’ rolling surface occurs. The worn profile of the rolling surface is periodically restored by machining using a cutting tool equipped with carbide plates. Statistical data on the machine tools use indicate that a significant proportion of equipment downtime (up to 40%) occurs due to low tool life and reliability. An increase in the hardness and strength characteristics of wheel steel also leads to a decrease in the cutting tool durability, which causes an increased consumption of it and, as a consequence, increases the repairing wheels’ cost. All this, together with fluctuations in the cut and hardness depth, causes a change in temperature and power loads in the process © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 463–471, 2022. https://doi.org/10.1007/978-3-030-96380-4_51
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of restoring the wheel profile over a wide range, which together negatively affects the cutting tool, equipment and, in general, the processing process productivity. One of the directions of improving the technological process of restoring wheelsets and saving the wheel and tool resource is to ensure its reliability [10–15]. The paper evaluates the stress-strain state and strength of the cutting tool in the process of temperature-force loading on the basis of a systematic approach under various operating conditions.
2 Assessment of the Stress State and Strength of the Cutting Tool Under Force Action from External Factors In general, the forceful nature of the tool cutting edge loading is due to the resistance reaction to the cutting tool into the wheel body. This factor depends on the physical and mechanical characteristics of the processed wheel material, first of all, on the wheel hardness fluctuation along the depth and contour of cutting due to the presence of hardto-machine defects on the rolling surface. The removal (exploration) of the modeling data was carried out in a checkerboard pattern near the plate top, in the places where its configuration changes along the front and back surfaces, as well as in the places of maximum equivalent stresses concentrations (Fig. 1).
а)
с)
b)
d)
Fig. 1. Static nodal principal stresses in the main cutting plane of the wedge: a) σ1 ; b) σ2 ; c) σ3 ; d) section of the main cutting plane with indication of exploration locations
The point samples with probable contours of equal equivalent stresses ση and the idealized picture of their distribution under the force action on the cutting plate of different configuration when restoring the wheel profile with the parameters: v = 20 m/min,
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t = 5 mm., s = 1.1 mm/rev are graphically presented in Fig. 2 (a - stress isolines, c stress distribution pattern). Based on the analysis of the equal equivalent stresses isolines ση and the idealized picture of their distribution under force (Fig. 2), it was found that there is a contact stresses’ high concentration region in the cutting tool. This area is about 1/4 − 1/3 width of the hardening chamfer and is located vertically below it at the depth of 1…3 values of the wheel contact on the rear surface of the tool. This zone extends deep into the coulter body approximately along the bisector of the tapering angle closer to the back surface of the tool to a depth (6–7)·, and horizontally it is equal to approximately half of the cutting waste contact length along the front surface, where the approximate maximum is located (Fig. 3).
Fig. 2. Distribution of equal equivalent stresses in a tangential carbide configuration γ = 7º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
Fig. 3. Distribution of equal equivalent stresses in a tangential carbide configuration γ = 0º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
3 Assessment of the Stress State and Strength of the Cutting Tool Under Temperature Action from External Factors The heat released in the process of cutting materials is one of the main indicators of the process intensity, since it determines the cutting tool durability and the restoration processing productivity.
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Arising as a result of the cut material deformation to be cut and friction on mating surfaces, heat, heating the cutting zone, affects the process and the tool state and determines its strength and wear resistance. The heat of deformation occurs in a certain volume located in the shear plane, and the heat of friction - in the layers located at the contact surfaces. The studies on the deformation in the cutting zone show that the areas in which heat release occurs, with an increase in cutting speed, occupy less and less volume. Therefore, for the practically applied operating modes of the tool during restorative machining of wheels, the heat loads distribution on the cutting tool surfaces was taken to be concentrated flat, i.e., evenly distributed over the contact area (according to the rectangle law). In addition, it was believed that the contact surfaces do not give off heat to the environment, and thus the heat exchange process of the cutting zone with the surrounding air was neglected. The average temperatures on the tool’s contact surfaces of the (along the front and rear surfaces) arising during the restoring machining of the wheel profile were determined on the basis of the recommendations of the similarity theory developed by professor S.S. Silin. Point samples with probable contours of equal equivalent stresses ση and an idealized picture of their distribution under temperature action on a cutting plate of different configuration when restoring the wheel profile at v = 20 m/min, t = 5 mm, s = 1,1 mm/rev are graphically presented in Figs. 4 and 5 (a - stress isolines, c - stress distribution pattern). The temperature character of the loading of the cutting part of the tool is characterized by the appearance of a second region of contact stresses’ high concentrations. This area is located near the front surface of the cutter on the rounded lateral surface of the hole closer to the cutting edge and is “embedded” in concentric circles and extends into the tool body to decrease. It should be noted that under temperature exposure, the stresses’ value in absolute terms in the region of high stress concentrations is 10…15% higher than with a separate force action.
Fig. 4. Distribution of equal equivalent stresses in tangential carbide configuration γ = 7º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
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Fig. 5. Distribution of equal equivalent stresses in tangential carbide configuration γ = 0º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
4 Assessment of the Stress State and Strength of the Cutting Tool under the Combined Action of External Factors According to the data on the above-made stress state calculations, a complex stress state arises in the cutting wedge. Therefore, the long-term strength under the conditions characterized by isothermal creep must be selected based on the total value of the equivalent stresses ση, obtained on the basis of the temperature fields and stress state calculation with a constant and pulsating (for the dynamic cutting condition) component from the force factor of loading the tool’s cutting part. Idealized picture of the distribution of equivalent stresses ση from the total impact of external factors on the cutting plate of different configuration when restoring the wheel profile at v = 20 m/min, t = 5 mm, s = 1,1 mm/rev are graphically presented in Figs. 6 and 7 (a - temperature-force loading, b - dynamic cutting conditions (combined nature, temperature-force taking into account the impact character).
Fig. 6. Graphical model of temperature-force loading of a tangential carbide configuration γ = 7º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
It follows from the calculations that the power and thermal loads on the cutting tool, as well as the nature of their distribution, are not constant during the cutting process; a change in loads leads to a change in the stress state of the cutting wedge. The maximum stresses are concentrated at the leading edge near the cutting edge and are due to the temperature loading factor. When working with a hard-alloyed tool with a difficult-tomachine material, the impact nature of loading has a significant effect on the stress state, the strength is limited by the cutting speed, which limits the processing productivity.
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Fig. 7. Graphical model of temperature-force loading of a tangential carbide configuration γ = 0º, γy = –15º, fy = 0.5 mm, α = 6° when processing steel with hardness 300 HB
Sufficient tool strength (n = σB /ση ≥ 1) especially at the initial cutting stage is a necessary, but not a sufficient condition for the tool’s effective operation. When choosing a tool material, in addition to the strength indicator, it is necessary to take into account the parameters of the tool material’s wear resistance in aggregate. As a result of solving the optimization problem, the following final values of the resulting geometric parameters of the optimized plate were obtained, taking into account its installation in the holder body, determined by the plate front surface configuration and the holder socket support surface inclination, in comparison with the standard one (Table 1). The table also presents their calculated and predicted strength characteristics. The geometric shape of the cutting part of the plate is shown in Fig. 8.
Fig. 8. Geometric shape of the cutting part of the plate when it is installed in the holder at an angle α
Thus, for the effective instrumental support organization of the rolling stock repair, it is necessary to organize the serial production of remanufactured replaceable carbide cutting plates of high quality and low cost. For this, a technology for restoring their cutting ability from the plates that have worked out their resource has been developed and successfully tested (patent for a useful model No. 139749). The utility model relates to machine-tool construction, relates to grinding and can be used in the repair and manufacture of hard-alloy multifaceted plates for assembled cutting tools, as well as the
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Table 1. Geometric and strength parameters of the optimized prismatic plate Geometric and strength parameters of the prismatic plate
Prismatic plate Standard
Proposed
Reinforcement chamfer angle γy , °
−15
−10
Rake angle (dimple) γ, °
−7
16
Front rake angle (step) γs , °
−
−28
Reinforcement chamfer width f U , °
0.4
0.2
Back surface bluntness width f Z , mm
−
0.2
Width of rake corner penetration into the plate body L P , mm
−
2.0
Apical radius r, mm
4
4
Main cutting edge radius ρ, mm
0.1
0.04
Simulation data Limiting stresses ση , MPa
360
326
Safety margin n, unit
1.71
1.89
Note: stresses and safety factors are calculated for machining wheel steel with hardness 300 HB with the following cutting conditions - depth t = 5 mm., innings s = 1.1 mm/rev, profile recovery rate v = 45 m/min
plates used for processing parts, mainly of railway transport. The proposed system makes it possible to obtain a high-quality and cheap tool due to a rational approach to quality management issues at the stage of designing remanufactured plates, their production and subsequent operation of finished products. The introduction of instrumental support for the rolling surface profile machining of the rolling stock wheelsets based on the re-restoration technology of only one standard size cutting tools usage of replaceable carbide plate reduces tool costs for wheel machining by at least four times compared to the initial costs. Thus, reducing the carbide tool materials consumption by increasing the resource of the cutting tool for machining during the rolling stock parts’ repair is an economically important task.
5 Conclusions 1. A plane complexly stressed state of various configuration prismatic type cutting hard-alloy plates, used for machining railway wheels, in the section of maximum external loads is investigated. The analysis of force and temperature-force effects during the processing of wheels with different hardness has been carried out. 2. A picture of the ultimate stresses’ distribution in the cutting tool body has been established, based on the analysis of which two centers of stress concentration have been identified. In this case, the numerical value of the main focus manifests itself when the temperature loading factor is taken into account and coincides with the concentration place of the maximum equivalent stresses.
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3. The safety factors of a hard-alloy plate of a cutting part with a standard shape when processing the wheels of different hardness are analyzed. A significant decrease in the safety factor was revealed when taking into account the influence of temperatures accompanying the process of restoring the wheel profile. 4. As a result of solving the optimization problem, a rational version of the configuration that provides the smallest stresses in the body of the plate when machining wheels has been found, taking into account the temperature and force effect. 5. Reconditioned (in practically applicable sizes) worn-out carbide plates by sharpening and brought by grinding can be used in the repair and manufacture of multi-faceted carbide plates for prefabricated cutting tools, as well as the plates used for processing parts, mainly of railway transport. The safety margin of the investigated standard sizes of plates (tangential and round) restored by sharpening is not inferior (within ±3%) replaceable multi-faceted plates of new manufacture. 6. The use of serial restoration of old-year replaceable multifaceted carbide plates makes it possible to introduce a system of cost-effective and rational operation of used assembled cutting tools for processing parts during rolling stock repair.
References 1. Kononov, D., Gubenko, S., Ivanov, I., Urushev, S.: Using fractal characteristics to analyze the development of whole-rolled wheel destruction. MATEC Web Conf. 329, 02009 (2020) 2. Yo, O.: Design technologies for railway wheels and future prospects. Nippon Steel Sumitomo Metal Tech. Rep. 105, 26–33 (2013) 3. An, B., Wang, R., et al.: Dynamic response of wheel-rail interaction at rail weld in high-speed railway. Shock Vibr. 2017, 5634726 (2017) 4. Grachev, V.V., Grishchenko, A.V., Kruchek, V.A., Andreev, V.E., Kim, S.I., Fedotov, M.V.: An intelligent wheelset spinning detection system in a direct current traction drive. Russ. Electr. Eng. 90(10), 675–681 (2019). https://doi.org/10.3103/S1068371219100043 5. Gavrilov, T., Kolesnikov, G., Khoroshilov, K.: Tangential forces in the contact area of upper road layer with the base. MATEC Web Conf. 239, 05012 (2018) 6. Smirnov, V.I.: Fracture assessment diagram for solid with circular crack subjected to concentrated forces. Mater. Phys. Mech. 31(1–2), 71–74 (2017) 7. Iakushev, A., Homonets, I.: The effect of residual stresses on the railcar wheel strength. In: Proceedings of the Mini Conference on Vehicle System Dynamics, Identification and Anomalies, pp. 93–100 (2019) 8. Gubenko, S., Ivanov, I., Kononov, D., Urushev, S.: Improving the properties of wheeled steel during thermal repair. IOP Conf. Ser. Mater. Sci. Eng. 971, 052067 (2020) 9. Boronenko, Yu.P., Rahimov, R.V., Lafta, W.M., Dmitriev, S.V., Belyankin, A.V., Sergeev, D.A.: Continuous monitoring of the wheel-rail contact vertical forces by using a variable measurement scale in Joint Rail Conference, JRC 2020 (2020) 10. Ivanov, I., Evseev, D., Ovsyanikova, I., Tarapanov, A.: Analysis of forming tread wheel sets. Transp. Prob. 12(3), 35–42 (2017). https://doi.org/10.20858/tp.2017.12.3.3 11. Vorobev, A.A., Krutko, A.A., Shadrina, N.U., Badamshin, A.M.: Study of the stress-strain state of the wheel pair of a freight car during braking. J. Phys. Conf. Ser. 1260(7), 072019 (2019)
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12. Blagoveshchenskaya, E.A., Gruzdev, N.V., Bochkarev, S.V., Zuev, D.V.: The use of selflearning systems to solve the problems of finding failures on the railway. CEUR Workshop Proc. 2556, 21–28 (2020) 13. Vorobev, A.A., Konogray, O.A., Krutko, A.A., Malakhov, I.I.: A study of the contact of the wheel with the rail for various conditions of freight car. J. Phys. Conf. Ser. 1441(1), 012127 (2020) 14. Molyneux-Berry, P., Davis, C., Bevanhttps, A.: The influence of wheel/rail contact conditions on the microstructure and hardness of railway wheels. The influence of wheel rail contact conditions on the microstructure and hardness of railway wheels. Sci. World J. 2014(4), 209752 (2014). https://doi.org/10.1155/2014/209752 15. Prokopev, V.I., Zhdanova, T.V., Kushkhov, B.S.: Modeling of the stress-strain state of railway wheel and rail in contact. Adv. Intell. Syst. Comput. 982, 603–614 (2020). ISSN: 2194-5357
Construction of a Conceptual Model for the Container Transportation Potential by Transport Organizations for Their Integration into National Supply Chains Elena Yudnikova(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, Saint Petersburg 190031, Russia
Abstract. The study presents a step-by-step construction of a conceptual model for the development strategy of railway container traffic for transport organizations based on identifying the structure of their potential, analyzing the state of the Russian market. The purpose and content of each stage of modeling is established, taking into account the structural elements of the potential for organizing container transportation, identifying opposing factors and problems. Empirical methods in the form of descriptions, experimental and theoretical methods are used, including the container traffic dynamics analysis, synthesis of the containeron-flat-car potential structure, system analysis of the transport market macroenvironment state, conceptual and structural-functional modeling of the stages of developing the potential for the container traffic development for Russian transport organizations. The potential structure for the container-on-flat-car development is presented, an analysis of the macroenvironment with the main operators’ characteristics is carried out, factors and reasons slowing down the development are revealed, an expanded scheme of modeling stages with established goals at each stage is proposed. The examples of the stages’ analysis for its implementation in the research process are given. The importance of identifying the structural components of the container-on-flat-car potential as a basis for developing stages of modeling the possibilities of developing container transport for the participants in this process in order to integrate them into national technological chains is shown. Keywords: Container-on-flat-car · Potential · Conceptual model · Stages of modeling · Transport corridor · Fitting platforms · Investments
1 Introduction In the 21st century, the economic development of Russia was influenced by various fundamental factors, including the strengthening of global competition in all markets for goods, services, capital in the context of the restructuring of the world economy, the growing role of regional economic unions, and the introduction of new technologies; the growth of the importance of human potential, professionalism of personnel in all sectors; exhaustion of opportunities for increasing fuel and raw materials exports. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 472–482, 2022. https://doi.org/10.1007/978-3-030-96380-4_52
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The effect of these factors was amplified by the uncertainty of the continuation of the coronavirus pandemic, a decrease in business activity, a disruption in supply chains, a change in the direction of global and national cargo flows, and an increase in requirements for the quality of transport services. To ensure dynamic growth in the new conditions, Russia needs, along with liquidating the economic consequences of the pandemic, to concentrate efforts and resources on restructuring the economy, adapting it to changes in the demand structure, and intensifying growing markets, including the market for container-on-flat-car (COFC). The planned increase in the volume of transit container transportation by rail by four times by 2024, has led to the intensification of scientific and practical activities in this area (Decree of the President of the Russian Federation of May 7, 2018 No. 204 “On national goals and strategic objectives of the development of the Russian Federation for the period up to 2024” (as subsequently amended). In the scientific research on transport problems, considerable attention was paid to technological aspects [1], management of various processes, logistic principles [2– 4], the organization of international multimodal transport [5–8], the development of transport infrastructure [9–11], interaction with other transport modes, the introduction of information technologies [12, 13] and a number of other issues. However, on the problem of transport, research in the development of container transport, including rail, is clearly insufficient. Therefore, it seems relevant to study the structure of the potential COFC as a basis for the modern highly efficient technologies’ introduction in the carriage of goods by transport organizations.
2 Methods for Studying the Container-on-Flat-Car Development Potential Structure by Transport Organizations The author of the study proposes to consider the totality of available types of resources, coupled with each other, the use of which will allow achieving the maximum economic effect as the COFC resource potential. With an effective approach, the assessment of COFC resource potential can be reduced to understanding the ability of the transport industry, transport organizations to develop, use the available resources, master the new resource opportunities. To achieve this goal, the study used the scientific methods shown in Table 1. In the context of escalating competition in the transit transport market, there is a tendency to mobbing Russian transport companies out of international supply chains. It is proposed to consider building development potential as a mechanism for solving this COFC problem. The share of railway transport in the total freight turnover of the country is 87.2%, excluding pipeline transport, there is a steady growth in the container transport market dynamics in Russia (Table 2) (RZD in figures [Electronic resource]. – URL: http://www.rzd.ru/static/public/ru). From the data analysis on the loaded containers’ transportation, it can be seen that for the period from 2016 to 2020, their volume has more than doubled. The largest increase was observed in such types as transit - 2.96 times, imports - 2.65 times domestic container traffic grew 2.2 times, exports - 1.69 times.
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Methods
Characteristic
1. Description
Fixation of the received statistic data of the COFC state
2. Analysis
Analysis of the elements of their surrounding macroenvironment
3. Synthesis
Identifying the structure of potential COFC
4. Conceptual and structural - functional modeling
Development of a block diagram (block table) of development potential COFC for transport organizations
Table 2. Types of transportation of loaded containers over the network JSC “RZD”, TEU for the period 2016 - 2020 Types of transportation
2016
2017
2018
2019
2020
1. Domestic
769 231
829 564
861 700
950 557
1 700 000
2. Import
334 151
489 609
570 354
639 052
888 000
3. Transit
188 745
316 456
381 327
451 461
558 000
4. Export Total
650 366
760 631
910 253
1 057 795
1 100 000
1 942 493
2 396 260
2 723 634
3 098 865
4 246 000
At the same time, during the period under review, the structure of the types of loaded containers’ transportation has changed. Thus, the share of transit increased from 9.7% to 13.2%, imports - from 17.2% to 20.9%, with a significant decrease in the share of exports from 33.5% to 25.9%. The volume of domestic Russian traffic of loaded containers remained at the same level - 40%. The identified trends make it possible to consider transit and domestic container transportation as priority areas of COFC development. The growth of transit traffic was facilitated by the “Transsib in seven days” project, which has been implemented since 2014, and represents a set of technical measures to ensure the delivery of containers from the Far Eastern ports to the western borders of the country. Also, due to the pandemic, which caused global imbalances in supply and demand, the share of container traffic by trains on the China-Europe-China route increased to 6–8% in 2020. Due to the growth of container transportation of goods in such segments as medicines, dangerous goods, food, etc., the instability of prices for marine freight, the share of container transportation by trains in the near future may amount to about 10% of the total freight turnover. (The share of container transportation by trains in the near future may be about 10% (Source: website https://wagon-cargo.ru). At the same time, the level of containerization in the Russian Federation is significantly lower (about 5%) than in developed countries and BRIC countries (60%–80%).
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Therefore, it seems important to identify the structure of the potential for the development of container-on-flat-car in the Russian Federation (Table 3). Table 3. Structural elements of the potential of container-on-flat-car in the Russian Federation Groups of elements
Characteristic
1. Participation in international transport corridors (ITC), including 1.1. the established ITC 1.2. new emerging ITC
1.1. Pan-European transport corridors No. 1, 2, 9, Far East corridors Primorye-1, Primorye-2, Northern Sea Route, North-South and East-West corridors 1.2.1. Northern Sea Route
2. The presence of transcontinental Railway routes 2.1 The established 2.2. Emerging new
2.1. Routes along the trans-Siberian railway, through the territory of Mongolia, the trans-Kazakhstan route 2.2.1. From Korea and Japan through the ports of Vladivostok, Verny 2.2.2. From Vietnam, Thailand, Indonesia on the basis of the Vietnam-Russia railway corridor and other planned ITC
3. Required infrastructure
3.1 Formation of transport and logistics clusters [13] 3.2. Construction of terminals, equipped cargo areas 3.3. The capacity of railways, an adequate fleet of locomotives, containers, fitting platforms and other elements of the necessary infrastructure
4. Competitive environment of participants COFC
Seven largest operators (Table 3), numerous operators and transport organizations using their services
5. Steady flow of containerized cargo
5.1. The flow of traditional containerized cargo - steel, timber, chemicals, grain, etc 5.2. Search for containerized cargo in collaboration with manufacturers
6. The possibility of digitalization container shipping
6.1. Implementation of information technology, continuous work schedule of the transport hub, automated traffic control system and others 6.2. Blockchain and smart contracts [14]
The most important routes of container transit traffic on the territory of the Russian Federation are the international transport corridor “East-West”, which accounts for about 60%, communication with the countries of Central Asia - with a share of about 30%, transportation in the direction of “China-Belarus-China” - 10%. The new routes include the container shipments launched in 2018 from Finland to South Korea through the port
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of Vostochny, test shipments of containers from India to Russia and Belarus. Potential COFC assessment will be incomplete without the characteristics of the COFC main operators, presented in Table 4. Table 4. Main operators engaged in transit container transportation of goods in the Russian Federation Logistic company
Brief description
1) PAO “Transcontainer”
Intermodal container operator with the largest fleet of containers (83684) and fitting platforms (30676) on the 1520 standard rail network, 38 own terminals in Russia; terminals in Kazakhstan; in Slovakia
2) AO “OTLK ERA”
Operator of transit container services between China and Europe through the territory of Russia, Kazakhstan, Belarus along the Brest / Bruzgi / Svisloch / Kaliningrad-Dostyk / Altynkol route from China to Europe and back, a joint project of the railways of Russia, Kazakhstan and Belarus, 99.84% of shares JSC “RZD”
3) AO “RZD Logistica”
Operator of container trains on routes through Kazakhstan, Mongolia, with Japan. Since 2018 transit services along the PRC - Europe - PRC route. Organizer of new ITC (Russia - Vietnam, “North - South”), routes: Changsha (China) Tilburg (Netherlands), Taiyuan (China) - Duisburg (Germany), Milan (Italy) - Chongqing (China)
4) OOO “Gefco” - agency in Russia
Leading player in the automotive logistics market in Russia, 4PL - a provider of container-on-flat-car on routes between Europe, China and Russia, New Silk Road
5) AO “DB Schenker” (German company) Branches in 22 cities of Russia, regular COFC in the Trans-Euro-Asian corridor “from door to door” for block trains, single, groups of containers, for partial container loads on different routes 6) OOO “Crafter”
32 branches in Russian cities, provides rail container transit along the China - Europe - China route in the New Silk Road project
7) NC “Eurosib”
The group of companies has 14000 units of 5 types of rolling stock; own fitting platforms; one terminal and logistics center, international and domestic container transportation using all types of transport [15]
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There has been a tendency of growth of the initiative of transport companies in the search for ways to increase their efficiency, the use of advanced transportation technologies in recent years due to the increase in COFC profitability. Transport companies start actively participating in the development of national supply chains (Table 5). Table 5. Examples of activities of transport companies that contribute to the container rail transit traffic growth Company
Activity
Description
AO “OTLK ERA”
XL-training project since 2017
Optimization of the railway throughput by forming one or two of three trains from two Chinese trains on the 1520 mm gauge infrastructure with an increase in the train length with its more complete load
AO “RZD Logistica”
1) Combination of rail transportation with short sea routes 2) New transit on the Asia Europe route 3) Expansion of the geography of transportation from China
- Container transit project from China through Kaliningrad with short sea routes in cooperation with EAEU railway operators, ports of Kaliningrad, Baltiysk, shipping liner companies - Creation of the Russia-Vietnam / EU-Vietnam railway corridor in 2018 with an effect twice as fast as by sea - In 2018 launch RZDL transit route Changsha (China) Tilburg (Netherlands) with regular dispatch of goods
OOO “Complex high-speed technologies”
High-speed container platform project
In January 2018, a successful test of a container platform project was completed, capable of moving by rail up to 160 km /h
Thus, we can state that there are still not fully utilized reserves, market opportunities for the container traffic development to Russia. In recent years, the market for container-on-flat-car has seen favorable changes in the competitive environment formation due to the participation of numerous medium and small enterprises in them that carry out container transportation through the large operators with platforms and containers. At the same time, the Russian container market is at its development stage, which is characterized by risks and uncertainties that require maximum consideration of all the opportunities for work in this market of transport organizations, which has made it relevant to build a business development potential model in this market.
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3 Building a Conceptual Model of the Potential for the Container Transportation Development by Transport Organizations The increase in demand for the transport of goods in containers is due to a number of reasons, including in the context of a pandemic the growth of international container transit due to the possibility of transporting any cargo without transshipment, reducing downtime, its safety, as well as the presence of international transport corridors, which include large ports and terminals where the use of containers is a necessity. Therefore, it is necessary to take into account various aspects affecting the containeron-flat-car potential development for a fourfold increase in container transit in Russia by 2024. Some of them are: the assessment of the ITC operating effectiveness in Russia, existing transcontinental rail routes, identification of COFC promising routes, assessment of their investment attractiveness, on the other hand, the identification of industries, industries for transportation containerization, the formation of a competitive environment in the COFC market, consideration of opposing factors, existing problems. The development of the transport organizations’ potential involved in container transportation presupposes the presence of a complete modern infrastructure, including a sufficient number of locomotives, fitting platforms, containers, which will expand the client base, conclude long-term contracts with large and medium-sized international and domestic manufacturers, intensively increase the share of the container transportation market, effectively use the rolling stock and increase the marginal profit. The listed aspects were taken into account when developing a conceptual model for COFC transport organizations’ capacity development, including consideration of the stages of its formation both at the macrolevel and at the transport organizations level (Table 6). Table 6. Conceptual model of the container-on-flat-car development potential by transport organizations I. Goal setting - development of potential COFC transport organizations II. Identification of potential COFC development reserves 2.1 Research of the COFC market macroenvironment 2.1.1. Efficiency analysis ITC on Russian territory
2.2.1. Analysis of the macro environment of the domestic Russian container market
2.1.2. Ranking and choosing the most effective ITC according to the system of criteria
2.2.2. Compilation of a list of industries for rail transport containerization
2.1.3. Analysis of existing transcontinental rail routes
2.2.3. Ranking and selection of industries with the highest containerization potential
2.1.4. Ranking and selection of the 2.2.4. Analysis of operating operators in the container-on-flat-car most efficient container transit market projects
(continued)
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Table 6. (continued) 2.1.5. Identification of new land, mixed bridges (sea - land - sea)
2.2.5. Compilation of a rating of existing operators in the SaT market according to the system of criteria
2.1.6. Assessment of investments for existing and prospective projects
2.2.6. Analysis of competition in the domestic SaT market
III. Identifying the opposing COFC developmental factors 3.1. Interstate and state levels (legal, organizational, tariff and other aspects) 3.2. Infrastructure level 3.2.1. Problems of the carrying capacity of the railways’ individual sections; 3.2.2. Lack of transport and logistics clusters development; 3.2.3. Lack of terminals, equipped cargo areas; 3.2.4. Insufficient fleet of locomotives, containers, fitting platforms and other elements of the necessary infrastructure 3.3. Container planning level 3.3.1. Failure to comply with the declared JSC “RZD” travel time of a container train (CT); 3.3.2. Delay in the supply of fitting platforms; 3.3.3. Uncoupling from container trains en route for routine repair of fitting platforms, etc.; 3.3.4. Insufficient flow of containerized cargo IV. Identifying the problems slowing down COFC development 4.1. State regulation level
4.2. Infrastructure level
4.1.1. Insufficient investment in infrastructure development
4.2.1. Railway capacity
4.1.2. Legal problems, etc
4.2.2. Provision of locomotives, fitting platforms, etc
4.2. Interstate level
4.2. Container planning level
4.2.1. Different gauge length, tariff policy, etc
4.2.1. Problems of interaction between operators and JSC “RZD”
V. Development of a set of measures for COFC capacity building 5.1. The level of state regulation (a set of legal measures, organizational, investment measures, etc.) 5.2. Methodology for choosing the role of transport organizations in container-on-flat-car 5.2.1. Identification of promising areas for COFC 5.2.2. Search for optimal routes in the selected activity areas 5.2.3. Calculation of economic feasibility indicators of container transportation for each route 5.2.4. Compilation of a summary table for assessing the economic feasibility of container transportation for each region, route, development scenario 5.2.5. Calculation of costs for the purchase or lease of fitting platforms, selection of the best option for an investment project 5.2.6. Assessment of investment risks and finding ways to reduce them
The developed conceptual model is an attempt to consider the sequence of stages in the COFC macroenvironment analysis, infrastructure elements, identifying opposing factors, existing problems, methods for calculating the feasibility of investments for the purchase or lease of fitting platforms.
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The methodology is based on the ability to choose the role of the transport organization in COFC by identifying promising areas for container shipping, calculating route costs, taking into account different tariff options, allowing to assess profitability for various scenarios of the container shipping market development and select a transport organization a reasonable option for the prospects for work in national supply chains.
4 Results Analysis The potential of the Russian railway infrastructure for the transit containers’ passage, even in the absence of significant investments in its expansion, is far from being exhausted. Only an increase in the length of a container train by combining two into one train or three into two provides a more complete filling of them with containers, thus optimizing the use of the Russian railways’ capacity. Therefore, a COFC fourfold increase by 2024 in Russia it is quite achievable, this growth rate can be considered as minimum, which should be significantly exceeded. The construction of the Baikal-Amur Mainline second track will also contribute to this. After all, the planned COFC share is 20% in the total volume of cargo transportation is insufficient to meet international standards of the transport industry development level. Prospects for continued growth in transit from China, Japan, South Korea and other Asian countries via Russian railways are quite high, provided that container traffic is competitive in terms of price and quality of services provided. Taking into account the understanding that there are no restrictions on the range of goods transported by rail, transportation technologies should be improved, and associated costs should be reduced by increasing the flow of container cargo towards the Chinese border. In addition to traditional cargoes, an increase in container transportation of food products, agricultural products, wine and vodka products, etc., should be considered as containerized goods from Russia. The proposed conceptual model of COFC development potential covers the state and industry levels. Understanding the algorithm of actions in the analysis of the macroenvironment, according to the author, will contribute to making more informed decisions both at the level of the Ministry of Transport of the Russian Federation, and large operators, transport organizations of medium and small businesses. For large operators in this market, the model demonstrates the need to develop a capacity development strategy to operate in this market. The proposed stages in identifying market opportunities will allow large operators, as well as medium and small businesses, to choose the optimal direction of container transportation, to identify the uncovered segments of containerized cargo, to make a choice of a reasonable investment project for the purchase or lease of containers, fitting platforms. The developed conceptual model will ensure the development of COFC potential transport organizations to increase their competitiveness. The fifth stage, including the method of choosing an investment project in the COFC market, was tested in the NorthWest region for the company “Eurosib SPb – transport systems”, having a significant fleet of fitting platforms. Calculations have shown the prospects of investments in expanding the container traffic volume in this territory.
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5 Conclusions The Russian container market is at a stage of development, which is characterized by risks and uncertainties. To reduce them, a conceptual model was proposed in the form of a block - table, including the stages of COFC building capacity. To participate in the container transportation market, it is necessary to use a set of strategic, organizational, financial, infrastructural opportunities that form the transport organizations’ potential. The ability of the transport industry and transport organizations authorities to effectively use the available resources, develop and master the new resource opportunities will ensure high development rates not only of transit container traffic, but also of domestic Russian ones. At the same time, it is necessary to expand the COFC geography in accordance with the requests of both international and domestic clients, focusing on promising projects of business routes and trends in the consumer markets of Russia, China, Europe and other countries of the Asia-Pacific region. Increased competitiveness of participants COFC in the Russian space will resist their mobbing of ITC and contribute to the formation of promising new national supply chains. Thus, in the presence of opposing factors, the existing problems in the rail container transportation market, it is necessary to pay attention to the long-term development of infrastructure, material and technical base of operators and effective investment in the competitiveness of national supply chains to ensure the growth of the quality of services offered to both international and domestic consumers.
References 1. Kotenko, A., Malakhova, T., Shchmanev, T.: Analysis of the experience of operation and scope of application of direct connections to ensure passenger transportation on regional lines. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 363–372. Springer, Singapore (2020). https://doi.org/10.1007/978-98115-0450-1_37 2. Kovalev, K.E., Kizlyak, O.P., Galkina, J.E.: Automation of management functions of operational personnel of railway stations. In: International Multi-Conference on Industrial Engineering and Modern Technologies (FarEastCon 2019) (2019). https://doi.org/10.1109/FarEas tCon.2019.8933836 3. Pokrovskaya, O.D.: Implementation principles and requirements of transport and logistical services for railway transport. Proc. Petersburg State Transp. Univ. 3, 288–303 (2020). https:// doi.org/10.20295/1815-588X-2020-3-288-303 4. Pokrovskaya, O., et al.: Cargo transportation and commodity flows management. IOP Conf. Ser. Mat. Sci. Eng. 918, 17–57 (2020). https://doi.org/10.1088/1757-899X/918/1/012050 5. Kotenko, A., Malakhova, T., Shchmanev, T.: Multimodal transport as a mechanism for increasing the competition of long-distance passenger services. IOP Conf. Ser. Mat. Sci. Eng. 698, 066051 (2019). https://doi.org/10.1088/1757-899X/698/6/066051 6. Panova, Y., Korovyakovsky, E., et al.: Russian railways on the Eurasian market: issue of sustainability. Euro Bus Rev. 29(6), 664–679 (2017). https://doi.org/10.1108/EBR-01-20160008
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7. Panova, Y., Hilletofth, P., Krasinskaya, J.: Mitigating the break-of-gauge problem ininternational transportation corridors. World Rev. Intermod. Transp. Res. 7(2), 124–146 (2018). https://doi.org/10.1504/WRITR.2018.091253 8. Nesterova, N.S., Vl, A.: A Building up a set of feasible strategies for gradual image and power change of multimodal transportation network facilities. Proc. Petersburg State Transp. Univ. 17(3), 329–338 (2019). https://doi.org/10.20295/1815-588X-2019-3-329-338 9. Pokrovskaya, O., Fedorenko, R.: Methods of rating assessment for terminal and logistics complexes. IOP Conf. Ser. Earth Env. Sci. 403, 199 (2019). https://doi.org/10.1088/17551315/403/1/012199 10. Kurenkov, P., Pokrovskaya, O., et al.: Study of the current state of the transport infrastructure of road and rail transport of the Russian Federation. IOP Conf. Ser. Mat. Sci. Eng. 3(2019). https://doi.org/10.1088/1757-899X/698/6/066064 11. Nikiforova, G.I.: Interaction of rail and maritime transport in the delivery supply chain of overseas trade cargo traffic. Proc. Petersburg State Transp. Univ. 17(3), 339–346 (2019). https://doi.org/10.20295/1815-588X-2019-3-339-346 12. Sergeeva, T.G., Nikiforova, G.I.: Competitive recovery of transport and logistics companies in the era of digitization. Proc. Petersburg State Transp. Univ. 17(3), 428–436 (2020). https:// doi.org/10.20295/1815-588X-2020-3-428-436 13. Pokrovskaya, O., Fedorenko, R.: Assessment of transport and storage systems. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1115, pp. 570–577. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37916-2_55 14. Iudnikova, E.S.: Methodological aspects of selection of a logistics cluster location accounting for factors determining city potential. Proc. Petersburg STU 17(4), 658–669 (2019). https:// doi.org/10.20295/1815-588X-2019-4-658-669 15. Gulyi, I.: Economic assessment of the implementation of distributed data registry platforms in multimodal transport. E3S Web Conf. 22, 106 (2020). https://doi.org/10.1051/e3sconf/202 02200106
Analysis of Organizational and Managerial Factors for Ensuring Traffic Safety in a National Railway Company Liliya Kazanskaya1(B)
and Sherzod Rizakulov2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Avenue,
190031 Saint Petersburg, Russian Federation 2 Tashkent State Transport University, 1 Odilkhodjaev, 100167 Tashkent, Uzbekistan
Abstract. This article presents the structure and a promising model for ensuring traffic safety in railway transport. The systemic factors influencing the provision of traffic safety from various blocks, such as management, resource provision, production activities and control, have been analyzed. The assessment of systemic factors was carried out depending on their degree of importance. The methods of correlation, regression and factor analysis, probability theory and mathematical statistics were used. To develop a strategy for improving the traffic safety system in JSC «O’zbekiston Temir Yo’llari» the extended matrix of the SWOT- analysis that showed the relevance of two of the four strategies presented. The first is the use of modern management technologies and traffic safety management mechanisms through the introduction of automated information and analytical systems for collecting, storing, analyzing and forecasting indicators. The second is building the optimal organizational structure of the company within the framework of a vertically integrated management model to minimize losses due to traffic safety violations associated with the local control loss. To assess the formed strategies and choose the most acceptable ones, a justification was carried out according to the system of such criteria as efficiency, economic effect, expenses for the strategy implementation and the implementation period. Recommendations for improving the traffic safety system in the national railway company have been developed. Keywords: Traffic safety · Railway transport · System factors · Model · Comparative criteria
1 Introduction Currently, the railway transport of the Republic of Uzbekistan continues a number of structural transformations aimed at the formation of separate competing business blocks with the resource provision centralization. This is happening in the context of the world economy globalization [1]. Railway safety is a constant theme in their development and maintenance as an important part of national security. The main task for the company «O’zbekiston Temir Yo’llari» (OTY) management in the field of traffic safety (TS), the enlarged structure of which is shown in Fig. 1, is the planning of all the necessary measures to organize the trouble-free operation of railway transport. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 483–492, 2022. https://doi.org/10.1007/978-3-030-96380-4_53
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System of measures, technical means and actions of railway transport workers
Fig. 1. Enlarged structure of the TS support system
The system of requirements for the safe functioning of the transport system includes the norms and parameters of the transport system and a set of rules for maintaining the parameters in safe limits. The system for implementing the requirements for TS is a system of measures, technical means and actions of operating personnel aimed at ensuring the safe parameters of technical means. The system of measures includes the implementation of the requirements for TS in engineering surveys, design solutions, design developments, manufacturing technology, certification and maintenance of technical equipment during the transport systems’ operation. To ensure the required TS level in the conditions of financial deficit, it is necessary to have sound methods of setting goals in the TS field, tied to the available resources (human, material, financial, administrative, etc.). At the stage of planning measures to ensure the required TS level, the fundamental point is the feasibility study of measures, from which follows the setting of a measurable goal for the company as a whole and its decomposition by the structural divisions (Fig. 2). Based on the feasibility study and goals in the field of TS, the requirements for the TS support system components are formed, which are aimed at maintaining the transport system within the regulatory limits, as well as developing protective measures to prevent the transport system exit from these limits. This approach to providing TS is radically different from the existing on the network JSC «OTY», where the basic principle is to achieve “absolute safety”. Implementation of the above-mentioned approach in providing TS is possible only if the necessary information and analytical systems are available, capable of objectively assessing the results of the company’s activities in TS matters, as well as to predict the accident rate when changing the transport system parameters or deviations in the TS support system components’ operation [2]. In addition, it is necessary to revise the existing regulatory framework in terms of planning measures to achieve the required TS level. The purpose of this work is to develop recommendations for improving the system of providing TS in JSC «OTY» with varying parameters of the railway transport operational work, as well as the changes in the volume of investment and operating funds. To do this, it is necessary to assess the influence degree of various factors on ensuring traffic safety, develop an optimal strategy based on comparing the strengths and weaknesses of the company, assessing the opportunities and threats of the external environment and assess it based on comparing various criteria.
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Required level of traffic safety
M A N A J E M E N T S Y S T E M
Тechnic
Technical and economic justification for achieving the required level The goals may be higher than the required traffic safety level Designing the limits of the transport system
People
Processes
System for maintaining the parameters of the transport system within the regulatory limits The system of protection of the transport system from threats when the parameters exceed the regulatory limits Traffic safety level
Fig. 2. Perspective model of the TS support system
2 Materials and Methods Representatives of many schools of the world scientific community are engaged in the study of transport safety, taking into account the technological changes taking place in the 21st century with great speed [3–7]. Of particular interest are the works using the risk assessment methods based on a complex method of weighing various factors affecting security TS [8], and the methods taking into account the system integration in high-risk industries based on human automation [9, 10]. However, to consider issues not only from an engineering standpoint, but also taking into account the organizational and socio-economic nature, is of interest. This study is based on the methods of correlation, regression and factor analysis, probability theory and mathematical statistics.
3 Results Provision process of trains’ TS is described by a control model (Fig. 3), developed in accordance with the recommendations of international standards ISO 9001 series. Block-management processes
Required level of traffic safety
Block-processes of resource provision
Block-processes of production activity
Block - control processes
Final level of traffic safety
Fig. 3. - Generalized process model of TS provision
Analysis of organizational and managerial factors in providing TS consists in identifying shortcomings’ characteristic of management processes, resource provision and control [11]. These shortcomings can manifest themselves in the absence of a modern,
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scientifically grounded regulatory and methodological base, lack of planning methods for personnel, material and financial resources, imperfection of the organizational structure or the control system redundancy. As a result of the systemic factors’ analysis and their influence on the processes of ensuring TS it can be concluded that there is an insufficient level of the management methods and tools’ development (Table 1). According to expert estimates [12], the decision-making system (strong-willed, often ill-considered choices) has the greatest influence in the block of management processes (see Fig. 3), there is a low level of remuneration in the block of resource provision processes, and the problem of interaction between different services in the organization of repair work is in the block of processes production activities. In the block of control processes, the factor of prevalence of control over ensuring the quality of work performed has the greatest influence. The system factors’ influence degree in the control unit on the TS state is the greatest. Table 1. Assessment of the systemic factors’ influence degree on TS provision Process block name
Importance
Systemic factors and their designations
The degree of importance in the block
Control (M)
0.35
M1 - Hard administrative pressure
0.09
M2 - Unclear delineation of areas of responsibility
0.04
M3 - Violation of official ethics
0.02
M4 - Strong-willed, ill-considered choices
0.11
M5 - Lack of modern analysis techniques
0.04
M6 - Lagging behind the regulatory framework of the modern technical means and technologies’ development
0.07
Resource provision (R)
0.3
R1 – Lack of equipment in 0.06 the maintenance and repair of devices R2 – Spare parts are delivered 0.03 late R3 - Supply of substandard spare parts
0.06
R4 - High staff turnover, lack of qualified personnel
0.06
(continued)
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Table 1. (continued) Process block name
Importance
Production activity (P)
0.25
Control (C)
0.1
Systemic factors and their designations
The degree of importance in the block
R5 - Low wages
0.09
P1 - Unfavorable working conditions
0.075
P2 - Weak regulation of the processes of work performed
0.075
P3 - Problems of interaction of various services in the organization of repair work
0.1
C1 - The predominance of control over ensuring the quality of work performed
0.065
C2 - Lack of technical means of control and lack of diagnostics and control automated means
0.035
Assessment of the systemic factors’ influence on TS provision with a degree of importance can be determined by the formula: I = 0.35 · M + 0.3 · R + 0.25 · P + 0.1 · C
(1)
Where M = 0.09 · M1 + 0.04 · M2 + 0.02 · M3 + 0.11 · M4 + 0.04 · M5 + 0.07 · M6 R = 0.06 · R1 + 0.03 · R2 + 0.06 · R3 + 0.06 · R4 + 0.09 · R5 P = 0.075 · P1 + 0.075 · P2 + 0.1 · P3 C = 0.065 · C1 + 0.035 · C2 To overcome the negative influence of systemic factors of providing TS in JSC «OTY» should meet a number of requirements: • The current TS support system should prevent accidents on the railways, and not eliminate the consequences as a result of their occurrence. Lack of risk management tools in the field of TS significantly reduce the effectiveness and efficiency of its work. • Planning activities and resources should be based on the forecast of the number of violations TS with varying parameters of operational work and changes in the amount of funds for TS provision. This will make it possible to bring all the JSC «OTY» network sections to a single TS level and improve the targeting of financing bottlenecks.
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• Any changes in the organizational structure should be assessed taking into account their impact on TS. Structural reform of Uzbekistan railways could negatively impact the TS procurement processes’ effectiveness, therefore, the issue of choosing the most optimal organizational structure that would allow minimizing losses from violations is relevant TS, due to deficiencies in the management model. For the practical implementation of the above-listed requirements, it is necessary to develop a strategy for improving the security system TS in JSC «OTY» through SWOT analysis. It makes it possible to form an optimal strategy based on comparing the strengths and weaknesses of companies, assessing the opportunities and threats of the external environment. The primary matrix of SWOT analysis (Table 2) is presented based on the JSC «OTY» company’s statistics. Table 2. SWOT- analysis of the TS supply system Positive environmental factors
Negative environmental factors
Environment type
S (Strength)
W (Weak)
Internal environment
1. Effective operating system of TS management at linear enterprises 2. Experienced highly qualified personnel 3. Well-established technologies of repair and technical equipment maintenance 4. State support for innovative development programs of the company
1. High depreciation of fixed assets 2. There are no innovative systems and methods for the railway transport technical means’ diagnostics 3. Deficit of funds for the current maintenance and railway transport facilities’ repair 4. Lack of highly qualified personnel in the TS supply system
O (Opportunities) –
T (Threats) –
1. Implementation of an automated control TS system 2. Modern means and methods of risk management technology in the field of TS 3. Application of modern and innovative methods in the allocation of resources in the supply system TS 4. Attracting funds from private investors to increase TS
1. Outflow of experienced highly qualified personnel 2. Loss of TS control at a linear level due to the organizational structure of the company reform 3. Sequestration of TS collateral costs in the company 4. Severe weather and climatic conditions operation of railway transport facilities
External environment
On the basis of the developed primary matrix of SWOT analysis (Table 2), a correlation matrix (secondary) containing 4 directions of the JSC «OTY» TS security system strategic development has been formed (Table 3).
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Table 3. Extended SWOT analysis matrix of the TS provisioning system Opportunities (O) the use of modern management mechanisms in terms of debugging the processes of ensuring TS; introduction of risk management methodology in the field of TS; formation of mechanisms for optimizing financial resources to achieve the highest possible TS level; attracting funds from private investors to increase TS.
Strength (S) Separate structure of the railway complex management (the possibility of solving the problem on the ground); strong demand for rail transportation; experienced highly qualified personnel; improvement of the repair and maintenance technology of technical equipment; state support for the company’s innovative programs development. Weak (W) high wear of fixed assets; application of modern and innovative methods in the resources’ allocation; investment priority is given to the new lines’ construction; shortage of highly-qualified personnel in the TS support system.
STRATEGY S-O: Improvement of the TS support system through the use of modern management technologies and TS management mechanisms, as well as through the introduction of TS automated information and analytical systems for collecting, storing, analyzing and forecasting indicators. STRATEGY W-O: Technical modernization of the JSC «OTY» network to overcome the critical level of wear and tear of technical equipment used in railway transport.
Threats (T) outflow of experienced highly qualified personnel; insufficient level of staff motivation; centralization of resources can lead to a deterioration in TS manageability at the line level; reducing the cost of providing TS; risks associated with severe weather and climatic conditions during the railway transport facilities’ operation. STRATEGY S-T: Building an optimal organizational structure for JSC «OTY» within the framework of a vertically integrated management model to minimize losses due to TS violations, related to the local control loss. STRATEGY W-T: Improvement of the TS support system by introducing modern systems and methods of diagnostics and monitoring the technical equipment state and the work of line personnel.
4 Summary As a result of the carried-out SWOT-analysis correlation, the TS security strategies for JSC «OTY» have been formulated, two of which, according to the authors, are the most relevant: – strategy S-O: Application of modern management technologies and TS management mechanisms through the introduction of automated information and analytical systems for collecting, storing, analyzing and forecasting TS indicators; – strategy S-T: Building an optimal organizational structure for JSC «OTY» within the framework of a vertically integrated management model to minimize losses due to TS violations, related to the local control loss. Strategies S-O and S-T are the priority areas for the TS security system development on the JSC «OTY» network. Application of modern means of TS condition analysis and models for predicting the level of accidents, depending on the volume of the railway transport work and its resource support, will improve the targeting of financing the facilities operated on the network and maintain the wear level of production assets at a stable level. Such tools will create the necessary prerequisites for increasing the reliability of the technical means’ functioning, which will allow to reduce the number of traffic accidents caused by dangerous failures in the long term.
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Technical modernization of the JSC «OTY» network to overcome the critical level of technical equipment wear and tear (strategy W-O) and improving the system of providing TS by introducing modern systems and methods of diagnostics and monitoring the state of technical equipment and the line personnel work (strategy W-T) are excessively expensive and cannot be fully implemented in practice. To evaluate the formed strategies and choose the most appropriate one for JSC «OTY» we will justify the system of criteria presented in Table 4 [6]. Table 4. Criteria for the strategies’ comparative assessment No.
Criterion name
Direction optimization
Weight factor
1
Effectiveness (completeness of solving the problem), %
Maximizing
k1 = 0.36
2
Economical effect, e
Maximizing
k2 = 0.29
3
Implementation costs, e
Minimization
k3 = 0.24
4
Implementation period, month
Minimization
k4 = 0.11
Total
1
Evaluation of comparative criteria for various strategies are presented in Table 5. Table 5. Calculation of the final assessments of strategies based on the comparative criteria weights Strategy Criterion
Evaluations Strategy S-O Strategy S-T Strategy W-O Strategy W-T
Effectiveness, %
0.70
0.95
0.80
0.60
Economical effect, e
1
0.83
0.89
0.89
Implementation costs, e
0.41
0.41
0.01
0.34
Implementation period, month
0.48
0.04
0.01
0.14
Final score taking into account 0.69 the weighting factors
0.68
0.55
0.57
Note: To calculate the final assessment of the strategy, the form of the expression is used: k Si = kj · aij (2) j=1
where: Si is the final grade of the i-th strategy (see Table 5); kj is a weight factor for the j-th criterion [///]; aij is a normalized score value of the i-th strategies for the j-th criterion (see Table 5).
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For example, for the strategy S-T we will have: S2 = 0.36 ∗ 0.95 + 0.29 ∗ 0.83 + 0.24 ∗ 0.41 + 0.11 ∗ 0.04 = 0.6855 Based on the ranking obtained in the Table 5 the final assessments identified the best strategies for the TS security system development in JSC «OTY», suggesting: – using the strength and opportunity of the companies – strategy S-T. – using strength to overcome potential threats – strategy S-O. In order to implement the formed strategies, this work outlines the recommendations for improving the security system TS in JSC «OTY» taking into account the already developed models for the railway security systems’ design in the transportation organization [13–15]: 1. Formation of a model for predicting the number of TS violations depending on the operational work parameters of railway transport and its resource support. This model is a strategic management tool for ensuring TS and should improve the quality of planning measures to achieve the target safety level. 2. Development of models for predicting the number of technical means’ failures in conjunction with seasonality. Such a model will allow to quickly act on the TS violations’ causes, related to the changes in railway transport operational work at the tactical level of management. 3. Synthesis of the most optimal organizational structure JSC «OTY», which will minimize potential losses in the TS area, due to insufficient interaction of business units, as well as inconsistency in actions to organize transportation. 4. Development of proposals for improving the decision-making system in TS matters by using automated information and analytical systems for collecting, storing and analyzing TS state indicators using modern, mathematical methods and algorithms.
5 Conclusions The analysis carried out by the authors and the recommendations listed above will allow, in the medium and long term, to make the transition from the principle of achieving “absolute” TS to the principle of ensuring the guaranteed TS level in relation to objectives and available resources. In addition, it is expected to improve the efficiency of the TS support system in general, through the use of automated decision support systems and the use of predictive models in TS, as well as improving the regulatory and methodological framework for the prevention of TS violations cases, which will reduce losses from railway transport accidents.
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2. Li, K., Wang, S.: A network accident causation model for monitoring railway safety. Saf. Sci. 109, 398–402 (2018). https://doi.org/10.1016/j.ssci.2018.06.008 3. Luan, X., De Schutter, B., Meng, L.: Decomposition and distributed optimization of realtime traffic management for large-scale railway networks. Transp. Res. Part B Methodol. 141, 72–97 (2020). https://doi.org/10.1016/j.trb.2020.09.004 4. Sangiorgio, V., Marcello Mangini, A., Precchiazzi, I.: A new index to evaluate the safety performance level of railway transportation systems. Saf. Sci. 131, 104921 (2020). https:// doi.org/10.1016/j.ssci.2020.104921 5. Lu, C., Cai, C.: Overview on safety management and maintenance of high-speed railway in China. Transp. Geotech. 25, 100397 (2020). https://doi.org/10.1016/j.trgeo.2020.100397 6. Roets, B., Verschelde, M., Christiaens, J.: Multi-output efficiency and operational safety: an analysis of railway traffic control centre performance. Eur. J. Oper. Res. 271(1), 224–237 (2018). https://doi.org/10.1016/j.ejor.2018.04.045 7. Kazanskaya, L., Drivolskaya, N.: Ensuring the economic sustainability of the railway national company in a globalizing world economy. In: The 19th International Scientific Conference Globalization and its Socio-Economic Consequences 2019 – Sustainability in the GlobalKnowledge Economy, vol. 74, p. 05010, 7 (2020). https://doi.org/10.1051/shsconf/202074 8. Liu, C., Yang, S., Cui, Y., Yang, Y.: An improved risk assessment method based on a comprehensive weighting algorithm in railway signaling safety analysis. Saf. Sci. 128, 10476 (2020). https://doi.org/10.1016/j.ssci.2020.104768 9. Crawford, E.G.C., Kift, R.L.: Keeping track of railway safety and the mechanisms for risk. Saf. Sci. 110(B), 195–205 (2018). https://doi.org/10.1016/j.ssci.2018.07.004 10. Ya, W., Alois Weidmann, U., Wang, H.: Using catastrophe theory to describe railway system safety and discuss system risk concept. Saf. Sci. 91, 269–285 (2017). https://doi.org/10.1016/ j.ssci.2016.08.026 11. Dessouky, M.M., Yang, L., Li, S.: Special issue on “Railway traffic management and control.” Comput. Ind. Eng. 127, 1130 (2019). https://doi.org/10.1016/j.cie.2018.07.027 12. Kazanskaya, L., Shaykina, E.: Management and economic efficiency criteria in the organization of safe rail transportation. E3S Web Conf. 157, 05007. 2-s2.0-85084115269 (2020) 13. Zhuravleva, N., Guliy, I., Polyanichko, M.: Mathematical description and modelling of transportation of cargoes on the base digital railway. Vide. Tehnologija. Resursi – Environ. Technol. Resour. 2, 175–179 (2019). https://doi.org/10.17770/etr2019vol2.4049 14. Gill, A., Smoczy´nski, P.: Layered model for convenient designing of safety system upgrades in railways. Saf. Sci. 110(Part B), 168–176 (2018). https://doi.org/10.1016/j.ssci.2017.11.024 15. Belyi, A., Shestovitskii, D., Karapetov, E., Sedykh, D., Linkov, V.: Main solutions of structural health monitoring in managing the technical condition of transport. In: 2019 IEEE EastWest Design and Test Symposium, EWDTS 2019, p. 8884435 (2019).https://doi.org/10.1109/ EWDTS.2019.8884435
Parameters of the Rail Sleeper Base Oscillatory Process in the Rail Joint Area When Using Elastic Elements Andrey Petriaev1
, Anastasia Konon1(B)
, and Nematzhon Muhammadiyev2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Ave.,
St. Petersburg 190031, Russian Federation 2 Tashkent State Transport University, 1 Odilxojayev St.,
Tashkent 100167, Republic of Uzbekistan
Abstract. The article presents the results of field tests of under-rail pads in order to assess the effect of stiffness and the number of standard and experimental rail pads-shock absorbers on the amplitude-frequency characteristic of vibrations that occur in the ballast layer in the rail joint zone when the rolling stock is moving. To achieve this goal, we measured the vertical vibration accelerations arising during the trains passage in the area of the rail joint with a different number of standard rail pads-shock absorbers CP-204-M-ARS (regular) and Getzner Sylodyn NF high resilience shock absorbers (experimental). On the basis of the obtained values, the amplitude-frequency characteristic of the oscillatory process was determined by means of the Fourier transform. The main (carrier) frequencies at which the maximum amplitudes of vibration accelerations are recorded, are determined, first of all, not by the damper pad material, but by the force effect magnitude. The use of experimental shock absorber pads makes it possible to reduce and redistribute the vibration energy transmitted to the ballast layer. Keywords: Vibrational dynamic impact · Vibration acceleration · Under-rail pads · Rail joint · Subgrade top
1 Introduction The main sources of railway rolling stock noise are rolling noise, engine noise and aerodynamic noise. Rolling noise dominates over other types of noise at speeds from 60 to 300 km/h, so, rolling noise contributes the most to the external noise level when high-speed trains are moving. The rolling noise is determined by wheel roughness and rail roughness that affect wavelength; wheel and rail contact. The disturbing forces arising from contact are influenced not only by irregularities, but also by the weight load on the axle, the movement speed, as well as the contact area between the wheel and the rail. These forces are related to the mechanical impedance of both the wheel and the rail and are determined by their design. In the contact zone between the wheel and the rail, a kind of spot appears, which is called a contact spot. In the zone of the contact spot, an intermediate layer, consisting © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 493–502, 2022. https://doi.org/10.1007/978-3-030-96380-4_54
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of a mixture of iron oxide and wear products of wheels and rails, is distinguished. The mixture of these materials acts as a kind of gasket, reducing the resulting forces, and acts as a filter. The vibration arising from the disturbing forces’ interaction excites the wheel, the rail, and, through the latter, the rail sleepers. All interacting bodies emit a sound called rolling noise. In different frequency ranges, the noise of different components of the interacting system prevails. The noise of sleepers is low-frequency, the components in the spectrum are located in the range up to 400 Hz. In the frequency range from 400 to 1600 Hz, rail noise prevails, and in the frequency range above 2000 Hz, rims become the main source. There is a characteristic peak for the spectra of airborne and structured sound at a frequency of 1000 Hz, and as the train speed increases, the noise shifts to the region of higher frequencies. The spectrum of vibration excited by the train movement has a pronounced lowfrequency character, the main components are in the one-third octave bands of 10–250 Hz with a maximum in the 80 Hz band. The mechanism of low-frequency vibrations’ occurrence is as follows. When the train moves between the wheel and the rail, dynamic forces arise due to the microroughness of the wheel and rail. The vibration transmitted from the rail foot to the ground is proportional to the amount of unevenness, the mechanical impedances of the wheel, the rail, and the base under the rail. When propagating in soil, the vibration attenuation occurs due to the expansion of the front of the vibrational wave propagating from the source in space, internal losses in the soil and the medium elastic wave resistance. Vibration from a high-speed train meets the standard values at distances over 50 m, and noise levels from a high-speed train reach maximum permissible values at distances of more than 500 m, therefore, most of the residential buildings located near railways. To reduce the noise and vibration of high-speed trains, vibration damping, vibration isolation, sound absorption and sound insulation methods are used. Measures to reduce the noise of railway transport in the Russian Federation have been used for a long time, and considerable experience has been accumulated in reducing the noise of high-speed trains. The practice of reducing rolling noise of high-speed trains includes the following measures: the use of vibration-resistant wheels (no noticeable decrease was observed, some SPL decrease at frequencies above 2000 Hz); soundproof G-shaped acoustic baffles with a height of 1.9 m at a distance of 25 m showed noise reduction by 5–10 dBA (average decline 7 dBA); the use of ballast instead of slabs (due to sound absorption of crushed stone 2 dBA, lack of slabs and crushed stone 3–5 dBA); the use of rubber mats with a thickness of 25 mm under the slabs (SPL on the 7 dB in the range 250–1000 Hz on bridges, on the ballast layer the reduction reaches 2–3 dB); sound-absorbing surface coatings of concrete bridge deck (8–9 dBA); application G-shaped AE together with rubber mats (9–14 dBA). The application of a force impulse from the wheel of a railway rolling stock to the rails’ rolling surface causes the appearance of impulses acting on the sleeper, ballast and subgrade, and also causes vibrations of track elements and rolling stock. Oscillations of the sleeper track base are the polyharmony waves propagating along the ballast layer depth and subgrade as well as beyond. The studies [1–4 and many others] have shown that fluctuations in the upper structure of the track and subgrade are stochastic, the
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quantitative values of their main characteristics are due to many factors and can be determined using the methods of mathematical statistics and the theory of probability. The oscillatory process of the sleeper base is generally described by the amplitude and frequency (period) of oscillations. In practice, when carrying out field experiments, the amplitudes of vibration displacements, vibration velocities and vibration accelerations are determined. Measurement of vibration accelerations has certain advantages over other vibration parameters, since vibration acceleration characterizes the force of inertia that acts on an object during vibration, and describes the force dynamic interaction of the elements of the “rolling stock - railway track” system. The force effect of the rolling stock on the track is determined by the speed of movement, axial load, design features and condition of the rolling stock, track condition and many other factors. The magnitude of the forces acting on the track during the rolling stock passage is one of the main factors affecting the stress-strain state of the track and its reliability, durability and safety. This article presents the results of field tests of under-rail pads in order to assess the effect of stiffness and the number of standard and experimental pads-shock absorbers on the amplitude-frequency characteristic of vibrations arising in the ballast layer in the area of the rail joint during the rolling stock movement. The area of the rail joint and adjacent sleepers is traditionally special, since the increased impact of the rolling stock, confined to it, significantly affects the track stability [3–6]. To reduce the harmful dynamic impact, elastic rail pads [7–12] are used, made of various materials: highduty polyethylene (HDPE), various elastomers, including natural rubber, polyurethane; recycled rubber, reinforced rubber. When laying the rail pads, the stiffness of the track and the interaction forces between the wheel and the rail are reduced. Due to the reduction in the modulus of the track elasticity, the load from the wheel is distributed over a larger number of sleepers, due to which the level of stresses on the surface and the sole of the sleepers is reduced. It is known that the oscillatory process of the sleeper base and the subgrade can be conditionally decomposed into three harmonics: low-frequency (with a frequency of up to 8 Hz), mid-frequency (till 20 Hz) and high-frequency, varying in a wide range from 20 to 200 Hz. If the vibration energy is significant, resonance can occur in the high-frequency region. It is known that the natural vibration frequency of soil structures depends on the state and properties of the soil and, according to the research data, lies in the range from 30 to 70 Hz [13]. Cases of instantaneous deformations of embankments during the passage of trains, associated with the occurrence of resonance, are described, in particular, by G.G. Konshin in the publication “Elastic deformations and vibrations of the roadbed”. The stated facts emphasize the relevance of the sleeper base oscillatory process studies in the conditions of train movement in terms of assessing the level of amplitudes and frequencies of oscillations, and the study of methods for damping and redistribution of oscillation energy. This article presents the results of measuring the vertical vibration accelerations that occur when trains pass in the area of a rail joint with a different number of standard rail pads-shock absorbers CP-204-M-ARS (regular) and Getzner Sylodyn NF high resilience shock absorbers (experimental). On the basis of the obtained values, the amplitudefrequency characteristic of the oscillatory process was determined - the dependence of
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the vibration accelerations’ amplitude on the frequency of oscillations caused by the rolling stock passage along the control section.
2 Materials and Methods Field tests were carried out by a group of PGUPS researchers on the II main track of the Petro-Slavyanka station of the Oktyabrskaya railway in the rail joint area. The measured parameters are the vertical vibration accelerations in the area of the rail joint, in units g. The characteristics of the track superstructure at the measurement site are presented in Table 1. Table 1. Characteristics of the railway track upper structure Parameter
Measurement unit Value
Rail type
–
P65
Rail sleeper type
–
Sh-S ARS
Ballast thickness under the sleeper
m
0.4
Track width
mm
1523
Level
mm
0–3
Butt gap
mm
12
Vertical and mm horizontal steps in a rail joint
0
Clamping force of rails with a clamp
770–970
kg
Characteristics of standard rail pads CP-204-M-ARS (full-time) are presented in Table 2. Table 2. Characteristics of gaskets CP-204-M-ARS Parameter
Measurement unit
Value
Kategory
–
II
Thickness
mm
14
Weight
Kg
0.46
Tensile strength
MPa
≥10
Elongation at break
%
≥300
Static compressive stiffness
kN/mm
80
Execution
“D”
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Sylodyn NF high resilience rail pads (test pads) are made of the material, the characteristics of which are shown in Table 3 (Fig. 1). Table 3. Characteristics of the material of the Sylodyn NF increased elasticity gaskets (experimental) Parameter
Measurement unit
Value
Static scope
N/mm2
1.500
Peak loads
N/mm2
8.00
Mechanical loss factor
–
0.10
Rebound elasticity
%
70
Compression set
%
1011
Thermal conductivity
W/mK
0.150
Operating temperature range
°C
−30 to 70
Temperature peak
°C
120
Flammability
Class
E/EN 13501-1
Fig. 1. Standard gasket CP-204-M-ARS (standard, top view) and Sylodyn NF increased elasticity gasket (experimental, bottom view)
ICP accelerometers were used to assess the vibration impact arising in the rail joint area from passing trains. The sensors were installed on the ballast surface at the end of
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the sleeper and in the under-rail section at a depth of 40 cm from the foot of the sleeper (on the main site of the roadbed). The sensor layout is shown in Fig. 2.
Fig. 2. Layout of vibration sensors in the experimental area (cross section)
At each measurement point, the vibrations were recorded, propagating in three directions: in the vertical plane, in the horizontal plane across the track axis, and horizontal along the track axis. The seismic receivers were installed on a leveled site with exact observance of the axes (vertical, horizontal across and along the track). When the train was moving, the travel time, type of rolling stock and its speed were recorded. Passenger trains moved along the experimental section at speeds of 85–95 km/h, high-speed trains “Lastochka” (Siemens Desiro ES2G) - 170 km/h, high-speed train “Sapsan” (Velaro RUS EVS) - 190 km/qh. At least two measurements were carried out in the interval and in the range of travel speeds for each type of rolling stock. The measurements were carried out using the following set of equipment: digital seismic signal recorder ZET 048; laptop computer with licensed software; signal amplifier; source of power 220 W (if necessary). Based on the vibration acceleration records obtained during the movement of various types of rolling stock, the amplitude-frequency characteristics of the oscillations were obtained by the Fourier transform.
3 Results and Discussion Based on the measuring vibration accelerations’ results, depending on the type of rolling stock moving at different speeds and having different axial loads, comparative diagrams were built and dependencies that characterize the level of vibro-dynamic impact that occurs when trains pass in the area of a rail joint and at a distance of 3, 5 and 7 shock absorber pads with the corresponding number of new standard shock absorber pads laid in the way CP-204-M-ARS (standard) and Sylodyn NF high resilience shock absorbers (experimental) were identified. As a result of the Fourier transform of the vibration acceleration records, the amplitude-frequency characteristics were obtained (AFRCH) oscillatory process at the main site when passing various types of rolling stock in the rail joint area with standard spacers CP-204-M-ARS, shown in Figs. 3, 4 and 5. AFRCH example, obtained during the passage of the “Sapsan” in the rail joint area with 5 test pads-shock absorbers Sylodyn NF, is shown in Fig. 6.
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From the given graphs it follows that the greatest vibration energy is observed when a passenger train passes along the junction. In this case, the highest amplitude values are characteristic for the frequency range from 50 to 150 Hz, and the highest peak values are observed at frequencies 50–60 Hz, 90–110 Hz and 120–140 Hz. In this case, nonzero amplitudes are fixed in the frequency range up to 600 Hz. When the “Lastochka” train passes through the joint zone, the total vibration energy is much lower, the peak amplitudes are observed in the range of 40, 60, 90 and 110 Hz, and in general the graph is shifted towards low frequencies. Non-zero values of amplitudes are fixed in the range up to 600 Hz, but in the range 400–600 Hz their values are negligible. When the high-speed “Sapsan” train moves along the joint, the total vibration energy is comparable to the energy realized when the “Lastochka” electric train passes. On the chart AFRCH 3 main groups of peak values of amplitudes are revealed, which are confined to frequencies of 40 Hz, 60 Hz, 80 Hz. Thus, AFRCH shifts towards low frequencies to a greater extent than when the “Lastochka” moves. Non-zero values of amplitudes are fixed in the range up to 600 Hz, but in the range 400–600 Hz their values are negligible. The resonant vibration frequency is detected at frequencies in the range 50–60 Hz. The results obtained are associated with the fact that the undercarriage of a passenger train causes oscillations in a wide frequency range, associated primarily with the force effect of the rolling stock (low and medium frequencies) and the oscillation of the springless parts of the chassis masses (high frequencies). Oscillations caused by the passage of the “Lastochka” and “Sapsan” lie mainly in the middle frequency range due to the increased dynamic impact due to the high speed of movement and a more perfect design of the chassis, which reduces the high-frequency component of oscillations. An analysis of the amplitude-frequency characteristics showed that the use of experimental shock-absorber gaskets makes it possible to reduce and redistribute the vibration energy transmitted to the ballast layer. An example of this fact is AFRCH vibrations in the ballast layer in the area of the rail joint during the laying of 5 experimental Sylodyn NF shock absorbers and the “Sapsan” movement. Comparison of the graphs shown in Figs. 5 and 6 indicates the smoothing of the peak values of vibration accelerations and their redistribution in the ranges 30–45 Hz and 80– 90 Hz. This is due to the fact that the elastic spacer made it possible to significantly reduce the vibration amplitudes in the frequency zone above the resonant frequency 60 Hz, but at the same time increased the amplitude of the oscillations in the range 30–40 Hz, which is in good agreement with the previous studies. Non-zero values of amplitudes are fixed in the range up to 600 Hz, but in the range 500–600 Hz their values are negligible. Thus, laying an elastic pad makes it possible to significantly (up to 2 times) reduce the vibration amplitudes of the sleeper base in the butt zone at a resonant frequency.
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Reducing the vibrational dynamic impact on the ballast layer in the resonant frequency ranges due to the use of under-rail shock absorbers will allow: to increase the sleeper base bearing capacity reserve; to reduce stress on the main site of the roadbed; to lengthen the service life of the ballast by reducing the force impact and slowing down its abrasion [5, 6]; to reduce the number of track defects caused by the unsatisfactory condition of the ballast and the main site. These effects will improve the operational properties of the railway track as a whole [14–17].
Fig. 3. AFRCH vibrations in the ballast layer in the area of the rail joint with standard shock absorbers and passenger train movement
Fig. 4. AFRCH vibrations in the ballast layer in the rail joint area with standard shock absorbers and “Lastochka” movement
Fig. 5. AFRCH vibrations in the ballast layer in the rail joint area with standard shock absorbers and the “Sapsan” movement
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Fig. 6. AFRCH vibrations in the ballast layer in the rail joint area when laying 5 experimental Sylodyn NF shock absorbers and “Sapsan” movement
4 Conclusions Investigation of vertical vibration accelerations of ballast in the rail joint area with a different number of standard shock absorbers CP-204-M-ARS (standard) and Sylodyn NF (experimental) shock absorbers of increased elasticity allow us to draw the following conclusions: 1. The main (carrying) frequencies at which the maximum amplitudes of vibration accelerations are recorded are determined by the force effect magnitude, which in turn depends on the design features of the rolling stock (the distance between the bogies) and the speed of its movement. 2. The resonant frequency of the rail sleeper base is in the range 50–60 Hz. 3. The use of experimental pads-shock absorbers gives an opportunity to reduce and redistribute the energy of vibrations transmitted to the ballast layer due to the resonant frequency shift. Reducing the vibro-dynamic impact on the ballast layer will increase the bearing capacity margin and the ballast service life, reduce stresses at the main subgrade site.
References 1. Kolos, A., Romanov, A., Govorov, V., Konon, A.: Railway subgrade stressed state under the impact of new-generation cars with 270 kN axle load. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1, pp. 343–351. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_35 2. Butorina, M., Minina, N., Ivanov, P., Petryaev, A.: Reduction of vibroacoustic effect of highspeed trains. Proc. Eng. 189, 352–359 (2017). https://doi.org/10.1016/j.proeng.2017.05.056 3. Serebryakov, D., Zaitsev, E.: The study of subgrade operating conditions at bridge abutment approach. Proc. Eng. 189, 893–897 (2017). https://doi.org/10.1016/j.proeng.2017.05.139 4. Kolos, A.F., Ryzhov, V.S., Shmulevich, M.I., Akkerman, G.L.: Deformation properties of decomposed peat under vibration and dynamic load impact. Proc. Eng. 189, 792–799 (2017). https://doi.org/10.1016/j.proeng.2017.05.123 5. Petriaev, A.: Modeling of a railway roadbed reinforcement. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. Lecture Notes in Civil Engineering, vol. 50, pp. 27–35. Springer, Singapore (2020). https://doi.org/10.1007/978-981-150454-9_4
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6. Petriaev, A.: Stress response analyses of ballasted rail tracks, reinforced by geosynthetics. Proc. Eng. 189, 660–665 (2017). https://doi.org/10.1016/j.proeng.2017.05.105 7. Kaewunruen, S., Remennikov, A.M.: An alternative rail pad tester for measuring dynamic properties of rail pads under large preloads. Exp. Mech. 48, 55–64 (2008). https://doi.org/10. 1007/s11340-007-9059-3 8. Sol-Sánchez, M., Moreno-Navarro, F., Gámez, M.: The use of elastic elements in railway tracks: a state of the art review. Constr. Build. Mat. 75(2015). https://doi.org/10.1016/j.con buildmat.2014.11.027 9. Remennikov, A., Kaewunruen, S., Ikaunieks, K.: Deterioration of dynamic rail pad characteristics. Faculty of Engineering – Papers (2020). https://ro.uow.edu.au/engpapers/320/ 10. Sol-Sánchez, M., Moreno-Navarro, F., Gámez, M.: The use of deconstructed tire rail pads in railroad tracks: impact of pad thickness. Mat. Des. 58, 198–203 (2014). https://doi.org/10. 1016/j.matdes.2014.01.062 11. Carrascal I, Núñez A et al (2018) Development of metal rubber pads for high-speed railways, 487–498. https://doi.org/10.2495/CR180431 12. Sol-Sánchez, M., Moreno-Navarro, F., Gámez, M.: Viability analysis of deconstructed tires as material for rail pads in high-speed railways. Mat. Des. 64, 407–414 (2014). https://doi. org/10.1016/j.matdes.2014.07.071 13. Shih, J.-Y., Thompson, D., Ntotsios, E.: Analysis of resonance effect for a railway track on a layered ground. Transp. Geot. 16(2018).https://doi.org/10.1016/j.trgeo.2018.07.001 14. Boronenko, Y.P., Rahimov, R.V., Lafta, W.M., et al.: Continuous monitoring of the wheel-rail contact vertical forces by using a variable measurement scale. In: 2020 Joint Rail Conference, JRC 2020 (2020). https://doi.org/10.1115/JRC2020-8067 15. Blazhko, L.S., Shtykov, V.I., Chernyaev, E.V.: Enhancement of subgrade’s bearing capacity in low water permeable (Clay) soils. Proc. Eng. 189, 710–715 (2017). https://doi.org/10.1016/ j.proeng.2017.05.112 16. Sakharova, A.S., Svatovskaya, L.B., Baidarashvili, M.M.: Construction wastes application for environmental protection. In: WASTES - Solutions, Treatments and Opportunities II - Selected papers from the 4th edition of the International Conference Wastes: Solutions, Treatments and Opportunities, pp. 345–350 (2018). https://doi.org/10.1201/9781315206172 17. Sakharova, A.S., Petriaev, A.V., Kozlov, I.S.: New construction solutions for geoenvironment protection of transport infrastructure. IOP Conf. Ser. Earth Env. Sci. 272(2), 022220 (2019). https://doi.org/10.1088/1755-1315/272/2/022220
The Market Value Assessment of the Land Plots Encumbered with Mortgage Debt Sergey Kolankov(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Ave., Saint Petersburg 190031, Russian Federation
Abstract. The valuation issues of land plots, passed as a subject of mortgage, are considered. It is indicated that in modern publications on assessing the market value, sufficient attention is not paid to the specifics of calculating these land plots. It is noted that land plots are assessed by two approaches - profitable and costly, in each of their constituent methods, the presence of a mortgage debt should be taken into account. The limited application of the cost approach is noted. The methods of accounting for outstanding borrowed funds in direct capitalization and cash flow discounting, using the comparative approach methods are shown. Calculation schemes and formulas are given. Difficulties in determining the discount rate are noted; it is proposed to apply the method of boundary estimates, which makes it possible to overcome the uncertainty of information when estimating the discount value. In conclusion, it is noted that the recommended methods for assessing mortgaged land plots give an opportunity to take into account the theoretical position, according to which the market value of real estate, including land plots, decreases when various kinds of encumbrances are imposed. At the same time, as soon as the mortgage loan is paid off, the market value of land plots is increased. Keywords: Real estate · Land plots · Market value valuation · Reverter · Income approach · Comparative approach · Valuation methods · Direct capitalization · Cash flow discounting · Capitalization ratio · Discount rate
1 Introduction The land plots market value estimation is required to ensure that various management objectives are achieved. In particular, it can act either as one of the variables in the analysis of the development of the construction or real estate market, or as an indicator of achieving the set goals [1, 2], as one of the constraints in logistics [3, 4], one of the economic stability and macroeconomic policy factors [5], used in the analysis of the best and most efficient use of property [6], taken into account when managing a real estate portfolio [7]. Being a natural prescription, the basis of human life and activities, land is always in short supply, is one of the real estate market’s fundamental indicators [8], and its value can be used in modeling the valuation of residential [9, 10] and non-residential real estate. Characterizing the land plot as a natural phenomenon, it can be noted that © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 503–511, 2022. https://doi.org/10.1007/978-3-030-96380-4_55
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it is the basis for the buildings and structures’ foundations. At the same time, it is well known that the stronger the earth, the less funds need to be invested in strengthening the foundation and setting up the foundation or, for example, the lower structure of the railway track [11–14]. The scientific foundations for assessing the market value of land plots [15] are the principles of residual value (used, in particular, in the residual method), marginal productivity, supply and demand, multiplicity of value types, different timing of costs and obtaining results (effects), the impact of economic development and uneven development of individual regions, locality and a number of others. One of the pricing factors in assessing the market value of land plots is the expectations of market participants [16], which can cause short-term price changes in the market. An important issue is the use of the land plots’ market value in taxation. Methods for assessing the market value of land plots are well known [17]. However, it is additionally required to determine the specifics of their use when evaluating the land plots encumbered with mortgage debt.
2 Application Features of the Methods for Assessing Market Value of the Land Plots Encumbered with Mortgage Debt The nomenclature of methods for assessing the market value of land plots used in Russia is determined by the decree of the Ministry of Property Relations of the Russian Federation of 03/07/2002 No 568-r “On approval of guidelines for determining the market value of land plots”. At the same time, both undeveloped and built-up land plots can be assessed in two approaches - Income approach and Comparative approach. The cost approach based on labor costs (estimated cost) of the buildings and structures’ construction is not fully applied in assessing the market value of land plots, but is used as a tool for assessing the cost of improvements, taking into account their wear in a number of methods (in particular, in the method of assumed use). The above-mentioned Resolution No. 568-r does not define the peculiarities of accounting for unpaid borrowed funds when assessing the value of the land plots’ market value, although there is a well-known pattern in theory: any encumbrance affects the decrease in the real estate market value. When assessing the market value of land plots using the income approach, two calculation techniques are used: direct capitalization (method of land rent capitalization and balance method) and discounting of cash flow (method of intended use). The differences in the procedure for applying these two calculation techniques are that with direct capitalization, the capitalization ratio value for land is first calculated, by which the value of the net operating income from the land plot is then divided (NOI – net operating income). When discounting the cash flow, the market value of the land plot is directly calculated (Fig. 1). If, when using the direct capitalization technique, accounting for the presence of outstanding borrowed funds in the cost of a land plot is carried out by adjusting the capitalization ratio value, then when using the cash flow discounting technique, the effect of unpaid loan balances is taken into account by including the flow elements the outstanding balances values of the principal amount of debt in the cash on
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the assessment date and the end date of the calculation period and the annual payments to repay the loan. When applying the capitalization (discounting) procedure, to assess the land plot value, not the general capitalization ratio (discount rate) is used, but the capitalization coefficient (discount rate) only for land. It should be borne in mind here that, generally speaking, the discount rates for land (EL), for land improvements (EB) and real estate in general (E) differ from each other and are in the following relationship: EL < E < EB
(1)
Technique for calculating the market value of a land plot using an income approach
Direct capitalization
Discounting cash flow
Capitalization ratio
Market land plot value NOI L СL = R
Market land plot value T 1 С L = ∑ ϕt × (1 + EL )t t =0
Fig. 1. Two capitalization techniques for assessing the market land plot value using an income approach
Note: NOIL defines the net operating income from the land plot, rubles/year; R is the capitalization ratio (discount rate for land – EL); ϕt determines the cash flow elements that will arise in the event of the assessed land plot lease, rub.; t…T is an ordinal number of the calculation period year. When assessing the market value of a land plot encumbered with a mortgage debt using the land rent capitalization method and the remainder method, the capitalization ratio value should be estimated in one of the following ways: 1. 2. 3. 4.
By the investment group method, Debt coverage ratio method, By the Akerson method, By the Ellwood method.
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At the same time, depending on the market situation analysis results, the invariability of the asset (land) value and the net operating income from it can be predicted, or, conversely, the expected changes in them can be taken into account in the calculation. The investment group method can be applied to calculate the capitalization ratio value for the land in the event that the capitalization ratios value of own funds is known (Es) as well as the borrowed capital (Rm). In general, the calculation formula of the investment group method can be written as follows: RL =
Lv × Rm + (1 − Lv ) × Es − × F3 Kcor
(2)
where Lv is a share of borrowed funds in the total value of the land plot, unit share; Rm is a mortgage constant (multiplier of the sixth function of composite interest), determined under the terms of the credit agreement, unit shares; (1 − LV ) is the share of own funds in the total value of real estate, unit share. It should be noted that LV + (1 − LV ) = 1; E s is the rate of return on equity required by the investor (owner of the object) and reflecting the profitability prevailing in the market on transactions with this type of object, unit shares; Cinv is the amount of the investor’s equity capital invested in the land plot, rubles; is the projected change in the price of an asset over a certain period, fraction of a unit; F3 is a multiplier of the third function of composite interest (PMT/FV), allowing to separate one annual part from the change in the price of an asset over several years; Kcor is an adjustment factor that takes into account the projected change in net operating income (annual rent) over an initial period of time. If it is assumed that the value of the asset will not change and the net operating income from land will also remain unchanged, the elements * F3 and Kcor in formula (2) are not taken into account. The capitalization ratio for land determined by the debt coverage ratio method is calculated as RL =
Lv × Rm × DL − × F3 Kcor
(3)
where DL is a debt coverage ratio, the value of which is determined as follows: DL =
NOIL PMT
(4)
where NOIL is the net operating income from the land plot, rubles/year; PMT is the amount of annual payments to repay the loan, rubles/year. The expressions (2) and (3) are used in the case when the borrowed funds have not started yet being paid. If a part of the borrowed funds at the date of the market land plot value has already been repaid, Akerson’s method and Ellwood’s method can be used. Akerson’s formula partially repeats the method of the investment group, but in contrast to it, it includes one more term, which is accounted for with a minus sign and reflects
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a reduction in the financial burden of the property being valued: RL =
Lv × Rm + (1 − Lv ) × Es − (Lv × P − ) × F3 Kcor
(5)
where P is the paid-out share of the main part of the loan (excluding interest) at the valuating date; If the loan has not yet started to be repaid, then P = 0 and then the Akerson formula is reduced to the expression (2). The last term of the formula (5) numerator reflects a well-known theoretical position, confirmed by extensive valuation practice: the more an object has encumbrances, the cheaper its market value and vice versa. Since the capitalization ratio is taken into account in the direct capitalization method formula denominator, then the market value of the object increases with its decrease. The decrease in RL occurs when the paid out share of the mortgage loan P starts increasing. Using the Ellwood method, the capitalization ratio in general form can be calculated as follows: RL =
E − Lv × C − × F3 Kcor
(6)
where C is a mortgage ratio (Ellwood ratio), defined as: C = E + P × F3 − Rm
(7)
When using the intended use method, which is essentially a discounted cash flow method, as opposed to direct capitalization, it is required to determine the length of the accounting period during which cash inflows and outflows are forecast from the land plot being valued. Attention should be paid to taking into account the parameter in the numerators of the expressions (2), (3), (5), (6). In practice, forecasting the change in the price of an asset - a land plot, can be performed in two ways: either the percentage of the change in the price of an asset for a certain period is indicated, or the annual value of the change in the price of an asset is given in percent. The expressions (2), (3), (5), (6) are written for the first of the indicated prediction cases. In the second case, when the value of the annual change in the price of an asset is used in the calculations, multiply the value by a factor F3 not required. In addition, when predicting the change in the price of an asset over a period of several years, the determination of one of its (change) annual part can also be performed by dividing the value for the forecast period duration Tforc : /Tforc . If multiplication is applied by the value F3 , then the calculations are carried out on the assumption of obtaining income on investments, if the income extraction on the invested funds is not assumed, for example, only a simple return of the invested funds is provided, then the parameter should be divided into Tforc . It is usually indicated that the application area of the land rent capitalization method is forecasting a conditionally infinite period of ownership of an object and the absence of investment in its development. However, a modification of the formula shown in Fig. 1 can be introduced into the initial investment value calculation, i.e., is carried out in a time
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period zero, coinciding with the valuation date, and therefore not requiring discounting: CL =
NOIL − Inv0 R
(8)
where Inv0 is the value of the initial investment associated with the land plot development, rub. Some difficulty in applying the method of intended use is that this method does not have a single calculation formula. The calculation formula in this method is written in three different ways, depending on the ratio of three terms: the duration of the credit agreement (Tcr ), the duration of the period that has passed from the date of the loan to the date of the assessment of the land plot market value (Tant ) and the calculation period duration (Tcalc ). In practice, three ratios of the indicated terms are possible: • Tcr > Tant + Tcalc ; • Tcr = Tant + Tcalc ; • Tcr < Tant + Tcalc . So, for example, for the first of these cases, the following calculation scheme can be drawn up:
Valuation date
Credit granting date
Rev NOI1
NOI2
NOIТ
… PMT1
PMT2
T, years PMTT BAL2
BAL1 Тant
Тcalc Тcr
Fig. 2. Calculation diagram of the method of intended use for Tcr > Tant + Tcalc
Notes: BAL1 is an unpaid balance of the loan as of the date of the land plot market value assessment, rub.; BAL2 is an unpaid loan balance at the end of the calculation period, rub.; NOI is the amount of annual net operating income, rub.; PMT is the amount
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of annual payments to repay the loan, rub.; Rev is the forecasted sale price (possibly conditional) of a land plot at the end of the calculation period, rub. Using Fig. 2, a formula to assess the market value of a land plot for the first of the above-described cases, the ratio of three terms can be written as: CL = BAL1 + (NOI − PMT) × F5 + (Rev − BAL2 ) × F4
(9)
where F4 and F5 are the multipliers, respectively, of the fourth (PV/FV) and fifth (PV/PMT) functions of composite interest, unit fraction. In the second case, the ratio of the above-listed terms (Tcr = Tant + Tcalc ), the end of the credit agreement will coincide at the end of the calculation period and in the settlement scheme (Fig. 2) and BAL2 should be excluded from the formula (9). With the third ratio of three terms (Tcr < Tant + Tcalc ) the transformation of the settlement scheme and expression (9) depends on how much the duration of the credit agreement will be less than the end of the settlement period: by one year or by two or more years. If Tcr is less than the amount Tant and Tcalc only for one year annuity (NOI-RMT) will decrease by one year, compared to Fig. 2 and the value F5 will need to be determined for a duration equal to Tant + Tcalc − Tcr . In this case, the last expression term (9) must be presented taking into account the NOI of the last year of the calculation period as (Rev + NOIT ) × F4 . When applying the method of market comparisons, a separate accounting of the encumbrance of a land plot with borrowed funds is required only if a plot that is not encumbered with a loan is used as an analogue object. In this case, the adjustments should be made for differences in funding conditions (Adjfin ) with a minus sign, calculated as the difference between the cost of debt and equity. To do this, the credit amount is deducted from the amount of loan payments.: Adjfin =
Tcr Tant
PMT − BAL1
(10)
where the summation of loan payments is carried out from the assessment date of the land plot market value until the end of the credit agreement. The same adjustment should be taken into account when applying the distribution method in the event that the share of the land plot in the real estate price as a whole is not encumbered with borrowed funds is applied: CL = Vre × SHL − Adjfin
(11)
where Vre is the market value of real estate as a whole, rub.; SHL is a land plot share as a part of a single real estate object, %. In the same way, the market value of a land plot should be determined by the allocation method: CL = Vre − VB(am) − Adjfin
(12)
where VB(am) is the market value (improvements) of buildings located on the appraised land plot, taking into account their depreciation, accumulated on the valuation date, rubles.
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3 Conclusions Assessment of the land plots’ market value is a necessary element of assessing the market value of real estate. Land plots are accepted by banks as a subject of a mortgage, which makes it relevant to take into account the existing encumbrances in the subsequent assessment of their market value in the period until the full repayment of the mortgage loan. This circumstance can be taken into account when applying any method for assessing the market value of land plots. To do this, either the capitalization ratio value (discount rate) is adjusted, or the cash flow elements associated with the repayment of borrowed funds are taken into account in the calculation formula, or an adjustment is introduced to the sale price of a land plot free of a mortgage loan. Taking these circumstances into account makes it possible to consider the theoretical position, according to which the real estate market value, including land plots, decreases when various encumbrances are imposed. At the same time, as the mortgage loan is paid off, the market value of land plots will increase. A significant difficulty is the assessment of the discount rate value (capitalization ratio) for land. In many cases, it is not possible to reliably substantiate its value. This is especially true for the depressed areas, where real estate transactions are sporadic, and there is no way to use information on analogous objects. The opacity of the real estate market also has a negative impact. In order to overcome this difficulty, in order to assess the discount rate value (capitalization ratio) for land, we recommend using the method of boundary estimates, which in the future requires coordination of the results of assessing the land plot market value.
References 1. Asaul, A.N., Asaul, M.A., Liulin, P.B., Chepachenko, N.V.: Housing construction in russia: trends and medium-range forecasts. Stud. Rus. Econ. Devel. 30(3), 313–318 (2019). https:// doi.org/10.1134/S1075700719030055 2. Dmytrów, K., Gnat, S.: Application of AHP method in assessment of the influence of attributes on value in the process of real estate valuation. Real Estate Manag. Valuat. 27(4), 15–26 (2019). https://doi.org/10.2478/remav-2019-0032 3. Demkina, O., Litvin, I., Bozhko, L., Vulfovich, E.: Retail trade as an agenda-setting factor for the strategic management of supply chains. Int. J. Supply Chain Manag. 9(3), 384–391 (2020) 4. Pokrovskaya, O., Fedorenko, R.: Methods of rating assesment for terminal and logistic complexes. IOP Conf. Ser. Earth Env. Sci. 403(1), 012199 (2019). https://doi.org/10.1088/17551315/403/1/012199/ 5. Carrasco-Gallego, J.A.: Real estate, economic stability and the new macro-financial policies. Sustainability (Switzerland) 13(1), 236, 1–19 (2021). https://doi.org/10.3390/su13010236 6. Walacik, M., Renigier-Biłozor, M., Chmielewska, A., Janowski, A.: Property sustainable value versus highest and best use analyzes. Sust. Devel. 28(6), 1755–1772 (2020). https://doi. org/10.1002/sd.2122 7. Tajani, F., Morano, P., Ntalianis, K.: Automated valuation models for real estate portfolios: A method for the value updates of the property assets. J. Property Invest. Fin. 36(4), 324–347 (2018). https://doi.org/10.1108/JPIF-10-2017-0067
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8. Leskinen, N., Vimpari, J., Junnila, S.: Using real estate market fundamentals to determine the correct discount rate for decentralised energy investments. Sust. Cities Soc. 53, 101953 (2020). https://doi.org/10.1016/j.scs.2019.101953 9. Bogdanova, T.K., Kamalova, A.R., Kravchenko, T.K., Poltorak, A.I.: Problems of modeling the valuation of residential properties. Bus. Inform. 14(3), 7–23 (2020). https://doi.org/10. 17323/2587-814X.2020.3.7.23 10. Minnullina, A.: Residential real estate value assessment considering the influence of various factors. E3S Web Conf. 91, 08049 (2019). https://doi.org/10.1051/e3sconf/20199108049 11. Kolos, A., Alpysova, V., Osipov, G., Levit, I.: The effect of different additives on the swelling process of heavy clays. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 295–306. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_31 12. Bogomolova, N., Bryn, M., Nikitchin, A., Kolos, A., Romanov, A.: The study of railway embankment deformations in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 223–229. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_24 13. Kolos, A., Romanov, A., Shekhtman, E., Akkerman, G., Konon, A., Kiselev, A.: Bearing capacity of high embankment clay soils in terms of heavy axle load operation. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 403–412. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-04501_42 14. Kolos, A., Romanov, A., Govorov, V., Konon, A.: Railway subgrade stressed state under the impact of new-generation cars with 270 kN axle load. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 343–351. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_35 15. Özdilek, Ü.: Scientific basis of value and valuation. J. Rev. Pric. Manag. 18(3), 266–277 (2019). https://doi.org/10.1057/s41272-018-00169-z 16. Renigier-Biłozor, M., D’Amato, M.: The valuation of hope value for real estate development. Real Est. Manag. Val. 25(2), 91–101 (2017). https://doi.org/10.1515/remav-2017-0016 17. Kolankov, S.V., Voronova, S.P., Golikova, U.A.: Development of methods of assessing the land market value. Mater. Sci. Forum 931 MSF, 1137–1141 (2018). https://doi.org/10.4028/ www.scientific.net/MSF.931.1137
Locomotive Team Productivity as a Criterion for Optimal Locomotive Fleet Management Alexey Kotenko
and Oksana Kotenko(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Avenue, Saint Petersburg 190031, Russian Federation
Abstract. The problem of the transportation process technological regulation within the framework of extraterritorial models for managing locomotive fleets can include solving the complex problem of finding the optimal parameters for controlling the work of locomotive crews serving the train operation of freight traffic within the specific territory boundaries. The purpose of this study was to substantiate the feasibility of including such basic criteria for solving this problem as the average daily productivity of the locomotive fleet, labor productivity indicators of locomotive crews, as well as to develop an approach to modeling the crews’ working time. It is proposed to consider the maximum labor productivity of the locomotive crews’ workers contingent at the specific territory in freight and passenger traffic and the value of their hourly output as one of the criteria for the train operation management quality. It is possible to control the characteristics of the locomotive crews’ labor productivity through the cycle time of their work. It is shown that the choice of a rational cycle time allows the alignment and synchronization of the production operations’ duration for performing gross ton-kilometer work. In this regard, the opportunities for modeling the value of the locomotive crews’ operating time on the basis of the study of factors that have both a random and constant influence on the takt time appear. Keywords: Extraterritorial model of locomotive fleet management · Data mining · Technological regulation · Labor productivity of locomotive crews · Working hours of a locomotive crew
1 Introduction In the context of the railways’ transition to extraterritorial management of the transportation process, the issues of managing the rolling stock operation and increasing its efficiency and qualities are becoming especially relevant [1]. The extraterritorial management model provides implementation of a set of measures aimed at intensifying the use of haulage resources by: increasing the between-repair runs of rolling stock, centralizing control of haulage resources, modernizing the haulage control system, developing outsourcing of rolling stock maintenance and repair, forming an end-to-end technology for organizing the transportation process on enlarged railway specific territories [2, 3]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 512–520, 2022. https://doi.org/10.1007/978-3-030-96380-4_56
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Haulage resource management models serve as the basis for technological regulation of transportation, taking into account the peculiarities of the train operation organization, built on the basis of energy-optimal traffic schedules and forecasts of the rolling stock pre-failure state, as well as the linking target indicators based on determining the technological responsibility boundaries [4]. In this regard, the problem of transportation process technological regulation can be presented in the form of a rather complex problem of finding the optimal parameters for controlling the haulage resources’ operation, ensuring the train operation of freight traffic on an enlarged range. The solution to this problem involves the establishment of optimal methods for haulage service of freight trains (HSFT) within the boundaries of individual sections of locomotive circulation (LCA) with linking them along the specific territory. At the same time, the indicators of the locomotive fleet average daily productivity are used as the basic criteria of optimality in the classical setting [5–7]. Modern methods of data mining provide an opportunity to expand the boundaries of optimal parameters’ analytical models [8, 9], first of all, by introducing quality criteria for managing the train locomotive crews’ (LC) work, formulated in terms of labor productivity - one of the key performance indicators of operational work in railway transport.
2 Materials and Methods Labor productivity is a product of activity and demonstrates the results and costs’ ratio of both collective and individual labor, which makes it possible to assess its effectiveness both for work collectives and for individual performers [10, 11]. It is known that the collective labor productivity of a contingent of LC workers on the specific territory in freight and passenger traffic (Pc ) is determined by the number of gross ton-kilometers in each type of movement, attributed to the number of crews: Pc = f qlcr , SBc , where qlcr shows the transportation work performed, t-km gross; SBc is the LC number. However, at the in-depth data analysis level, the theoretical aspects of LC individual labor productivity are of greater interest, expressed by the value of the hourly production gross tonne-kilometre: NL, tc , Pctkm = f Qbr , where Qbr is an average train gross weight for a given period of work of the crew, t; NL is performed by the crew for a given period, train-kilometers, train-km; tc is the total working time of the crew, hour. By characterizing Pctkm it should be noted that individual LC labor productivity has a dual nature, manifesting itself on the one hand as the “intensity” of labor, on the other - as its “productive force”. The technical and technological factors of increasing Pctkm are: elimination of downtime and overtime, reduction of LC passengers’ follow-up and
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waiting times for work; expansion and improvement of the crew attendance system; increase in train weight (Qbr ) and etc. At the same time, from the standpoint of intensity, the labor productivity of the crew can be represented by the value of the hourly output in train kilometers: Pckm = f ( NL, tc ), and the main factors of its increase, in contrast to factors of increase Pctkm become: increasing the technical speed of trains; reduction of the share of auxiliary time taux in the total tc ; increase in the efficiency of the crew time of the crew working which, with an increase in the movement speed, it is tc , taux , to maintain ρc = f necessary to take the measures taux , or to lengthen the LC working areas. Increase of Pckm factors provoke an increase in labor intensity, due, firstly, to an increase in the time the crew spends in motion, and, secondly, to the need to ensure the train traffic safety at high speeds. Moreover, their implementation has a physiological limit for the human energy consumption. In this regard, special attention is paid to the factors that make it possible to ensure the joint maximum possible increase in both the productive force and the intensity of LC labor. Obviously, the area of such factors is in the field of improving technology and organizing train work [8]. For example, one of the factors for improving train operation is an increase in the average weight of freight trains due to the development of heavy traffic, and the technology of driving trains with increased weight requires highly qualified LC workers. At the same time, the use of modern powerful locomotives leads to the fact that crews master new techniques and methods of driving trains [12–15]. The data mining techniques make it possible to take into account LC labor productivity. At the same time, the main difficulty is the determination of the relationship between the factors of change in productivity and the existing technological regulations’ calculation models. So, the problem of selection and mutual coordination of methods of haulage service of freight trains (HSFT) in the boundaries of individual LCA is in the transportation process management extraterritorial model focus [5, 6]. Then, in general form, the problem can be formulated as follows: there is a specific territory that includes several LCA for locomotives of different power; the dimensions of movement in the LC work areas and technology of passing train traffic are set; it is necessary to choose such methods HSFT within the individual LCA, so that the management of the locomotives operation at the specific territory ensures the fulfillment of the traffic planned volume with the lowest cost of haulage and energy resources and the minimum number of LC. Decomposition of the scheme for choosing the HSFT optimal method, carried out on the basis of the locomotives’ operation processes analysis, the environment of their functioning and management objectives into the categories of sets shows not only the complexity, but also the uncertainty of its structural components in relation to specific conditions < Z, D, P, K, C, B >, where Z defines many HSFT alternative ways within some LCA; D is a task environment in which the reference model is included (Do ) the process of operating locomotives and many conditions (Dy ), in which this process is supposed to function; P is the system of
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preferences when choosing a HSFT method; K defines quality criteria that are consistent with the management objective of locomotive operation C; B determines the methods and techniques of actions (algorithms) that need to be performed over a set of alternatives Z, to find the most preferable one that satisfies the system of preferences P by quality criteria K. In this case, in an alternative HSFT way (zi ∈ Z) is a method that satisfies the constraints of the problem and ensures that the required parameters and characteristics of the locomotives’ operation control are obtained, and as a basis for the formation of a reference model (Do ∈ D) the process of operating locomotives at the specific territory, the provisions of the Typical technological process of the specific territory are used. Conditions that are significant for solving the problem Dy = {Lrs , Tms , Mres , R, V , O}, defined by a number of provisions: • first, LCA, organized within the boundaries of the specific territory, can include several locomotive runs and its length in the general case is tr(n)
Lrs = {Li
},
tr(n)
where Li is the length i-th locomotive run included in LCA; n is the number of pulling arms; • second, the time of locomotives’ passage at the head of trains between the stations of their formation and disbandment, if possible, should not exceed the standard of time for running without maintenance for the series of locomotives used: d −f Ld −f , vr ≤ Tms , where Ld −f is the distance between the stations of the formation and disbandment d −f of trains; vr is the route speed of freight trains between forming and disbanding stations; Tms is the time standard for locomotive mileage without maintenance; • third, the operational reserve of locomotives Mp specific territory is concentrated on specially designated stations of turnover points, and its value is determined by the expression: Mres = Mijm,n , where Mijm,n is a number of locomotives j-th series in reserve in i-th depot; m is a number of locomotive series used; n is a number of main locomotive depots on the specific territory; • fourth, within the LCA boundaries locomotives serve freight trains of different categories R = {ri }, differing in weight and length of the train, including trains of increased weight and increased length (TIL) [5–7], while it is customary to consider the following basic categories of trains ri : a) routes from places of loading from loaded wagons and routes from empty wagons from places of unloading, plying between the stations of departure and destination of routes; b) technical routes from loaded and/or empty
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wagons, following between the stations of the trains’ formation and disbandment; c) group trains running between technical stations for interchanging groups of carriages; d) trains connected, doubled, built to pass sections with reduced throughput, as follows: TIL; • fifth, within the LCA boundaries possible implementation of 8 fundamental options for haulage service [5, 6] V = {vl }, l = [1 . . . 8], when: all trains are formed according to unified and parallel norms of weight and length, allowing them to be serviced by a single haulage, in general coordination according to a single turnover schedule (v1 ); trains of unified or parallel weight norms are served by single haulage, and trains TIL – two or more locomotives, each of which is operated by a separate crew in a common linkage (v2 ) and etc. • sixth, the planning of locomotive operation at the specific territory is subject to restrictions Lim = limp , p = [1, 2]: – lim1 - the maximum demand for the operated fleet locomotives should not exceed the number of locomotives in the inventory of the specific territory engine house plan(r) , knk ≤ Mijinv , Mmax = Ni plan
where Ni is a planned number of train pairs per k-th LCA specific territory; knk is the coefficient of demand of locomotives for a pair of trains per LCA; r is the amount LCA within specific territory boundaries; Mijinv is a number of locomotives in the inventory j-th series in i-th Home Depot; – lim2 – the planned number of trains following the sections of the specific territory should not exceed the number of trains provided for the schedule plan(r)
Ni
≤ Nkts ,
Preference system P when choosing the best way for HSFT within the boundaries LCA is formed based on the goal of managing the locomotives C operation (to ensure the performance of a given ton-kilometer work with the lowest possible cost of locomotivekilometers and to serve the given dimensions of movement with as few locomotives as possible). Such a system of preferences P predetermines the quality criteria choice. Within the LCA boundaries such criterion (k1 ∈ K) can be considered as the maximum specific productivity of the locomotive, referred to 1 kW total power: k1 = wspec = f qlLHS , Mij , Ntanj → max, where: qlLHS is the locomotive work in t-km gross within limits LCA; Mij is a number of locomotives in the j-th series fleet in operation attributed to in i-th depot within the LCA boundaries; Ntanj is the locomotive tangential power of the j-th series. For the specific territory as a whole, the maximum average daily performance of the locomotive of the operated fleet is usually taken as a criterion (k2 ∈ K): qlp , Mex → max, k2 = Wl = f where qlp determines the work of locomotives t-km gross at the specific territory; Mex is the operated fleet of locomotives at the specific territory.
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3 Results The result of the changes factors’ analysis in LC labor productivity shows not only the legitimacy of the conclusion regarding the determining role of technological regulations (through the train operation technology) in the formation of the level Pc and Pctkm (including Pckm ), but also the reverse is true: the level achieved Pctkm and Pc forms the content of technological regulations, and in parallel with the issues of locomotive performance determines the ways of solving the technological regulation problem. In this regard, the complex problem of finding the optimal parameters of the transportation management extraterritorial model should be supplemented with the criteria for the LC train operations management quality: qlcr , SBc → max Pc = f Pctkm = f Qbr , NL, tc → max The proposed criteria determine the main result of the work LC – gross tonnekilometre work. At the same time, the achievement of this result presupposes the performance of a number of production operations carried out from the moment the crew arrives at the place of permanent work until the moment the locomotive is handed over. The time to complete these operations (total working time) can be represented as: tc = f ( tbas , tpf , taux , ttech.br ), where tbas is basic time;tpf is preparatory and final time; taux is auxiliary time; ttech.br is the time of regulated technological breaks. Criteria Pctkm → max and Pc → max suggest the need for: 1) analysis of ways to regulate the total working time costs of the teams tc and/or 2) analysis of ways to regulate the number of teams for the production of a given volume of transportation work. Since the latter is limited by the conditions of compliance with technology and labor legislation, the main tool for improving HSFT quality the work to improve the organization of labor remains, where special attention is focused on the time concept. Regulation of the LC total working time costs – alignment and synchronization of the production operations duration for the performance of gross tonne-kilometre work, it is advisable to carry out on the basis of the choice of a rational tact time τ work LC: NL , τ = f to , Qbr , where to defines the crew working hours; to = tc − ttech.br . Comparative analysis of content Pctkm and content τ , as well as the changes in their values allows us to conclude that LC labor productivity is a takt time function Pctkm = f (τ ). For example, with an increase in the LC cycle time in the case of a constant number of teams, labor productivity decreases, and vice versa. Thus, it becomes possible to control the characteristics of LC labor productivity through the tact of their work. In this regard, it is important to take into account the factors influencing the change in the given takt time for the crew work time analysis (Fig. 1).
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External causes
Malfunc on of safety devices, locomo ve radio sta on
Rolling stock malfunc on
Acts of unlawful interference
Emergency situa ons
gross tonne-kilometers
Disrup on of the normal opera on of infrastructure facili es on the site
Viola on of the order of ac ons of the locomo ve crew during the opera on of locomo ves
Train delays to non-acceptance by railway sta ons Incorrect adjustment of the train traffic control unit of the traffic management directorate
Un mely forma on of trains or prepara on of train documents by sta on empoyees
Opera onal viola ons Technological viola ons
Fig. 1. Analysis of causal relationships between factors that provide random influence on a given LC cycle time
Study of the factors shown in Fig. 1, as well as the factors determining the stable dependences of changes in the values of the LC cycle time, including in relation to the work of the LC workers contingent at the test site, allows, in the course of solving the problem of extraterritorial technological regulation, to simulate the operating time and labor productivity of LC train within the framework of quality criteria for managing their work.
4 Discussion/Results Analysis The studies have shown that in the classical formulation, the problem of extraterritorial technological regulation of transportation is the problem of analyzing many variables of a complex structure, the solution of which is carried out by finding a HSFT method, satisfying the basic criteria of the locomotive fleet average daily productivity optimality: k1 and k2 . Since the downsizing reserve LC at present, it has practically exhausted itself, on the basis of the theoretical aspects’ analysis of the labor productivity of crews, it can be concluded that the main direction of achieving the proposed criteria is to increase the share of main time in the total working time of the crew workers’ contingent. At the same time, there is a justification for the assumption that the key source of increasing the share of the main time of the crew workers contingent can be the elimination of time losses when performing transportation work on the basis of LC work tact time management. The ways of controlling the crews’ work cycle time value on the basis of the study of factors that have both random and constant influence on the cycle time, open up
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the possibilities for modeling the value of the locomotive crews’ operating time with constant production tasks.
5 Conclusions As a result of the research, the expediency of including labor productivity criteria in the basic criteria of the problem of technological regulation of the transportation process within the framework of extraterritorial models of LC locomotive fleet management was substantiated as the criteria for the train management quality. It is shown that in modern conditions, the requirements for solving the problem of regulating the costs of the total working time of crews and their number for the transportation work specified volumes production in gross tonne-kilometre are significantly tightened. The conclusion is made about the actualization of the production operations duration alignment and synchronization problems in the process of performing ton-kilometer work by crews. Particular attention is paid to the issues of loss management in the production operations’ implementation.
References 1. Sirina, N., Yushkova, S.: Integrative management of infrastructure and haulage equipment at the railway area. VNIIZHT Sci. J. 78, 328–339 (2019). https://doi.org/10.21780/2223-97312019-78-6-328-339 2. Sirina, N., Yushkova, S.: Operation of infrastructure and rolling stock at railway polygon. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1115, pp. 367– 383. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37916-2_36 3. Matyukhin, V.G., Shabunin, A.B., Nemtsov, E.F.: Haulage resources management on Eastern operating domain of Russia. Locomotive 1(721), 8–9 (2017) 4. Sirina, N., Yushkova, S.: Specific territory principles for integrative digital rail infrastructure management. Transp. Res. Procedia 54, 208–219 (2021) 5. Azanov, V.M., Buyanov, M.V., Gaynanov, D.N., Ivanov, S.V.: Algorithm and software development to allocate locomotives for transportation of freight trains. Bull. South Ural State Univ. Ser. Math. Model. Program. Comput. Softw. 9(4), 73–85 (2016) 6. Zhilyakova, L., Kuznetsov, N.A., Matyukhin, V.G., et al.: Locomotive assignment graph model for freight tra c on linear section of railway. The problem of finding a maximal independent schedule coverage. Control Sci. 3, 65–75 (2018) 7. Gainanov, D.N., Kibzun, A.I., Rasskazova, V.A.: Theoretical-graph algorithm in the problem on the assignments and transportations of locomotives. Comput. Inform. Technol. Bull. 5, 51–56 (2017). https://doi.org/10.14489/vkit.2017.05.pp.051-056 8. Arkhipov, D.I., Lazarev, A.A., Musatova, E.G.: Constraint programing approach applied to locotive and locomotive crew assignment problem for freight transportation. In: Proceedings of the 6th International Science and Technology Conference on “Intelligence Control Systems for Railroad Transportation”, Moscow, pp. 56–59 (2017) 9. Tapscott, D.: The Digital Economy: Promise and Peril in the Age of Networked Intelligence. McGraw-Hill, New York (1996) 10. Liebchen, C., Schülldorf, H.: A collection of aspects why optimization projects for railway companies could risk not to succeed – a multi-perspective approach. J. Rail Trans. Plan. Manag. 11, 100149 (2019). https://doi.org/10.1016/j.jrtpm.2019.100149
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11. Khodakivskyi, O., Khodakivska, Y., Kuzmenko, O., Shcherbyna, M., Kolesnichenko, O.: Improvement of the railway transport system by increasing the level of goal-oriented activity. Procedia Comput. Sci. 149, 415–421 (2019). https://doi.org/10.1016/j.procs.2019.01.156 12. Kruchek, V.A., Khamidov, O.R.: Opportunities, prospects and special features of modular design of the electric freight locomotive in modern operational conditions. Proc. Petersburg State Transp. Univ. 17(1), 96–107 (2020). https://doi.org/10.20295/1815-588X-2020-196-107 13. Burkov, A.T., Valinsky, O.S., Evstaf’ev, A.M., Maznev, A.S., Tretyakov, A.V.: Modern locomotive haulage drive control systems. Rus. Electr. Eng. 90(10), 692–695 (2019) 14. Agunov, A.V., Grishchenko, A.V., Kruchek, V.A., Grachev, V.V.: A method of using neural fuzzy models to determine the technical state of a diesel locomotive’s electrical equipment. Russ. Electr. Eng. 88(10), 634–638 (2017). https://doi.org/10.3103/S1068371217100029 15. Khamidov, O.R.: Simulation and experimental research of asynchronous haulage motor of the locomotive in case of emergency operation mode. Proc. Petersburg State Transp. Univ. 17(1), 44–54 (2020). https://doi.org/10.20295/1815-588X-2020-1-44-54
Stress-Strain Analysis of the Circular Orthotropic Plate Under Circumferential Loading Sergey Vidyushenkov(B)
and Vladimir Smirnov
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The aim of this work is to construct and analyze the resulting solutions for a circular orthotropic plate using analytical methods that allow integrating differential equations containing discontinuous functions. Discontinuous functions are understood here as a unit function, a delta function and its derivatives. This approach makes it possible to directly integrate the differential equations of plates with discontinuous load and stiffness characteristics. This eliminates the need to cut the plate into separate elements, each of which has continuous load and stiffness characteristics. The article shows how the resolving differential equation of a circular orthotropic plate is obtained from the equilibrium equations. The case of an annular load acting on an orthotropic plate is considered and a comparison with the results obtained for an isotropic plate is made. It is concluded that the bending moments at α2 < 1, that is, for the plates with radial stiffness D1 greater than circumferential stiffness D2 , at the center, the plates turn to infinity, but at the same time, at α2 > 1, that is, in the case when D2 > D1 , bending moments vanish. Both that and the other results do not correspond to the conditions of orthotropic plates’ real work. This means that for orthotropic circular plates, Kirchhoff hypotheses are not applicable at the point r = 0. The article gives recommendations on the calculation of circular plates under the action of a load distributed over a circle, as well as reinforced by several circumferential ribs, which are introduced into the original differential equations by delta functions. Keywords: Circular plate · Orthotropic material · Deflection · Bending moments · Discontinuous functions · Unit function · Delta function · Differential equations · Integration · Axially-symmetric deformations
1 Introduction Structural elements made in the form of plates are widely used in construction industry, as well as in various branches of mechanical engineering. For this reason, checking their performance under the conditions of the action of operational loads on them is an urgent and practically important task. However, not all structural elements, which are plates, can be quite simply and efficiently calculated for strength, stiffness and stability using the methods currently used in practice. So, the problems associated with the study of the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 521–530, 2022. https://doi.org/10.1007/978-3-030-96380-4_57
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stress-strain state of plates with discontinuous stiffness and the load parameters belong to the category of the most complex and laborious problems of structural mechanics and the theory of elasticity. This is due to the fact that in the zones covering the boundaries of a sharp change in the breaking the external loads and the stiffness characteristics of the system under study, significant gradients can appear in the functional dependences of some static and kinematic characteristics that determine the stress-strain state of the elements under consideration. When solving problems of this type, certain difficulties arise when integrating the initial equations of plates and using analytical methods for these purposes. It is also difficult to approximate the sought solutions determining the stress-strain state of the plate if numerical methods are used. In this article, on a circular orthotropic plate example [1–6], the solution is shown and the analysis of the resulting solutions is carried out using analytical methods that allow integrating differential equations containing discontinuous functions, namely the unit function and the delta function [7–9].
2 Materials and Methods Under the action of a transverse load intensity q in the sections of the plate perpendicular to its median plane, internal forces arise [10, 11] Qx = −D
∂ 2 ∂ ∇ w, Qy = −D ∇ 2 w, ∂x ∂y
and the moments: Mx = −D
2 ∂ 2w ∂ 2w ∂ w ∂ 2w , M , + ν = −D + ν y ∂x2 ∂y2 ∂y2 ∂x2
H = −D(1 − ν)
∂ 2w . ∂x∂y
Here Mx is a bending moment about an axis perpendicular to the axis x; My is a bending moment about an axis perpendicular to the axis y; H is a torque; Qx and Qy are the lateral forces, the difference between which is that the first occurs on the area with a normal parallel to the axis x, and the second occurs on the area with a normal parallel to the axis y. All internal force factors are expressed through the median plane deflections’ function W (x, y), where x and y are the cartesian coordinates; ν is a Poisson’s ratio of 3 2 2 is cylindrical stiffness; ∇ 2 W = ∂∂xW2 + ∂∂yW2 determines the plate material; D = 12 Eh (1−ν 2 ) harmonic differential operator in Cartesian coordinates [11, 12]. We write the equations of the plate equilibrium in Cartesian coordinates [8, 9]: ⎧ ∂Qx ∂Qy ⎪ ⎨ ∂x + ∂y = −q, ∂Mx ∂H ∂x + ∂y = Qx , ⎪ ⎩ ∂H ∂My ∂x + ∂y = Qy .
(1)
Stress-Strain Analysis of the Circular Orthotropic Plate
For a circular plate, the equilibrium equations have the form: ⎧ ∂ ∂Q2 ⎪ ⎨ ∂r (rQ1 ) + ∂φ = −qr, ∂ ∂H ∂r (rM1 ) − M2 + ∂φ = Q1 r, ⎪ ⎩ 1 ∂ r 2 H + ∂M2 = Q r. 2 r ∂r ∂φ
523
(2)
Here Q1 is the lateral force in the plate radial direction; Q2 is the lateral force in the plate circumferential direction; M1 is a bending moment in the radial direction of the plate; M2 is a bending moment in the circumferential direction of the plate; H is a torque; r, ϕ are the radial and circumferential coordinates; q defines the intensity of the distributed load. If we exclude the transverse forces Q1 and Q2, from the first system Eq. (2), using the second equation of the same system, then we arrive at the following resolving differential equation for circular plates: 2 1 ∂M2 1 ∂ 2 M2 2 ∂M1 2 ∂H 2 ∂ 2H ∂ M1 + − − − = q. (3) − − ∂r 2 r ∂r∂φ r 2 ∂φ 2 r ∂r r ∂r r 2 ∂φ As it is known, when passing from a Cartesian coordinate system to a polar coordinate system, the harmonic differential operator and the second derivative of the y coordinate are transformed as follows: 1 ∂ 2 (...) ∂ 2 (...) 1 ∂(...) ∂ 2 (...) ∂ 2 (...) + 2 + = + , 2 2 2 ∂x ∂y ∂r r ∂r r ∂φ 2 1 ∂ 2 (. . .) ∂ 2 (. . .) 1 ∂(. . .) + = . ∂y2 r ∂r r 2 ∂φ 2
∇ 2 (...) =
(4)
For this reason, bending moments M1 and M2, as well as the torque H in the polar coordinate system will take the form: ⎧
2 ν2 ∂W ν2 ∂ 2 W ∂ W ⎪ ; M = −D + + ⎪ 1 1 2 2 2 ⎪ r ∂r r ∂φ ⎨
∂r 2 1 ∂W 1 ∂2W ∂ W M2 = −D2 ν1 ∂r 2 + r ∂r + r 2 ∂φ 2 ; (5) ⎪
⎪ ⎪ ⎩ H = −Dk ∂ 1 ∂W , ∂r r ∂φ where D1, D2 and Dk are radial, circumferential and torsional cylindrical stiffness of the plate; ν1 and ν2 define Poisson’s ratios in the radial and circumferential direction of an orthotropic plate. For a circular plate, the following relations are fulfilled D1 = D2 = D, ν1 = ν2 = ν, Dk = D(1 − ν)
(6)
Taking into account the relations (5), the resolving differential Eq. (3) can be transformed to this form: ∂D rϕ rϕ ∂D , , W Lrϕ (W ) = L1 (W ) + L2 ∂r ∂ϕ (7) 2 2 2 ∂ D rφ ∂ D ∂ D + L3 , , , W = q, ∂r 2 ∂r∂φ ∂φ 2
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where
∂ 4W 2 ∂ 4W 1 ∂ 4W 1 ∂ 3W 2 ∂ 3W + + − + ∂r 4 r 2 ∂r 2 ∂φ 2 r 4 ∂φ 4 r ∂r 3 r 2 ∂r∂φ 2
2 1 ∂W 4 ∂ 2W 1 ∂ W ; + 3 − 4 − 2 2 r ∂r r ∂φ 2 r ∂r
1 ∂ 3W 1 + ν ∂W ∂D 1 ∂ 3 W ν ∂ 2W rφ L2 = 2 + + + ∂φ r 2 ∂r 2 ∂φ r 4 ∂φ 3 r 3 ∂r∂φ r 4 ∂φ ν 1 + 2 ∂ 2W ∂D ∂ 3 W 1 ∂ 3W 3 ∂ 2W 1 ∂W +2 + 2 + − 3 − 2 ; ∂r ∂r 3 r ∂r∂φ 2 r2 ∂r 2 2r ∂φ 2 2r ∂r
2(1 − ν) ∂ 2 D ∂ 2 W 1 ∂W ∂ 2D ∂ 2W ν ∂ 2W ν ∂W rφ + − + + L3 = ∂r 2 ∂r 2 r 2 ∂φ 2 r ∂r r2 ∂r∂φ ∂r∂φ r ∂φ
2 2 2 1 ∂ D ∂ W 1 ∂ W 1 ∂W + 2 ν 2 + 2 . + r ∂φ 2 ∂r r ∂φ 2 r ∂r rφ
L1 = D
Let us consider some special cases of these plates, found in practice. 2.1 Axially-Symmetric Deformations of a Circular Orthotropic Plate The differential equation for axially-symmetric deformations can be obtained directly from the Eq. (6), taking into account that in this case the partial derivatives with respect to the coordinate ϕ are equal to zero. Such a differential equation is of the fourth order. However, for axially-symmetric deformations, a third-order differential equation can be obtained if we directly use the second equation of the system (2). Then we obtain the following differential equation: dM1 1 + (M1 − M2 ) = Q. dr r Taking into account the first two relations of the system (5), the final resolving differential equation for axially-symmetric deformations takes the form: Q W 1 1 dD1 ν2 W + W =− , (8) W + W − α2 2 + r r D1 dr r D1 2 D1 = where α 2 = D D1 , Considering that
W
E1 h3 12(1−ν1 ν2 ) ,
D2 =
E2 h3 12(1−ν1 ν2 ) ,
D1 ν2 = D2 ν1 .
1 2W α−1 d 1−2α d α dW r r , + W −α 2 =r r r dr dr dr
(9)
the differential Eq. (10) can be transformed using the differential operator written on the right-hand side of relation (11) to the form 1 dD1 ν2 Q α−1 d 1−2α d α dW r r r + W + W =− . (10) dr dr dr D1 dr r D1 If the plate has stiffness D1 = const, then the underlined terms in the expression (12) vanish.
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2.2 Orthotropic Plate Under the Action of Circular Load The design diagram of such a plate is shown in Fig. 1. Uniformly distributed load q, acts on the ring surface from the radius c to radius b.
Fig. 1. Circular plate under the concentric load
In this case, the differential Eq. (10) will be written in the form Q d 1−2α d dW r α−1 r rα =− . dr dr dr D1 Lateral force Q is determined by the formula b2 c2 qr H (r − c) 1 − 2 − H (r − b) 1 − 2 . Q= 2 r r
(11)
(12)
here H(r − b), H(r − c) is the Heaviside unit function [11–13].
3 Results By successively integrating the expression (11), taking into account the relation (12), we obtain the equation of the rotation angles:
c 3−α 1 dW r 3 1 c 2 1 qa3 × − + H (r − c) = dr 2D1 a α(1 − α) (3 − α) r 9 − α2 1 − α2 r 2
c 3+α 1 b 1 1 − − − H (r − b) α(1 + α) (3 + α) r 9 − α2 1 − α2 r 3−α 3+α b b 1 1 + − α(1 − α) (3 − α) r α(1 − α) (3 − α) r
r −α C r α ; + C2 + 1 2α a a
and the equation of deflections:
(13)
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c 2
c 3−α 1 1 qa4 r 4 1 − + H (r − c) × 2D1 a 4 9 − α2 2 1 − α2 r α 1 − α2 (3 − α) r
c 4
c 3+α 1 1 − + r α 1 − α 2 (3 + α) r α 1 − α2 2 3−α 1 1 b b 1 − + − H (r − b) 2 2 2 r 4 9−α 2 1−α α 1 − α (3 − α) r 3+α 4 b b 1 1 − + 2 2 r α 1 − α (3 − α) r 4 1−α C2 r 1−α C1 a r 1+α + + C3 , + 2α(1 + α) a 1−α a W =
(14)
where a is the radius of the outer contour of the plate. When integrating the expressions containing a unit function, we took into account the relation [7] x
∫ H (x − a)φ(x)dx = H (x − a) ∫ φ(x)dx + C a
where ϕ(x) is a some continuous function on the interval under consideration. Arbitrary constant C2 = 0 for a plate that does not have a hole in the center, due to the rotation angle finiteness at r = 0. The radial and circumferential bending moments are determined by the formulas obtained from the relations (5) 1,2: 2 2 d W 1d W dW ν2 dW , M . M1 = −D1 + = −D + ν 2 2 1 dr 2 r dr r dr 2 dr Therefore, 3 + ν2 1 + ν 2 c 2 qa2 r 2 M1 = − H (r − c) − 2 a 9 − α2 1 − α2 r
c 3−α
c 3+α α + ν2 α − ν2 + + α(1 − α)(3 − α) r α(1 + α)(3 + α) r 3−α 3 + ν2 b 1 + ν2 b 2 α + ν2 − H (r − b) − + 9 − α2 1 − α2 r α(1 − α)(3 − α) r 3+α b α + ν2 r α−1 α − ν2 ; + − C1 α(1 + α)(3 + α) r α a
(15)
Stress-Strain Analysis of the Circular Orthotropic Plate
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1 + 3ν1 1 + ν1 c 2 qa2 r 2 D2 H (r − c) − 2 a D1 9 − α2 1 − α2 r
c 3−α
c 3+α 1 + ν1 α 1 − ν1 α + − α(1 − α)(3 − α) r α(1 + α)(3 + α) r 3−α 1 + 3ν1 b 1 + ν1 b 2 1 + ν1 α − H (r − b) − + 2 2 9−α 1−α r α(1 − α)(3 − α) r 3+α b D2 1 + ν1 α r α−1 1 − ν1 α ; − − C1 α(1 + α)(3 + α) r D1 α a M2 = −
For a circular plate hinged along the outer contour, M1(a) = W(a) = 0. Therefore, 2 1 + ν2 c 2 2α b α − ν2 − C1 = − α + ν2 1 − α2 a a α(1 − α)(3 − α) 3−α
c 3−α b 3−α c 3−α b α − ν2 × , − − − a a α(1 − α) (3 − α) a a 2 c 2 1 b 1 C2 = (16) − − a a 2 1 + α2 α 1 − α2 (3 − α) 3−α
c 3−α b 3−α c 3−α b 1 × − − + 2 a a a a α (3 + α) 1 − α
c 4 1 b 4 C1 . − − + a a α(α + 1) 4 1 − α2
4 Discussion For the calculations’ convenience, the deflection and bending moments can be written as follows: W =β
qa4 , 2D1
M1 = γ
qa2 , 2
M2 = δ
qa2 , 2
where β, γ , δ are the expressions in the outer curly braces of formulas (15), (16).
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Coefficient calculation results β for different values α and r at c/a = 0.25 and b/a = 0.5 are given in Table 1. In the same place, for comparison, the values of the coefficient β for isotropic plate (α = 1). are observed. Table 1. Coefficient values β for different α2 coefficients and r/a relationships
β
α2
r/a = 0
r/a = 0.1
r/a = 0.25
r/a = 0.33
r/a = 0.5
r/a = 0.75
r = 1.0
0.1
0.1490
0.1413
0.1231
0.1112
0.0848
0.0425
0
0.2
0.1103
0.1059
0.0951
0.0854
0.0658
0.0330
0
0.5
0.0670
0.0661
0.0602
0.0555
0.0436
0.0222
0
1.0
0.0436
0.0431
0.0401
0.0334
0.0299
0.0143
0
2.0
0.0266
0.0264
0.0252
0.0238
0.0194
0.0102
0
5.0
0.0127
0.0127
0.0124
0.0119
0.0100
0.0054
0
10
0.0073
0.0073
0.0071
0.0070
0.0060
0.0034
0
Figure 2 shows graphical dependences of the coefficients for γ and δ on the ratio r/a value, included in the expressions for bending moments M1 and M2.
Fig. 2. Dependencies of coefficients γ and δ on the ratio r/a value
5 Conclusions As it can be seen from Fig. 2, at α2 > 1 radial and circumferential bending moments for an orthotropic plate are significantly less than radial and circumferential bending moments for an isotropic plate (α2 = 1). As for the case when α2 < 1, then, as it can be seen from Fig. 2 at small values r/a the magnitudes M1 and M2 are much higher than these values for an isotropic plate.
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Therefore, when designing such structures, the circumferential stiffness of the plate is not recommended D2 to be chosen less than its radial stiffness D1. Problems for a circular plate with a load distributed over a circle of radius c and reinforced by several circumferential ribs can be solved in a similar way. The only difference is that under the action of a load distributed over a circle of radius c, the right-hand side of the original differential Eq. (11) will have the form: F H (r − c), 2π rD1 and in the case of a circular plate supported by several circumferential edges, the right-hand side of the original differential Eq. (11) is written in the form N qr 1 EIi + δ(r − c), 2D1 D1 c2 i=1 i
where N is a number of circumferential edges; EIi defines stiffness of the i-th ribs; δ(r − c)− is a delta function.
References 1. Lavrov, K., Semenov, A., Benin, A.: Modeling of nonlinear multiaxial deformation of concrete on the base of hyperelastic orthotropic model. MATEC Web Conf. 53, 01043 (2016). https:// doi.org/10.1051/matecconf/20165301043 2. Diachenko, L., Benin, A., Smirnov, V., Diachenko, A.: Rating of dynamic coefficient for simple beam bridge design on high-speed railways. Civil Environ. Eng. 14(1), 37–43 (2018). https://doi.org/10.2478/cee-2018-0005 3. Ledyaev, A.P., Kavkazsky, V.N., Ivanes, T.V., Benin, A.V.: Study in the structural behavior of precast lining of a large diameter multifunctional tunnel performed by means of finite elements analysis with respect to Saint-Petersburg geological conditions. Civil Environ. Eng. 15(2), 85–91 (2018). https://doi.org/10.2478/cee-2019-0012 4. Benin, A., Guzijan-Dilber, M., Diachenko, L., Semenov, A.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S WEB Conf. 157, 06018 (2019). https://doi.org/10.1051/e3sconf/202015706018 5. Boronenko, Y.P., Povolotskaia, G.A., Rahimov, R.V., Zhitkov, Y.B.: Diagnostics of freight cars using on-track measurements. In: Klomp, M., Bruzelius, F., Nielsen, J., Hillemyr, A. (eds.) IAVSD 2019. LNME, pp. 164–169. Springer, Cham (2020). https://doi.org/10.1007/ 978-3-030-38077-9_20 6. Smirnov, V.I., Vidyushenkov, S.A., Bushuev, N.S.: Stress-strain state of elastic base under circular foundation. Geotechnics fundamentals and applications in construction: new materials, structures, technologies and calculations. In: Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 341–346 (2019).https://doi.org/10.1201/978 0429058882-66 7. Koreneva, E.B., Grosman, V.R.: Vibration problems of anisotropic plates, having the additional masses or the intermediate Supports. Solutions Terms Bessel Functions 5(292), 52–58 (2020). https://doi.org/10.37538/0039-2383.2020.5.52.59
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8. Smirnov, V.I.: On the critical tensile load of flat and round specimens with a deep notch. Strength Mater. 46(1), 88–96 (2014). https://doi.org/10.1007/s11223-014-9519-9 9. Goloskokov, D.P., Matrosov, A.V.: A superposition Method in the analysis of an isotropic rectangle. Appl. Math. Sci. 10(54), 2647–2660 (2016). https://doi.org/10.12988/ams.2016. 67211 10. Shirunov, G.N.: Bending of a thick plate strengthened with a layer of external reinforcement under its own weight. Bull. Civil Eng. 2(73), 54–61 (2019). https://doi.org/10.23968/19995571-2019-16-2-54-61 11. Efimov, V.O., Osokin, A.I., Kondrat’eva, L.N., Stepanova, N.R.: Statistical modelling of impacts on a pile-raft foundation. IOP Conf. Ser. Mater. Sci. Eng. 481, 012012 (2019). https:// doi.org/10.1088/1757-899x/481/1/012012 12. Lapina, E.O., Semenov, A.A.: Investigation of strength and buckling of orthotropic conical shells and conical panels. Izvestiya Saratov Univ. Math Mech. Inform. 20(1), 79–92 (2020). https://doi.org/10.18500/1816-9791-2020-20-1-79-92 13. Semenov, A.A., Moskalenko, L.P., Karpov, V.V., Sukhoterin, M.V.: Buckling of cylindrical Panels strengthened with an orthogonal grid of Stiffeners. Bull. Civil Eng. 6(83), 117–125 (2020). https://doi.org/10.23968/1999-5571-2020-17-6-117-125
Formation of a Parametric Pricing Model in the Market for Rail Transportation of Oil Cargo Natalia Zhuravleva1(B)
, Petr Zhitinev1
, and Yulia Anufrieva2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue,
St. Petersburg 190031, Russian Federation 2 Siberian Transport University, 191 Dusi Kovalchuk str.,
Novosibirsk 630049, Russian Federation
Abstract. High competition in the rail freight market, significantly complicated by the global economic downturn as a result of the pandemic, is forcing operator companies to optimize their operating models and rebuild the business models taking into account the changes in consumer behavior, primarily in the oil transportation segment. The purpose of this study is to develop and test a parametric pricing model for the oil products’ rail transportation operator, taking into account its effective impact on the operating and business model. The research methodology is based on behavioral economic theory provisions, namely, the methods of agent modeling when modeling tariffs for freight rail transportation. The methodology of merit order pricing as the formation basis of tariffs for freight rail transport uses the restrictions on the variation of price rates, taking into account the infrastructure and traction cost parameters. The main results of the study are: a parametric model of pricing for the petroleum products transportation, built on the basis of the parity distribution principles of costs for the transportation of goods between the transportation process participants and the rational use of fixed assets, first of all, the wagon (the concept of lean production). The model takes into account not only the technological and behavioral factors that determine the operator’s business model, but also their combination. The applicability of the model for all railway operators functioning in the segment of highly competitive transportation has been substantiated. Keywords: Rail freight rate · Pricing model · Cost parity
1 Introduction Liberal reforms of the market for rail transportation services allowed the formation of a segment of private operator companies that provide services for the provision of freight cars and organization of transportation. Today these companies own almost the entire fleet of freight railcars. The economy of the operator business, like that of the entire railway industry, is characterized by a high demand for fixed capital in transport products manufacturing, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 531–539, 2022. https://doi.org/10.1007/978-3-030-96380-4_58
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i.e., a high degree of its capital intensity. Depending on the ratio of own and borrowed rail car fleet, the share of fixed assets (the key of which is rolling stock) in the assets of the largest operator companies varies from 60 to 85%. The cost of freight rail transportation for a shipper, according to the current tariff regulation in Russia, consists of 4 components: infrastructure, locomotive, carriage and additional charges, each of which has its own specific formation features. The infrastructure component includes a JSC «RZD» fee for providing access to infrastructure (determined according to Price List 10-01). The locomotive component includes payment for the work of locomotives, when carrying out transportation by JSC «RZD» (is mainly determined according to Price List 10-01, since the main fleet of locomotives belongs to JSC «RZD»). The rolling stock operator has the right to a wagon component in the tariff, or a fee for the provision of wagons and containers for transportation. This is the competitive market part of the tariff, the value of which is determined as a result of the supply and demand interaction in the transportation market in the corresponding segment of cars. The business model of the operator companies is focused on the transported goods’ volumes growth, and the operating model is associated with the indicators of car turnover and optimization of the costs of maintaining the car fleet [1]. Our analysis of the rate of change in revenue of freight railway operators showed that the most significant factors affecting the efficiency of their business are related to the railway rolling stock use degree (own or leased), i.e., are located in the customer management area (transportation customers). In turn, the number and intensity of traffic is due to the situation on the oil cargo market, which has seriously aggravated in recent years. The problems of freight cars’ efficient use are influenced by two opposite factors: on the one hand, a decrease in the transport component in the cost of oil products for end consumers increases the competitiveness of railway operators in the freight transport market, on the other hand, with a monopoly fixed price for infrastructure and locomotive traction, it minimizes the added value of the operator. The purpose of this study is to develop and test a parametric pricing model for the oil products’ rail transportation operator, taking into account its effective impact on the operating and business model.
2 Materials and Methods The structure and trends of changes in the operating and business models of operators of oil cargo railway transportation were analyzed by us using the data from InfraOne research. The trends of the railway rolling stock operating market in 2020 and the key events of the operators were investigated on the basis of Infoline Rail Russia Top statistics [2]. Using and replicating information from the Institute for Problems of Natural Monopolies, KPMG, Infoline, the authors analyzed the current situation on the oil cargo transportation market and assessed the tendencies of the nearest changes in it. This analysis gave us an opportunity to confirm the reliability of the following methodological approaches’ use.
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The studies on the use of merit order pricing as the basis for the tariffs’ formation for freight rail transport, including as the basis for the tariffs’ formation for the railway infrastructure use by private or state operators, made it possible to form the infrastructural and locomotive price parameters that limit the variations in price rates of freight railway operators [3, 4]. The methodology for the freight railway tariffs formation based on the interaction of supply and demand in the absence of the state regulatory intervention (or with minimal intervention) allowed us to identify the main parameters of the model for the transportation price formation in a highly competitive segment of the transport market [5]. Our research methodology takes into account modern approaches to the formation of the freight rail transportation price, in particular, the provisions of behavioral economic theory, namely, the agent-based modeling methods for the formation of tariffs for freight rail transportation. The optimal freight railway tariffs can be obtained as the total sum of all agents’ decisions in a particular market [6, 7].
3 Results A study of the impact of changes on the rail transport market showed that the 10 operators operating the largest freight car fleets account for 58% of the Russian fleet. The growth rate of market monopolization doubled for the last (2020) year in comparison with the previous 2019. The total fleet operated by the TOP-10 rail car management companies increased by 9% over the same period. At the same time, the largest owners of oil rolling stock in the total fleet of Russian operators reduced the share of their activities to 46% in the total traffic volume and to 58% in the traffic structure. This conclusion justifies our approach to the formation of a parametric pricing model using the costs’ parity distribution for the transportation of goods between the transportation process participants and the rational use of fixed assets, primarily a car (the lean production concept). As a basis for the formation of a model, it is proposed to adopt the formula for calculating the cost of services of the operator’s company (formula 1), which is currently actively used in the market: F=
C R ∗ Tw + Lw Lw
(1)
F is a freight charge, rub/tonne; R is a required (desired) rate of return on the wagon, RUB/wagon/day; Tw denotes wagon turnover, day; C – shows the transport organization costs, including carriage charges calculated in accordance with the Tariff Manual for Railway Transport (Price List 10-01 for Private Fleet), wagon preparation costs and general business costs, rub. Lw is a wagon load, tonne. The specified formula is a universal tool and needs to be improved taking into account the peculiarities of each individual transportation.
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Within the framework of the described approach, it is proposed to modify the calculation formula by supplementing it with the following parameters of the efficiency of using a wagon during transportation: – The detail level of the orders/Bids provided by the client for the transportation organization; – Quality of shipment scheduling; – Uniformity of the cargo base presentation for transportation within a month; – Requirements for the rolling stock preparation; – Compliance with the standard period for the presence of wagons at stations of departure / destination; – Compliance with the standard time for delivery of goods (only if the cargo shipper is a payer of tariffs under the contract of JSC «RZD» carriage); – The degree of the rolling stock useful capacity application. To apply these parameters when modeling the transportation cost, we form the following sequence of functional dependencies of the services cost from each of them. 3.1 The Detail Level of the Orders/Bids Provided by the Client for the Transportation Organization The first analyzed parameter is the detailing of information about the planned transportation. Based on this information, the calculation of the required number of wagons required for the carriage of goods is made. For the most accurate planning of the fleet operation, the information on the transportation volumes, the loading of rolling stock and shipment directions (the period of the car’s turnover) is needed [8]. The planning detail affects the final ratio of the planned and actually used fleet. The more detailed the information provided by the client is, the more accurately it will be possible to plan the required amount of rolling stock. Therefore, the indicator reflecting the dependence of the efficiency of wagon utilization on detailed planning can be expressed in the form of a coefficient (kdet) calculated according to the formula: (Qi /P st ) − (Qi/P st )∗k ins d /Swact d /Sw |Mact − Mest | =1+ (2) kdet = 1 + (Qi/P st )∗k Mest ins d /Sw
Mact is the transport fleet in actual use, wagons; Mest is an estimated fleet for transport, wagons; Qi is an estimated traffic volume; Pst is the average static load of the wagon; Swact is a weighted average wagon turnover (calculated on the basis of actual distances); Sw is a weighted average wagon turnover (calculated on the basis of previous statistics);
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d shows the days in the period (number of days in a calendar month). The detail coefficient for calculating the services’ cost is applied to the basic rate of return of the rolling stock. 3.2 Quality of Loading Scheduling The second parameter - the quality of the loading scheduling can be assessed by the ratio (dependence) of the number of tons of cargo planned for shipment in the client’s Order/Bid for transportation and the actual volume accepted JSC «RZD» for transportation according to the data of the automated system for the preparation and execution of shipping documents for railway cargo transportation (Automated system “Electronic transport waybill”). The most convenient tool for such an analysis is the correlation coefficient. The high quality of planning (the degree of actual shipment compliance with the plan) characterizes the correlation coefficient value in the range from 0.8 to 1 [9]. The parametric table (Table 1), which determines the dependence of the cost of organizing transportation on the quality of planning, expressed through the correlation coefficient (kqua ) has been empirically formed. Table 1. Parameters for determining the quality factor Correlation coefficient rxy
Planning quality factor for pricing (kqua )
rxy ≥ 0.8
kqua = 1
0.8 > rxy ≥ 0.6
kqua = 1.05
0.6 > rxy ≥ 0.5
kqua = 1.1
rxy < 0.5
kqua = 1.3
The consequence of a negative deviation from the shipment schedule (failure to present a freight base for the provided wagon) is a downtime of rolling stock, a positive deviation - the need to provide an additional fleet, expressed in the cost of preparing and redeploying a wagon. These costs directly affect the transportation cost, and therefore the planning quality factor must be used when calculating the required transportation profitability. 3.3 Uniformity of the Cargo Base Presentation for Shipment Within a Calendar Month The uniformity of the cargo base presentation determines the amount of the required fleet for the declared volume transportation. In our model, to assess the shipment, uniformity, it is proposed to use the classical coefficient of variation (formula 3), which characterizes the relative spread measure of
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a random variable (deviation of the shipment schedule from the average daily volumes). v=
σ ∗ 100% x
(3)
where σ is an average quarterly deviation (standard deviation from the average daily shipment volume); x is an average value (average monthly shipment volume). Thus, the more uniformly the shipment schedule is drawn up (the variation coefficient value is closer to 0) of the products, the less wagons are required to export the declared volume. Within the framework of the analysis, the functional dependence of the variation coefficient and the ratio of the actually required and calculated number of cars was revealed. In accordance with this relationship, the excess of the required fleet over the calculated one (in relative terms) is approximately equal to a quarter of the variation coefficient value (v) of the declared shipment schedule. Thus, the calculation of the uniformity factor (kunif ), affecting the transportation profitability, must be done according to the following formula: kunif = 1 + 0.25 ∗ v
(4)
where v is the value of the declared shipment schedule variation coefficient. The need to calculate the variation coefficient is due to the fact that the variation indicators in absolute values, as a rule, are directly incomparable. 3.4 Compliance with the Standard Terms for the Presence of Wagons at Departure/Destination Stations and Along the Route Compliance with regulatory deadlines (industry-wide or established JSC «RZD» within the transport document) has a direct impact on the provided rolling stock turnover [10, 11]. The dependence of wagon turnover on compliance with the standard deadlines is expressed by calculating the compliance rate with the standard (kn ): Tf − Tn kn = 1 + (5) Tn where Tf is an actual delivery time of petroleum products (time spent by carriages at departure/destination stations), days. Tn defines the standard delivery time for petroleum products (time spent by carriages at departure/destination stations), days. The above-given formula is valid when applied to all components of the car’s turnover, with exception of a no-load trip, since the empty run of rolling stock is completely within the control area of the operator. When calculating the services cost, it is proposed to keep this parameter in the standard values.
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3.5 Use of the Rolling Stock Useful Capacity One of the key parameters characterizing the rolling stock use efficiency is the indicator of the car useful capacity application, which is used in the railway transport as the load of the car (static load). To take into account the influence degree of the change in the load of the car in the cost of the provided service, it is proposed to add the load factor to the standard formula for calculating the cost of services (kload ): Lf − Lc kload = 1 − (6) Lu where Lf is an actual wagon load, tons. Lu defines the useful capacity of the provided boiler tank, tons. The essence of this indicator is the following dependence: the more efficiently the provided rolling stock is loaded, the less its use costs. This is due to the fact that systematic underloading up to the car loading indicators established by the manufacturer makes it necessary to provide an additional rolling stock for the declared volume export. As a result of the standard price calculation formula modernization with the abovementioned parameters, it is transformed as follows: R ∗ kdet ∗ kqua ∗ kunif ∗ Twdep ∗ kNdep + Twdes ∗ kNdes + Twlad ∗ kNlad + Twemp Lw ∗ kusf Ct + Cgr + (Cptn − Cptf )
F= +
Lw (7)
where F is a cost of operator services (cost of transportation), rub./tons; R is a necessary (desired) rate of return of the car, rub./wag/days; kdet is a planning detail factor; kqua is a planning quality factor; kunif is a coefficient of presentation uniformity of goods for transportation; Lw denotes loading a wagon, tons; kusf is an efficiency factor of wagon capacity; Twdep , Twdes , Twlad , Twemp show the standard period of stay of the car at the departure station, destination station, transit in loaded traffic, transit in empty traffic, days; kNdep , kNdes , kwlad are the coefficients of the standard fulfillment at the departure/destination station, along the route; Ct denotes the costs of JSC «RZD» carriage charges payment, rub.; Cgr denotes the general operating expenses, rub.; Cptf denotes the rolling stock preparation costs (in accordance with the actual requirements of the customer), rub; Cptn denotes the rolling stock preparation costs (in accordance with the requirements of regulatory documents), rub.
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4 Discussion The methodology of optimal pricing using the parametric modeling technology is quite common and is used as information support for the producers and consumers of various types of services when justifying various types of assessing the dynamic pricing tariffs’ effectiveness, in particular in the works of Sophie Schoenfeld Carlsen et al. [12], Marlin V. Ulmer and Barrett W. Thomas [13]. In our study, we linked the dynamic tariffs to the level of marginal profitability due to a set of significant costs. A very important task of assessing the influence of multiple factors of consumption of hydrocarbons in predicting prices for them and, is solved in the work of Yan Hao, Chengshi Tian [14], which allowed us to formalize the understanding of the transport component share in their price and, thus, to clarify our parametric pricing model. An evolutionary two-tier model for optimizing ticket fares and profits from the operation of Taiwan’s high-speed railway proposed by Jui-Sheng Chou et al. [15] associates the tariff with maximizing the carrier’s profit, while taking into account customer satisfaction with the service as well as agency effectiveness. This confirms our conclusions about the formation of the optimal tariff with an increase in the efficiency of the carriers’ business. An analysis of the demand for freight transport is fundamental as the basis for the operational strategy of transport companies. A number of authors, conducting a cluster analysis of the demand for transportation, distinguishes homogeneous segments of cargo shippers, which allows them to optimize transportation costs and establish a differentiated wagon payment [16]. This approach seems to us the most rational and we apply it in this study. Implementation of the proposed model will make it possible to approach a “winwin” situation (a negotiation strategy that implies a win for both parties from a deal), since with a decrease in the transport services cost for the end user, the profitability of the operator will increase (remain). Our proposed parametric model is primarily applicable to the highly competitive market of railway operators. In this regard, the next stages of modeling will reflect the behavior of consumers and the parameters of the changing properties as well as the transport service value.
5 Conclusions The market for rail freight, rapidly changing primarily in the highly competitive segment of oil cargo transportation, is influenced not only by environmental, technological and behavioral factors, but also by their combination. The efficiency of such transportation is possible against the background of transport economics’ integration with logistics on an interdisciplinary basis. Such emergence of new instruments as a transport option, financing using green bonds and cryptocurrency settlements will complement and modify the system of freight transportation tariffs in the country and in the world.
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References 1. Ulmer, M.W., Barrett, W.T.: Meso-parametric value function approximation for dynamic customer acceptances in delivery routing. Eur. J. of Operat. Res. 285(1), 183–195 (2020). https://doi.org/10.1016/j.ejor.2019.04.029 2. INFOLine Rail Russia TOP: (2021). https://infoline.spb.ru/shop/issledovaniya-rynkov/page. php?ID=%20%20%20%20%20%20205259 3. Nash, C.: Marginal cost and other pricing principles for user charging in transport: a comment. Transp. Policy 10(4), 345–348 (2003). https://doi.org/10.1016/j.tranpol.2003.09.004 4. Rothengatter, W.: How good is first best? Marginal cost and other pricing principles for user charging in transport. Transp. Policy 10(2), 121–130 (2003). https://doi.org/10.1016/S0967070X(02)00063-X 5. Baumol, W.J., Willig, R.D.: Competitive rail regulation rules: should price ceilings constrain final products or inputs? J. Transp. Econ. Policy 33(1), 43–53 (1999) 6. Button, K.: Transportation economics: some developments over the past 30 years. J. Transp. Res. Forum 45(2), 7–30 (2010). https://doi.org/10.5399/osu/jtrf.45.2.906 7. Feng, F., Li, F.: Pricing model of railway cargo transport based on option theory. J. Railway Sci. Eng. 9(2), 72–78 (2012) 8. Biryukov, D.N., Glukhov, A.P., Kornienko, A.A.: The memory model of intelligent system proactive information security management. CEUR Workshop Proc. 2522, 1–13 (2019) 9. Zabrodin, A., Frolova, S., Glukhov, A.P.: Development of an automated system for recognizing the parameters of a railway carriage (railway tanks). CEUR Workshop Proc. 2803, 178–183 (2020) 10. Nikitin, A., Manakov, A., Kushpil, I., Kostrominov, A., Osminin, A.: On the issue of using digital radio communications of the DMR standard to control the train traffic on Russian railways. In: EEE East-West Design and Test Symposium, EWDTS 2020 – Proceedings, p. 9224707 (2020). https://doi.org/10.1109/EWDTS50664.2020.9224707 11. Fielbaum, A., Jara-Diaz, S., Gschwendera, A.: Lines spacing and scale economies in the strategic design of transit systems in a parametric city. Res. Transp. Econ. 90, 100991 (2020). https://doi.org/10.1016/j.retrec.2020.100991 12. Karlsen, S.S., Hamdy, M., Attia, S.: Methodology to assess business models of dynamic pricing tariffs in all-electric houses. Energy Build. 207, 109586 (2020). https://doi.org/10. 1016/j.enbuild.2019.109586 13. Ulmer, M.W., Thomas, B.W.: Meso-parametric value function approximation for dynamic customer acceptances in delivery routing. Eur. J. Oper. Res. 285(1), 183–195 (2020). https:// doi.org/10.1016/j.ejor.2019.04.029 14. Hao, Y., Tian, C.: A hybrid framework for carbon trading price forecasting: the role of multiple influence factor. J. Cleaner Prod. 262, 120378 (2020). https://doi.org/10.1016/j.jclepro.2020. 120378 15. Chou, J.-S., Ongkowijoyo, C.S., Ngo, N.-T., Chen, S.-Y.: Evolutionary bi-level model for optimizing ticket fares and operations profit of Taiwan high-speed rail. Res. Transp. Bus. Manag. 37, 100548 (2020). https://doi.org/10.1016/j.rtbm.2020.100548 16. Li, Q., et al.: Customers’ preferences for freight service attributes of China Railway Express. Transp. Res. Part A: Pol. Pract. 142, 225–236 (2020). https://doi.org/10.1016/j.tra.2020. 10.019
Analysis of the Customs and Transport and Logistics Infrastructure in Russia Natalya Loginova
and Tatiana Ksenofontova(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. In a dynamically changing external environment, international economic integration is a powerful and stimulating tool for the national economy development in Russia at all levels and increasing its competitiveness in world markets. Modern integration processes contribute to the successful interaction of both individual states and their economic processes. This format makes it possible to move to a qualitatively new level of relations. World experience confirms that a modern state cannot function outside of any regional association or union, however, in different regions, integration processes develop in different ways, depending on various historical, economic, cultural and other factors. The decisive role in the integration processes implementation is played by the customs and transport and logistics infrastructure of the country, region, territory. The length of transport system communication lines of the Russian Federation as of January 1, 2020 was 87.05 thousand km of public railways, 55.01 thousand km of industrial railway transport; 1.666.02 thousand km of motor roads, including 1508.03 thousand km of general use; 2.51 thousand km of tram lines; 542 km of subways, 5.21 thousand km of trolleybus lines; 101.01 thousand km of inland waterways; more than 600 thousand km of air lines served by a unified air traffic management system, trunk lines: gas pipelines - 180.02 thousand km, oil pipelines - 53.04 thousand km, oil product pipelines - 17.03 thousand km (Statistics data of 2020). Every day about 50.61 million passengers and 22.12 million tons of cargo are transported in Russia by all types of transport. Keywords: Customs · Transport · Logistics · Integration
1 Introduction The main factors that influenced the growth of freight traffic in the transport sector over the past five years are: the revival of the real sector of the economy, an increase in the main cargo-forming industries production, and an increase in retail trade turnover. Almost 70.0% of the total freight traffic is carried out by transport of various sectors of the economy.
2 Methods In this article, in order to achieve this goal - to analyze the state of the customs and transport and logistics infrastructure in Russia - the systematization of statistical data in © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 540–548, 2022. https://doi.org/10.1007/978-3-030-96380-4_59
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the areas of customs, transport and logistics activities is carried out using the methods of grouping, comparison, analysis, synthesis.
3 Results In the course of our research, we found that in Russia about 70% of the volume falls on oil, coal and oil products, while no significant changes in their dynamics and structure have been identified (Pechenko N.S., 2019). The study of the structure of the cargo air traffic volume is of interest, its results are presented in Table 1. Table 1. Air traffic structure (million tons) Index
2015
2016
2017
2018
2019
Total volume, million tons
257.3
261.1
264.3
271.7
288.1
Local traffic
20.3
20.7
21.1
21.7
18.6
Other internal transport work
237
239.4
243.2
250
269.5
Analysis of the data in Table 1 gives a possibility to draw the following conclusions: • it was revealed that the total volume of air traffic in 2019 increased by 16.4 million tons or 6.04%, while local traffic decreased by 14.29%, but other internal transport work increased by 7.80%; • it was found that, in general, there has been a steady growth in the traffic of goods by air over the period under study, however, in 2019 the volume of traffic on local routes decreased sharply, which, in our opinion, was caused by an increase in the tariff for transportation, and, as a consequence, a “transition” to another type of transport, for example, automobile [1]. Also, the analysis of the statistical data (Statistical data of 2020) made it possible to note an increase in cargo turnover in air traffic by 15.7%, which deserves a positive assessment and indicates an increase in the spatial integration of regions and the national economy as a whole. To achieve the goal of this study, let us analyze the indicators of the transport services and assets’ annual profitability, Figs. 1 and 2.
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3.5 4
13.5
1.74
3.5 4
13.4
1.72
3.45 3.91
13.42
1.7
3.4 3.89
13.3
1.65
3.3 3.8
2019 2018 2017 2016 2015 0
2
15.2 15
14.8
13
4
6
Air traffic and space transport Pipeline transport Railway transport
8
10
12
Water transport Road freight transport
14.95
14.7
14
16
Fig. 1. Annual profitability of transport services (%) for 2015–2019
3.3
2019
4.4
2018
3.1
4.35 5.4
2017
3.09
4.28 5.36
2016
3.06
4.21 5.33
2015
3 0
2
8.5
5.5
15.8 8.3 15.6 8.27 15.35 8.24 15.27 8.19
4.15 5.3 4
Air traffic and space transport
6 Water transport
15.21 8
10
Pipeline transport
12
14
Road freight transport
16
18
Railway transport
Fig. 2. Annual return on assets (%) 2015–2019
Analysis of the data in Figs. 1 and 2 allows us to conclude about the profitability of both transport services and assets concentrated in transport industry. It is important to note that high profitability was established in railway (15.2%) and pipeline (13.5%) transport, which is due to effective management on the one hand, and a favorable situation in the global and national markets. Low profitability of transport services is established in air traffic and space transport, which is due, on the one hand, to their specificity, and on the other hand, to social (for air traffic) and strategic (for space transport) significance. High return on assets was found in railway transport (15.8%), which indicates the effective management of the railway transport property [2, 3]. An important element of this study is the statistics of vehicles movement across the customs border in 2019 for each mode of transport separately (Figs. 3 and 4).
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61.11% 2019
5.20%
2018
27.04% 6.65%
6.69
2017
61.1
27.06
5.15
61.07
27.03
5.19
6.71 61.1
27.05
2016
6.68 5.17
2015
5.17 0
60.91
27.03 6.89
10
20
Air Traffic
30
Water transport
40
50
Road freight transport
60
70
Railway transport
Fig. 3. Structure of transport services’ import by transport mode for 2015–2019
59.30% 29.00% 5.50% 6.20%
2019
2018
5.46
2017
5.41
2016
5.37
59.2
29.16 6.18
59.1
29.34 6.15
59.3
29.25 6.08
59.42
29.12
2015
6.11 5.35 0
10
Road freight transport
20 Water transport
30
40 Road freight transport
50
60
Railway transport
Fig. 4. Structure of transport services’ export by transport mode for 2015–2019
Based on the data in Figs. 3 and 4 it should be noted that the market for international cargo transportation of the Russian Federation continued to decline slowly in 2019. Thus, in the first half of 2019, compared to the same period in 2018, the transportation of goods from the European Union to the Russian Federation decreased by almost 3%, the growth rate in the export direction decreased by half compared to 2018 - to 6%. This situation is due to the political factors’ influence [4].
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4 Discussion Due to the aggravated political situation, a significant reduction in the volume of transportation of goods and passengers, as well as transit traffic between Russia and Ukraine, has been established. Transport corridors of Belarus are used more and more often. At the same time, the analysis of the vehicles’ moving made it possible to observe a record amount of cargo transported in both directions (10 million tons) through the Grodekovo-Suifenhe railway border crossing (an increase of about 2.35 million tons). At the same time, the volume of imported goods amounted to 224 thousand tons (an increase of about 31.2%), and the volume of exports amounted to 9.82 million tons (an increase of about 29.02%) [5]. In addition, the analysis made it possible to establish that on the territory of the EAEU Member States the following actors were registered: 844 owners of temporary storage warehouses; 295 owners of customs warehouses; 65 owners of free warehouses (including 61 - the Republic of Kazakhstan, 4 - the Kyrgyz Republic). The total warehouse area in five countries is 23595.62 thousand m2. At the same time, the share of class “A” warehouses in their total number is currently no more than 30%. Class “A” warehouses are modern one-story buildings, the construction of which was made using high quality materials. These warehouses can carry out complex work with cargo from receipt to the warehouse to dispatch to the destination point, including handling, consolidation, packaging, labeling, etc. It should be noted that in the countries of the European Union the availability of class A warehouses in the warehouse infrastructure is currently up to 80%. The registers of the temporary storage warehouses’ owners, customs warehouses and free warehouses are updated and posted on the official EAEU website [6]. In accordance with the Decision of the Customs Union Commission dated June 22, 2011 No. 688, checkpoints across the EAEU external border classified by the type of international communication into: road (automobile), rail, sea, river (lake), air, pedestrian, mixed; and by the nature of international traffic to: cargo, passenger and cargopassenger (Decision of the Customs Union Commission dated June 22, 2011 No. 688 (as amended on 03.03.2017)). Distribution of checkpoints on the territory of the EAEU Member States in 2020 is presented in Table 2. Table 2. Distribution of checkpoints on the territory of the EAEU Member States in 2020 EAEU Member Republic of State Armenia Number of checkpoints
Republic of Belarus
Republic of Kyrgyzstan
Republic of Kyrgyzstan
The Russian Federation
Number of automobile checkpoints
4
25
9
15
117
Number of railway checkpoints
1
15
4
5
50
(continued)
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Table 2. (continued) EAEU Member Republic of State Armenia Number of checkpoints
Republic of Belarus
Republic of Kyrgyzstan
Republic of Kyrgyzstan
The Russian Federation
Number of air checkpoints
2
7
2
15
86
Number of sea checkpoints
–
–
–
2
69
Number of lake – checkpoints
–
–
–
1
Number of river – checkpoints
3
–
–
2
Number of mixed checkpoints
–
–
–
–
11
Number of pedestrian checkpoints
–
2
–
–
2
52
15
37
338
Total number of 7 checkpoints
It should be noted that the dynamics of changes in the number of checkpoints in recent years is insignificant. Total in the territory of the EAEU Member States as of 01.01.2018, according to the data published in the report of the Eurasian Economic Commission, there are 449 checkpoints at the EAEU customs border. The total length of the customs border of the EAEU countries is 6.838.1 km, while the data on the average distance between customs infrastructure facilities on the external border of countries (excluding air checkpoints) are shown in Fig. 5 [7, 8].
Average distance between the checkpoints of the Kyrgyz Republic
261
Average distance between the checkpoints of the Republic of Kazakhstan
233
Average distance between the checkpoints in the Republic of Belarus
54
Average distance between the checkpoints in the Republic of Armenia
251
Average distance between the checkpoints of the Russian Federaon
186 0
50
100
150
200
250
Fig. 5. Average distance between the checkpoints by EAEU states, km
300
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The workload of checkpoints in the EAEU states is not the same, therefore, for the unhindered crossing of the customs border by goods, it is necessary to take measures to unify the work of the existing checkpoints. Due to this the activities of EAEU and ECE Member States recently aimed at harmonizing the customs infrastructure of the EAEU member states, optimization of equipping checkpoints and maintaining the elements of the customs infrastructure in working order, which provides development of a cooperative coordinated policy for the use of the elements of the customs infrastructure by the participating EAEU States, as well as increasing the efficiency of customs control while reducing the time spent by participants in foreign economic activity [9, 10].
5 Conclusions The main results of the study are: 1.
2.
3.
4.
5.
6.
7.
8.
9.
a stable increase in the amount of cargo transported by transport of all economy sectors was established, which indicates the development of the national economy during the analyzed period; it was revealed that the largest amount of transported goods was provided by the transport of the industries of the Ministry of Transport of Russia, which is due to the specifics of the Russian transport industry development; it was found that the largest amount of cargo carried by transport of all economy sectors is provided by road transport, which is associated with its advantages over other transport modes; it should be noted about the stable growth of the railway transport quantitative indicators [11]; it was revealed that the largest volume of traffic in the transport industry corresponds to road transport (68.1%), which is due to its advantages (availability, the ability to deliver from door to door); it was revealed that railway transport and pipeline transport, despite the significant difference in the volumes of transported goods in comparison with road transport, play an important role in the course of integration processes at all levels (global, national, regional); it was found that the volume of cargo handled by rail reached 1.26 billion tons of various goods in 2019, with an increase of 3.2%, an increase indicates a positive growth in macroeconomic indicators of the national economy and the regions [12]; it was found that about 70% of the volume is accounted for by oil, coal and oil products, while no significant changes in their dynamics and structure have been revealed; it was found that the total volume of air traffic for the period increased by 16.4 million tons or 6.04%, while local traffic decreased by 14.29%, but other internal transport work increased by 7.80%, which deserves a positive assessment and indicates the growth of spatial integration of regions and the national economy as a whole; it was revealed that the profitability of both transport services and assets concentrated in the transport industry: high profitability was established on railway (15.2%) and pipeline (13.5%) transport, which is due to effective management on
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10.
11.
12.
13.
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the one hand, and a favorable situation in the world and national markets on the other hand; low profitability of transport services is established in air traffic and space transport, which is due, on the one hand, to their specificity, and on the other hand, to social (for air traffic) and strategic (for space transport) significance; high profitability of assets was revealed in railway transport (15.8%), which indicates the effective management of the railway transport property [13, 14]; it was revealed that the international cargo transportation market of the Russian Federation in 2019 continued to decline slowly, this situation is due to the political factors’ influence; a significant reduction in the volume of transportation of goods and passengers, as well as transit traffic between Russia and Ukraine, has been established. Transport corridors of Belarus are increasingly used; a record amount of goods transported in both directions (about 10 million tons) through the Grodekovo-Suifenhe railway border crossing (an increase of about 2.35 million tons) was recorded. At the same time, the volume of imported imports amounted to 224 thousand tons (an increase of about 31.2%), and the volume of exports amounted to 9.82 million tons (an increase of about 29.02%) [15]. it was found that on the territory of the EAEU Member States 844 owners of temporary storage warehouses had been registered, which is evidence of their successful spatial integration into the economy of both border regions and the national economies of these countries in general.
References 1. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., Polovnikova, N.A.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 2. Bezdudnaya, A.G., Ksenofontova, T.Y., Rastova, Y.I., Kraiukhin, G.A., Tulupov, A.S.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. 3, 76–80 (2018). https://doi.org/10.32861/jssr.spi3.76.80 3. Kim, K.K., Panychev, A.Y., Blazhko, L.S.: Dependence of the reactivity compensation degree of a synchronous compensator on its parameters. Russ. Electr. Eng. 88(10), 623–628 (2017). https://doi.org/10.3103/S1068371217100078 4. Yudenko, M.N., Chepachenko, N.V., Polovnikova, N.A., Nikolikhina, S.A.: Innovative materials in construction and their role in improving the organizations efficiency. IOP Conf. Ser. Mater. Sci. Eng. 698(7), 077024 (2019). https://doi.org/10.1088/1757-899X/698/7/077024 5. Bachurinskaya, I.A., Vasilieva, N.V., Yudenko, M.N., Nikolikhina, S.A.: “Green” technologies in housing: the experience of Russia. In: IOP Conference Series: Materials Science and Engineering. Construction and Architecture: Theory and Practice of Innovative Development (CATPID-2020), p. 042071 (2020). https://doi.org/10.1088/1757-899X/913/4/042071 6. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 7. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A.,
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N. Loginova and T. Ksenofontova Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 Selyutina, L., Pesotskaya, E., Chernykh, A.: Principles and basic provisions for a system for assessing the ecological potential of the modern ecosystem. In: IOP Conference Series: Materials Science and Engineering. The Conference Proceedings ICCATS-2020. South Ural State University (National Research University), Irkutsk National Research Technical University, Ural Federal University Named after the First President of Russia B.N. Yeltsin, p. 042029 (2020). https://doi.org/10.1088/1757-899X/962/4/042029 Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., Kosheleva, T.N., Burgonov, O.V., Kudrova, N.A.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 4302–4305 (2019). https://doi.org/10.35940/ijrte.B2821.078219 Valinsky, O.S., Titova, T.S., Nikitin, V.V., Evstaf’ev, A.M.: Modeling onboard energy storage systems for hybrid traction drives. Russ. Electr. Eng. 91(10), 604–608 (2020). https://doi.org/ 10.3103/S1068371220100119 Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002 Pesotskaya, E., Selyutina, L., Egorova, L.: Actual aspects of modeling method application in organization of construction management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044005 (2019). https://doi.org/10.1088/1757-899X/687/4/044005 Selyutina, L.G., Maleeva, T.V., Frolova, N.N.: Acceleration of regional housing development in Russia on the basis of industrial housing construction modernization. In: XXII International Scientific Conference “Construction the Formation of Living Environment” (FORM-2019). Electronic Edition. “E3S Web of Conferences”, p. 06003 (2019). https://doi.org/10.1051/e3s conf/20199706003 Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. In: MATEC Web of Conferences. 2018 International Conference on Modern Trends in Manufacturing Technologies and Equipment, (ICMTMTE 2018), p. 02011 (2018). https://doi.org/10.1051/e3sconf/201997 06003
On the Assessment of the Lack of Penetration Height During Ultrasonic Testing of Welded Joints for Railway Products Vera Konshina
and Ilya Ostanin(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. Based on the analysis of international and interstate standards for ultrasonic testing of welded joints for railway products, it was established that it is necessary to develop a methodology that allows determining the height of structural lack of penetration in one-sided joints of the main types: butt, tee-form and corner joints, in order to improve the manufactured products’ quality, as well as to increase operational reliability of the rolling stock. The paper presents an overview and theoretical analysis of methods for determining the height of planar flaws. Particular attention is paid to the factor influencing the systematic error in estimating the flaws size, as well as to the methodological features of the multi-element transducers’ emitting and receiving apertures parameters choice. Experimental studies were carried out using a modern flaw detector with specialized software, which implements the methods of electronic scanning of the “running” and “rocking” beam, on the samples with vertical deterministic reflectors, which simulated flaws of the “lack of penetration” type in the root of the weld. Based on the experimental studies’ results, it was established: methodological features were determined when choosing the equipment parameters, their adjustment and verification, as well as the errors in estimating the height of flaws in an undetected signal when determining the height of the reflector from the maximum of the echo signal and from the first half-wave of the radio signal were determined. Keywords: Railway transport · Welded joint · Non-destructive testing · Ultrasonic testing
1 Introduction According to the provisions of international GOST 33976 “Welded joints in steel structures of a railway vehicle. Requirements for design, production and quality control” for the joints subjected to longitudinal loads, one-sided welded joints with partial root penetration are allowed, while the possibility of partial penetration is confirmed by the calculations or tests of these nodes [1–6]. For the joints with partial penetration, the effective joint thickness S must be indicated, in other words, the reciprocal of the height of the constructive (permissible) lack of penetration in the joint hH (Fig. 1). © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 549–558, 2022. https://doi.org/10.1007/978-3-030-96380-4_60
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Fig. 1. Welded spot in the butt joint
The standard provides requirements for the calculation of the welded joints’ dimensions, including at the assembly stage (the dimensions of the prepared edges of the joint for welding are indicated). For butt, tee-form and corner welds with partial root penetration, the effective joint thickness S is indicated, which is 80% of the welded elements’ thickness. Minimum value S, from the point of view of the ultrasonic testing technology implementation, is 6 mm, for which the size of the height of lack of penetration hH , corresponding to 80% of the wall thickness will be 1.2 mm. Maximum value S, for which lack of penetration will be allowed - 16 mm, respectively, the maximum allowable hH will be 3.2 mm. In this case, the structural elements’ dimensions, as well as the joints of standard welded joints, must comply with the standards in force in the territory of the Russian Federation. The main types of rolling stock welded joints used in the manufacture: butt, tee-form, corner, overlapping with the thickness of the welded elements from 2 to 50 mm. Therefore, it is advisable to estimate the estimated value hws for all possible variations of standard sizes of one-sided welded joints with groove edges of the welded elements. In one-sided welded joints, lack of penetration, as a rule, is formed in the area formed by the gap between the elements to be welded and bluntness height. As a result, the expected dimensions of lack of penetration: height up to 3.0 mm, width up to 3.0 mm. The analysis of the system of standards for ultrasonic testing (hereinafter – UT) of welded joints in the manufacture of products of a railway train showed that the applied methods and technologies of ultrasonic testing in general make it possible to control welded joints with standard sizes with the required reliability. However, the typical control methods used do not allow UT welded joints with structural lack of penetration and do not regulate the methods for assessing its height [7–11].
2 Review of Methods for Assessing the Height of Planar Flaws in Ultrasonic Testing of Welded Joints During the implementation of this review, the works (including regulatory documents), which present the results of the research or provide a UT methodology, which made it possible to determine the planar flaw height in relation to the welded joint with onesided access without removing the weld reinforcement, were considered. Due to the UT modern technologies’ development the main attention is paid to the works in which the results of studies on determining the height of planar flaws using flaw detectors that implement control technology using multielement piezoelectric transducer (hereinafter – PET) (phased array) and coherent methods of data collection and UT processing are presented [12–14].
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In [15, 16], the results of the method AATT (Absolute Arrival Time Technique) implementation, using PET multi-element are described. The method implementation diagram AATT is shown in Fig. 2. At the first stage, with the sequential sounding of the crack, the coordinates of the crack tip and the dihedral angle formed by the crack and the bottom surface are recorded, with the antenna array position unchanged. At the second stage, the crack’s H height is determined by the difference in coordinates.
Fig. 2. Method implementation diagram AATT
In the introductory part of [16], attention is drawn to the fact that modern equipment makes it possible to regulate a relatively greater value of the equipment parameters in comparison with the typical traditional equipment for UT. The following example is given: traditionally, the receiver bandpass filter and the probe pulse duration are selected relative to the average (operating) frequency of the converter, while, depending on the problem being solved, the optimal value of the bandwidth, as well as the pulse duration, may differ from those recommended by the manufacturer, this is explained by the fact that in this case, the loss of control sensitivity is compensated by an increase in the signal-to-noise ratio, which in turn will make it possible to determine the flaw height with a smaller error. Similar examples are given for the sampling frequency of a digital converter (note that the sampling frequency should be at least 4 times higher than the converter frequency) for the repetition rate of the probing pulses. On the basis of the repeated experiments, the permissible deviations of the equipment parameters were established (Table 1), at which the error in determining the characteristics of cracks does not exceed: in height ±0.5 mm, by location depth (coordinates) ±1.0 m. Table 1. Permissible deviations of equipment parameters No.
Parameter
Permissible deviations
1
Longitudinal wave velocity
±80 m/s
2
Shear wave velocity
±50 m/s
3
Number of inoperative elements
Up to 12%
4
Lattice spacing
±(5–8)%
5
Sound velocity in a prism
±(40–60) m/s
6
Prism angle
±(1.5–2)°
7
Height of the first element
±1.0 mm
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The results of the experiments in [17], obtained from the results of ultrasonic testing using PET multi-element rods 25.4 mm thick with cracks of 5, 10, 15, 20, 25 and 30% of the nominal thickness indicate that the error in determining the height of cracks when using transducers with a frequency of 10 MHz was 0.4 mm. Summarizing the results of the works analyzed in this review, the following key provisions can be distinguished: – the use of modern ultrasonic technologies, with careful adjustment and verification of control parameters, as well as with the experimental selection of equipment parameters (generator and receiver), allows determining the height of planar flaws from 3 mm with a systematic error not exceeding 5%, while there is a tendency to underestimate the real crack heights up to 0.6 mm; – planar flaws up to 1.5 mm in height are difficult to assess by height; to assess such flaws, it is recommended to use the amplitude method; – when determining the flaws’ height, it is necessary to strive for the use of PET multielement with the maximum possible aperture and frequency, while taking into account that the control area is in the area where focusing is effective (in the near PET zone), also the most qualitative results are observed when using small angles of entry and a combination of longitudinal and shear waves.
3 Experimental Research In accordance with the previously performed analysis of the standard sizes of welded joints in the rolling stock manufacture, it was found that the permissible maximum kerf height should not exceed 3.2 (3.0) mm. Therefore, it is advisable at the stage of experimental studies to evaluate the error in determining the corresponding or close height to the indicated. Research objects: – sample thickness δ = 22.0 mm with a kerf, opening width 2.0 mm and actual height hactual = 3.3 mm and, respectively, the actual depth Hactual = 18.7 mm; – sample thickness δ = 14.0 mm with a kerf of 1.5 mm opening width and actual height hactual = 1, 5 mm and, accordingly, the actual depth Hactual = 12.5 mm. The research equipment was used as follows: – multichannel ultrasonic flaw detector ISONIC 2010, which implements the technology UT using PET multi-element scanning methods of “running” and “rocking” beams, with specialized software; – multi-element PET PA-4M16E0.5P No. 104377 (Frequency 4 MHz, 16 elements, element pitch 0.5 mm, element width 9 mm) on a prism VKPA-8/16 angle 36° (nominal angle of entry into steel 55°); multi-element PET PA-5M32E0.5P No. 104379 (Frequency 5 MHz, 32 elements, Pitch 0.5 mm, Width of element: 10 mm) on a prism VKPA-32 angle 36° (nominal angle of entry into steel 55°); dimension: CO-3.
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Research to determine the kerf height was carried out in several stages. The measurement technique in the general case looked as follows: 1. the maximum echo signal from the dihedral angle formed by the reflector wall and the bottom surface for the entry angle α1 = 40° is found (Fig. 3); the echo signal from the dihedral to the standard level, while fixing the values of the maximum amplitude of the echo signal Ny and depth Hy of the dihedral angle is brought (Fig. 4);
Fig. 3. Phased array installation diagram
Fig. 4. Example of a maximum amplitude measurement circuit
2. without changing PA position, an input angle and find value α2 , at which the amplitude of the echo signal from the top of the kerf will be maximum is changed (Fig. 5); the echo from the top of the kerf to the standard level, while fixing the values of the maximum amplitude of the echo NB and echo depth HB from the kerf top is brought (Fig. 6);
Fig.5. Installation diagram of a phased array
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Fig. 6. Example of a maximum amplitude measurement circuit
3. the depth of the echo from the kerf top by the first half-wave H1 is determined - by analogy with the TOFD method using an undetected (radio) signal; 4. the stages 1)–5) are repeated for angle of incidence α1 45°, 50°, 55°, 60°, 63°, 65°, 67° and 70°; The results of measurements and calculations for stage 3 are given in more detail. Measurement results Ny , Nb are shown in Table 2; Hy in Table 3; Hb and H1 , as well as the results of the kerf height calculations according to (1) in Table 4. hb = δ − Hb ; h1 = δ − H1 .
(1)
where δ is the sample wall thickness, hb is a kerf height determined from the maximum echo from the top, h1 – kerf height determined from the first wave in the echo. Tables 2, 3 and 4 do not contain measured values for α1 = 70 due to the fact that it was not possible to separate the useful signal from the kerf tip against the background of the signal from the dihedral angle formed by the wall of the reflector and the bottom surface of the sample. Table 2. Results of measurements Ny and Nb Measurement no.
α1 , degree
α2 , degree
Ny , Db
NB , dB
1
40
44
18
39
2
45
49
17
39
3
50
53
18
43
4
55
58
23
42
5
60
62
43
43
6
63
67
47
47
7
65
68
47
47
8
67
70
45
45
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Table 3. Measurement results Hy Measurement no.
α1 , degree
Hy , mm
1
40
22.6
2
45
22.4
3
50
21.9
4
55
21.6
5
60
21.2
6
63
22.6
7
65
21.8
8
67
21.8
Average value
22.0
Table 4. Measurement results Hb Measurement no.
α2 , degree
Maximum echo amplitude
On the first half wave
Hb , mm
hb , mm
H1 , mm
h1 , mm
1
44
19.2
2.8
18.7
3.3
2
49
19.0
3.0
18.6
3.4
3
53
19.1
2.9
18.7
3.3
4
58
18.9
3.1
18.6
3.4
5
62
18.9
3.1
18.7
3.3
6
67
18.5
3.5
18.3
3.7
7
68
18.6
3.4
18.3
3.7
8
70
18.5
3.5
18.3
3.7
Average value
3.2
3.5
Based on the results of the analysis of works on this topic, it was established that the correct results for determining the height of flaws were obtained for the reflectors with a height of 1.5 mm, to check this position at stage 3 of the research, the kerf height in the sample was determined as well as the calculations, the value of the kerf height was 1.6 mm with an actual height of 1.5 mm. Based on the results of processing the data obtained at stage 3 of the research, the following conclusions were made:
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• at the actual depth of the dihedral angle of 22.0 mm, the confidence interval of the measured value of the dihedral angle depth Hy = 22.0 ± 0.5 mm; • at the actual kerf height hactual = 3.3 mm: • confidence interval of the calculated value of the kerf height hb = 3.2 ± 0.3 mm, derived from the depth measurement Hb kerf at maximum echo; • confidence interval of the calculated value of the kerf height h1 = 3.5 ± 0.2 mm, derived from the depth measurement H1 the tops of the kerf on the first half wave.
4 Discussion of Results and Conclusions When using PET multi-element, the procedure for aligning the sensitivity in the range of rock angles is mandatory. Thanks to it, the following factors are taken into account and compensated for when the beam is rocking: a change in the imaginary emitter dimensions, the difference in the prism paths for each beam, and a change in the transparency coefficient value at the border of the prism-controlled object, depending on the angle of incidence. All of the above-depicted factors are necessary for the correct calculation of the focusing laws, which also affect the error in the operation of the flaw detector’s depth-measuring device. This position explains the results of determining the kerf height at the stages 1–2: the error in height varies from −0.7 to +1.9, which for the stage 1 is simply explained by the lack of sensitivity equalization, and for the stage 2 by the radiation pattern maximum shift for the angles from 50 to 65 and, accordingly, an increase in the error in determining the coordinates due to the sensitivity alignment along the angular reflector (Fig. 7, a), in Fig. 7, b for comparison, the curve was obtained on the dimension CO-3.
а)
b)
Fig.7. Curves of sensitivity equalization in the range of rocking angles: a - a curve obtained from a reflector of the “kerf” type, b - a curve was obtained as CO-3
With an increase in the size of the aperture, the resolution increased by 2 times, which made it possible to determine the kerf height with a smaller error in the range of angles from 40 to 67, versus from 40 to 63; The actual value of the dihedral angle depth formed by the reflector wall and the bottom surface of the sample corresponds to the sample thickness value δ = 22.0 mm. Confidence interval of the measured value of the dihedral angle depth Hy = 22.0 ± 0.5
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mm. This result emphasizes the inexpediency of determining the dihedral angle coordinates to determine the kerf height (lack of penetration) with a known wall thickness of a one-sided welded joint, so if a flaw is detected in the root of the weld (the size of which corresponds to the diameter of the electrode), it can be unambiguously classified as lack of penetration and considered the starting point of the height the bottom surface of the test sample. When determining the kerf height from the maximum echo from the kerf, there is a tendency to underestimate the height of the flaw up to −0.4 mm, which satisfactorily coincides with the results of work [16], when determined from the first half-wave to an overestimation up to +0.4 mm. The research results will be applied to develop a UT methodology, which will allow determining the height of permissible (structural) lack of penetration in one-sided welded joints for the railway products.
References 1. Rahimov, R.V., YaO, R.: Analysis of the state and prospects of the development of the freight wagon fleet of the Republic of Uzbekistan. Non-ferrous Metals 44(1), 7–11 (2018). https:// doi.org/10.17580/nfm.2018.01.02 2. Li, C., Luo, S., Cole, C., Spiryagin, M.: Evaluation of primary suspension benefits for heavy Haul Wagons Tiedao Xuebao. J. China Railway Soc. 40(8), 52–59 (2018). https://doi.org/10. 3969/j.issn.1001-8360.2018.08.007 3. Boronenko, Y.P., Povolotskaia, G.A., Rahimov, R.V., Zhitkov, Y.B.: Diagnostics of freight cars using on-track measurements. In: Klomp, M., Bruzelius, F., Nielsen, J., Hillemyr, A. (eds.) IAVSD 2019. LNME, pp. 164–169. Springer, Cham (2020). https://doi.org/10.1007/ 978-3-030-38077-9_20 4. Kulikov, M.Y., Sheptunov, S.A., Evseev, D.G., Kuzyutin, A.S.: Development of the concept of the predictive model of freight cars transportation in the planned repair. In: 2018 IEEE International Conference “Quality Management, Transport and Information Security, Information Technologies” (IT&QM&IS) (2018). https://doi.org/10.1109/ITMQIS.2018.8525038 5. Hu, J., Xie, L., Zhang, R., Yin, W.: Failure analysis of a crack on a train bolster. Eng. Failure Anal. 97, 32–42 (2018). https://doi.org/10.1016/j.engfailanal.2018.12.010 6. Batig, A.V., Aya, K.: Necessity to improve the mathematical model of freight cars to study cases of its derailments. Criminalistics Forensics (2020).https://doi.org/10.33994/kndise. 2020.65.43 7. Dymkin, G.Ya.: Regulations and requirements for nondestructive testing at Russian Railroads. In: 11th European Conference on Non-destructive Testing (ECNDT 2014). Proceedings of a Meeting held 6–10 October 2014, Prague, Czech Republic (2014). https://www.ndt.net/eve nts/ECNDT2014/app/content/Paper/386_Dymkin.pdf 8. Dymkin, G.Y., Kurkov, A.V., Smorodinskii, Y.G., Shevelev, A.V.: On the sensitivity of Eddy current testing of parts of railway rolling stock. Russ. J. Nondestruct. Testing 55(8), 610–616 (2019). https://doi.org/10.1134/S1061830919080059 9. Dymkin, G.Y., Konshina, V.N.: Main provisions of GOST (Intergovernmental Standard) 33514–2015 “Railway-purpose production. Verification of nondestructive testing procedures”. Rus. J. Nondestr. Test. 53(7), 539–543 (2017). https://doi.org/10.1134/S10618309 17070063 10. Hobbacher, A., Kassner, M.: On relation between fatigue properties of welded joints, quality criteria and groups in ISO 5817. Weld. World, Le Soudage Dans Le Monde 56(11–12), 153–169 (2012). https://doi.org/10.1007/BF03321405
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11. 17640 Requirements Relating To Manufacturing Constructions In The Aspect Of Conducting Ultrasonic Testing (2015) Archives of Metallurgy and Materials 60(3). DOI: https://doi.org/ 10.1515/amm-2015-0285 12. Gordeeva, L.F., Prokhorovich, V.E., Bychenok, V.A., Alifanova, I.E.: Development of an automated system for ultrasonic testing of products obtained by additive manufacturing processes. J. Phys. Conf. Ser. 1636(1), 012003 (2020). https://doi.org/10.1088/1742-6596/1636/ 1/012003 13. Pilyugin, S.O., Lunin, V.P.: Determining the probability of detecting flaws in weld joints by phased-array ultrasonic testing. Rus. J. Nondestr. Test. 52(6), 332–338 (2018). https://doi. org/10.1134/S1061830916060085 14. Daniel, D., Radoslav, K., Miloš, M.: Ultrasonic testing of Girth welded joint with TOFD and phased array. Manufact. Technol. 14(3), 281–286 (2014). https://doi.org/10.21062/ujep/ x.2014/a/1213-2489/MT/14/3/281 15. Introduction to Phased Array Ultrasonic Technology Applications: R/D Tech Guideline. R/D Tech Inc., Quebec (2004) 16. Advances in Phased Array Ultrasonic Technology Applications: Published by Olympus NDT, 48 Woerd Avenue, Waltham, Canada (2007) 17. Moles, M., Wesley, L., Sinclair, T.: Accurate flaw sizing using phased arrays and signal processing (2009)
Rupture of Flow Continuity at Hydraulic Impact in Pressure Systems from Polymer Pipes Olga Kapinos
and Nadezhda Tvardovskaya(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation [email protected]
Abstract. In pressure systems made of polymeric materials, hydraulic impacts, accompanied by a decrease in pressure below atmospheric, can occur. The resulting discontinuity of the fluid flow leads to an increase in the negative consequences of water hammering. A set of measures to reduce the likelihood of a destructive non-stationary process increases the reliability and durability of the entire pressure system as a whole and each of its elements separately, is cost-effective, expedient, especially in comparison with the cost of measures to eliminate water hammering consequences. The article discusses a modern method for calculating the water hammering parameters. An assessment of the factors influencing the nature of the unsteady process and the magnitude of pressure during a hydraulic impact is made. The analysis of the main methods aimed at preventing and minimizing the negative consequences of water hammering is given. For an integrated approach to ensuring the reliability and stability of the pressure system in various conditions, it is required to calculate the water hammering possibility. Keywords: Pressure system · Water hammering · Rupture of flow continuity · Method of characteristics · Design · Operation · Water supply and drainage systems · Polymer pipes
1 Introduction Modern pressure systems are designed and built taking into account not only the steadystate hydraulic mode of operation, but also the possibility of unsteady processes occurring in them, caused by various reasons [1–11]. Water hammering refers to unsteady modes, which can be accompanied by the appearance of pressure many times higher than the working pressure, and significant pressure fluctuations at different points of the pressure system. Under certain conditions, the pressure drops below atmospheric in the process of water hammering in the pipeline, which can lead to breaks in the fluid flow continuity. The emergence and collapse of large cavitation cavities affects the process of hydraulic impact as a whole, its duration and the values of maximum shock pressures in different parts of the pressure head system.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 559–567, 2022. https://doi.org/10.1007/978-3-030-96380-4_61
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The foundations of the water hammering theory were laid back in 1899 by N.E. Zhukovsky. Over the next century, the extensive theoretical and experimental research was carried out both in our country and abroad [12–15]. At the beginning of the twentieth century, the graphical-analytical method of calculation, developed and gradually improved by L. Bergeron, O. Shnider, S. Jaeger, M.A. Mostkov, A.A. Surin, M.M. Andriyashev, A.A. Bashkirov and others was the most frequently used. After the appearance of the article by S.A. Khristianovich in 1938 and the article publication by N.T. Meleschenko in 1941, it became possible to apply the method of characteristics developed by them to solve various practical cases of water hammering. With the development and increased capabilities of computer technology, it is the numerical method using the “method of characteristics” that has become the most relevant. The first calculation program using this method in our country was compiled by K.P. Vishnevsky. The most famous works in this direction are K.G. Asatura, G.I. Melkonyan, B.F. Lyamaeva, I.A. Charny, from the foreign researchers - V. Streeter, P. Larsen and M. Weiler. One of the main Russian regulatory documents for the designers of pressure water supply systems today is [BC31.13330.2012. Water supply. Outdoor networks and structures. Updated version of SNiP 2.04.02-84]. In this building codes in statement 11.21, it is said about the need to take “the value of the calculated internal pressure equal to the highest possible pressure in the pipeline under the operating conditions at various sections along the length (at the most unfavorable operating mode) without taking into account the pressure increase during water hammering or shock, taking into account the action of reinforcement shockproof”. Such a complex formulation indicates that it is recommended to calculate the water hammering parameters, but it is not specified, by what method the calculation is performed. However, in the building codes entered into force on May 31, 2019 [BC399.1325800.2018. External water supply and sewerage systems made of polymer materials. Design and installation rules] in the statement 5.6.3, the wording of statement 11.21 of the above-mentioned building codes is repeated, and then in the statement 5.6.4 it is noted that it is recommended to determine the water hammering pressure by a formula that takes us back a century ago - the formula of N.E. Zhukovsky. The relevance of this study lies in the fact that there is a need to substantiate the methodology for calculating the parameters of water hammering in pressure pipes made of polymeric materials, taking into account the possibility of discontinuity in the fluid flow, which has sufficient accuracy for practice. The existing regulatory documentation does not take into account the destruction possibility of pipe joints and pressure pipes themselves made of polymeric materials in the process of possible hydraulic impacts with a flow continuity rupture. The aim of the work was to establish a calculation methodology that makes it possible to take into account the discontinuities of the flow that occur during the process of water hammering in polymer pipes. For this, the following main tasks were solved: • the causes and risks of breaks in the fluid flow continuity during water hammering were investigated;
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• various calculation methods to substantiate the calculation method were analyzed, which has sufficient accuracy for practical application; • the development and assessment of methods for preventing the occurrence of discontinuities in the flow in various parts of the pressure system. The proposed calculation method takes into account not only the pressure loss due to friction, the nature of the change in the pressure and velocity at the installation site of the regulating body, but also the effect of discontinuities in the fluid flow at characteristic points along the pipeline length on the water hammering amount. The negative consequences of hydraulic impacts, accompanied by ruptures of flow continuity, in pressure systems made of polymeric materials are estimated.
2 Methods and Materials The subject of this research is the process of the discontinuities’ occurrence in the fluid flow during hydraulic impact in polymer pipes. In the process of research, the authors of the article have consistently applied such methods as theoretical, general philosophical analysis and synthesis, observation and modeling. The analysis of the causes of a water hammering with a rupture of the fluid flow continuity in pressure pipes made of polymeric materials, is carried out. The article summarizes and analyzes various methods for calculating the water hammering parameters. To describe the process of water hammering, the mathematical method of infinitesimal quantities’ analysis and the method of characteristics for the one-dimensional wave equation were used.
3 Research Results Low velocities of the shock wave front propagation during hydraulic impact, in combination with the complex profile of the pressure system with breakpoints, very often lead to a decrease in pressure below atmospheric in different parts of the pipeline. In this case, the likelihood of discontinuity in the flow increases, with the collapse of which a wave of the resulting pressure arises, which, due to the interference of waves, can cause pressure at this point and in the entire pressure system, much higher than the operating pressure. The formation of a discontinuity in the flow creates the conditions for the occurrence of a reverse fluid flow rate in the pipeline, exceeding the initial fluid velocity value at steady state. In practice, disregard for the pressure systems’ calculations under non-stationary modes leads to devastating consequences, which have been repeatedly described in the publications of the professor, Doctor and member of the DVGW (Deutsche Verein des Gas- und Wasserfaches - German Union of Water and Gas Specialists) Water hammering Committee Ludeke Horst-Joachim: a water hammering occurred in the pipeline made of high density polyethylene when all working pumps stopped and was accompanied by strong vibrations of a part of the pipeline laid above the ground, damage and partial
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violation of its fastening. The performed calculation showed that the maximum pressure reached 150 m with the maximum allowable pressure - 100 m. Thus, it can be concluded that, despite the impact elasticity and spring power of a pipe material in pressure systems, water hammering can occur, which has negative consequences in the form of a maximum shock pressure exceeding the working pressure and, at the same time, in the system, the areas with a decrease in pressure to vacuum gauge. Such unsteady movement processes that occur during transportation of various fluids by hydro-transport systems can lead to environmental pollution [12, 13]. The reasons for the destructive consequences occurrence in each specific case should be determined by calculating the parameters of a water hammering, followed by an analysis of the obtained pressure diagrams at various points of the network and proposing measures to prevent it. Since the appearance of the work of N.E. Zhukovsky and until the middle of the last century, until the advent of computer technology, which made it possible to calculate the unsteady process of water hammering using the method of characteristics on computer systems, most of the studies have been devoted to determining only the maximum value of the shock pressure. Using the method of characteristics, we derive the equations that make it possible to find the value of the pressure Hi ’ and speed Vi ’ at all design points i each construction site Y at regular intervals. √ g Mv Vi−1 + Vi+1 λ · Vi · |Vi | + V i = t; (1) (Hi−1 − Hi+1 ) − 2 2c 2DY H i =
c(Vi−1 + Vi+1 ) (Hi−1 + Hi+1 ) , + √ 2 2g Mv
(2)
where Vi is the value of the fluid flow rate at the design point Xi at the estimated time, m/s; g is an acceleration of gravity, g = 9.81 m/s2 ; c defines water hammering wave propagation velocity, m/s; Hi is the head value at design point Xi at the estimated time, m; λ is a hydraulic friction coefficient; DY is an internal diameter of the pipeline of a given structural section Y, m; Mv is the coefficient, conditionally taking into account cavitation processes along the length of the pipeline, is determined by the formula proposed by V.S. Dikarevsky [16]: Mv = 1 +
V02 , 2cVk
(3)
where Vk is the speed of fluid movement corresponding to the change in pressure by (HP + HV ) upon impact, starting with a decrease in the head or by an amount (H0 + HV ) on impact, starting with an increase in pressure, m/s. These speeds are usually determined by the formula of N.E. Zhukovsky: Vk,1 =
g g · (HP + HV ) or Vk,2 = · (H0 + HV ) c c
(4)
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Here H P , H V , H 0 determine working, vacuum and static heads, respectively, m. In the case of a prolonged decrease in pressure below atmospheric, a cavity filled with liquid vapors develops in a part of the pipeline and is called a “flow discontinuity” of the liquid. Over time, when the pressure increases wave approaches, this cavitation cavity collapses, which leads to an increase in pressure at this point and the emergence of new pressure fluctuations in the entire pressure system. To take into account the process of occurrence, development and collapse of flow continuity ruptures, the formation of such cavities is assumed only at such characteristic points as the locations of the regulating bodies (pumps, gate valves, check valves) and at the break points of the pipeline route profile. The emergence and existence of a discontinuity in the flow is assumed at a point at all times as long as the design pressure at these nodes is less than the pressure of the saturated vapor of the liquid. The discontinuity of the flow at the break point of the profile occurs only if the following condition is satisfied: sin(K) − sin(M ) >
PY ,0 /ρ · g + HV , LY
(5)
where sin(K), sin(M ) are the sines of the inclination angle of the end of the structural section Y and the next section Y + 1 in relation to the horizon, respectively; PY ,0 /ρ · g is a head value at the beginning of the structural section Y, m. LY is the length of structural section Y, m. Along the length of the pipeline, minor cavitation phenomena are taken into account by the coefficient described above Mv. The magnitude of the shock pressure is directly proportional to the propagation velocity of the shock front c, m/s, the value of which can be approximately determined by the Korteweg - Zhukovsky equation: E 1435 ρ = . (6) c= E·D 1 + ED ·δ 1 + EE·D D ·δ where: E is a bulk modulus of the pumped liquid, Pa; ρ is density of the pumped liquid, kg/m3 ; D is an inner diameter of the pipeline, m; ED is an elastic modulus of pipe material, Pa; δ defines pipeline wall thickness, m. In polyethylene and polypropylene pipes, the front propagation velocity of the water hammering wave increases by 40% or more due to the elastic compression of the pipe by the soil. Using the above-noted dependences (1)–(6), which take into account the pipeline profile, the nature of the regulating body, the possibility of discontinuities in the fluid flow, cavitation processes in pipelines and elastic compression of the pipe with soil, calculations of unsteady modes in pressure systems are carried out. Below is a graph (Fig. 1) of the pressure change during the water hammering caused by the pump shutdown. According to the experimental data, the propagation velocity of the shock wave was 680 m/s. As it can be seen from the diagram, before the approach of the second
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wave of pressure increase at the check valve, the pressure drops below atmospheric more significantly than in the first phase of pressure decrease.
130
H, m
H=123 m
110 90
H=134 m 2 1
70 50 30 10 -10 0
3
6
9
12
15
18
21
24
27 t, s
Fig. 1. Graphs of pressure change at the check valve at the pump: 1 – experimental plot; 2 – calculated plot.
Graphs of pressure changes during water hammering can be built for any point of the pressure system, which makes it possible to select methods of shock protection most effectively. The best way to minimize the effects of water hammering is to eliminate the possibility of it occurring. By definition, water hammering occurs due to a sharp change in the water movement speed, which can be caused by opening or closing a valve, starting or stopping a pump. Therefore, it is possible to fight even with such a cause of water hammering as a power outage, and as a result, the shutdown of pumps, it is possible by using an emergency power source and frequency regulation. To prevent breaks in the flow continuity, it is necessary to comprehensively resolve the issue of laying the pipeline route. It may be necessary to split the route into separate sections and use several pumping stations; to minimize the number of breakpoints of the profile, in which the condition of the possibility of discontinuities in the flow continuity is observed (formula (5)). However, the best way to protect the pressure system from hydraulic impacts is possible only when calculating its parameters. To mitigate the negative consequences, air or water can be admitted to the areas of possible pressure drop below atmospheric. Water or air acts as a shock absorber, which reduces the values of both the maximum and minimum pressures in the entire system. The method has its limitations in application, such as cumbersomeness, quality assurance of transported water, high cost. But on the pumping station territory, with the possibility of lowering the pressure below atmospheric, the inlet of water or air is very effective and reliable. In the case of the possibility of comprehensive calculations for various modes of water hammering parameters, a simple method of shock protection - dividing the route into sections using the installed check valves, can be used. In the event of a water hammering, the check valves, when the water moving in the opposite direction approaches, will split the pipeline into separate sections. The application of this method requires a calculation
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taking into account the valve response time and the installation location of the device on the route. In the case of the above-ground pipelines, it is necessary to take into account the longitudinal axial forces that act on the above-ground sections of the pipeline at the pipeline rack. The use of new materials for the manufacture of pipes themselves, supports for laying pipes [14] should not only be economically justified, but also meet the criteria of reliability and durability. The criterion for the applicability of a particular method of shock protection is not only its cost, but also the cost of measures to eliminate accidents that can occur during a hydraulic impact. A set of sufficient and effective measures should be based on the calculations, and not on the assumptions about the pressure magnitude at various characteristic points of the system.
4 Discussion Manufacturers of various plastic pipes in accompanying documents and internal instructions emphasize that flexible and resilient plastic pipes are more resistant to water hammering than the pipes of a similar diameter and transport capacity, but made of steel or cast iron. It is understood that the calculation of the magnitude of the maximum shock pressure for possible water hammering in such pipes is not required. These statements are based on the reasoning that the magnitude of the shock pressure during a hydraulic impact is directly proportional to the shock wave propagation velocity front magnitude, which ranges from 250 to 450 m/s for the pipes made of polymer materials, which is much lower than for steel or cast-iron pipes. Such reasoning does not take into account either the wave nature of the water hammering process, nor the profile of the pipeline, nor the influence of the soil elastic properties. Very often the data is referred to in accordance with the NPG (Nordiska Plastror Gruppen). Referring to the source [5] in the statement 2.3.1, we find: “It is usually considered that pipes made of thermoplastics (PE, PP and PVC) do not require calculation for water hammering if the maximum pressure in the pipeline during water hammering does not exceed 1.5 times the nominal pressure”. It only means that first it is needed to calculate the parameters of the water hammering, find out the maximum value of the shock pressure, compare it with the pressure during steady motion, and only then draw a conclusion about the need to use methods and devices that prevent the water hammering itself or reduce its negative consequences. On the next page [5] in the statement 2.3.1: “Pressure pipelines must be designed so that the negative pressure in them never reaches a level at which a vacuum could occur.” For polymer pipes, the appearance of even a short-term decrease in pressure below atmospheric pressure can be fraught with a decrease in the tightness of butt joints, followed by their destruction and bulging of the pipes. New computer technologies were the impetus for the creation of various software systems that make it possible to determine the fluid movement pressure and velocity values in the calculated nodes inside the pipeline section throughout the entire unsteady process.
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Formula (1), which the modern building codes refer to, is not able to take into account the interference of waves, changes in the flow rate over time, the profile of the pipeline during hydraulic impact in a pressure system made of any pipe material. As the accidents that have already occurred on the existing systems show, the statement about the specificity and uniqueness of the polymeric material for pipes is untenable. To date, only calculation methods based on the method of characteristics are of practical value, at least for a one-dimensional wave equation. After analyzing the calculation results, it is possible to draw conclusions about the performance indicators of the pressure head system, which most significantly affect the magnitude of the shock pressure and the nature of the entire process as a whole. Based on the comprehensive calculations carried out, it is possible to select a set of anti-shock measures and check its effectiveness by simulating the flow process of a water hammering with the adopted method of protection. In the case of calculation using only the formula that determines the maximum shock pressure value, the use of effective protection is questionable. A disdainful attitude towards the development of a set of measures to prevent or mitigate the negative consequences of a water hammering leads to a decrease in the reliability of the entire system as a whole [15], and subsequently to increased costs for carrying out the measures to eliminate the accident and implement the anti-shock protection measures. In practice, very often, after a catastrophic water hammering has occurred, even excessive shockproof protection is provided [8].
5 Conclusion The presented results prove that it is impossible to reduce the water hammering parameters’ calculations only to the determination of the maximum shock pressure value. The use of the method of characteristics for modeling the process of water hammering in pressure systems made of polymer materials makes it possible to determine the places of flow continuity breaks, the value of the pressure drop below atmospheric and the maximum pressure values in the system, taking into account all factors, thereby allowing to select an effective and sufficient set of measures for shock protection.
References 1. Al Bkoor Alrawashdeh, K., Al-Samrraie, L.A., et al.: Investigation of the influence of dimensions and material of the pipes on the water hammering effect in microbial fuel cells wastewater treatment plants. Sustain. Energy Technol. Assess 44, 100990 (2021). https://doi.org/10. 1016/j.seta.2020.100990 2. Mahdi Behroozi, A., Vaghefi, M.: Numerical simulation of water hammering using implicit Crank-Nicolson local multiquadric based differential quadrature. Int. J. Press. Vessel. Piping 181, 104078 (2020). https://doi.org/10.1016/j.ijpvp.2020.104078 3. Cao, H., Mohareb, M., Nistor, I.: Partitioned water hammering modeling using the block Gauss-Seidel algorithm. J. Fluids Struct. 103, 103260 (2021). https://doi.org/10.1016/j.jfluid structs.2021.103260
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4. Daude, F., Tijsseling, A.S., Galonad, P.: Numerical investigations of water-hammer with column-separation induced by vaporous cavitation using a one-dimensional Finite-Volume approach. J. Fluids Struct. 83, 91–118 (2018). https://doi.org/10.1016/j.jfluidstructs.2018. 08.014 5. Kumar Garg, R., Kumar, A.: Experimental and numerical investigations of water hammering analysis in pipeline with two different materials and their combined configuration. Int. J. Press. Vessel. Piping 188, 104219 (2020). https://doi.org/10.1016/j.ijpvp.2020.104219 6. Henclik, S.: Application of the shock response spectrum method to severity assessment of water hammering loads. Mech. Syst. and Signal Proc. 157, 107649 (2021). https://doi.org/10. 1016/j.ymssp.2021.107649 7. Kandil, M., Kamal, A.M., El-Sayed, T.A.: Effect of pipe materials on water hammering. Int. J. Press. Vessel. Piping 179, 103996 (2020). https://doi.org/10.1016/j.ijpvp.2019.103996 8. Lashkarbolok, M., Tijsseling, A.S.: Numerical simulation of water-hammer in tapered pipes using an implicit least-squares approach. Int. J. Press. Vessel. Piping 187, 104161 (2020). https://doi.org/10.1016/j.ijpvp.2020.104161 9. Mery, H.O., Hassan, J.M., Ekaid, A.L.: Viscoelastic loop strategy for water hammering control in a pressurized steel pipeline. Mat. Today: Proc. (2021). https://doi.org/10.1016/j.matpr.2021. 05.441 10. Pistiner, A.: A self-similar solution for the water hammering equation used in an infinite long pipeline. Int. J. Press. Vessel. Piping 192, 104438 (2021). https://doi.org/10.1016/j.ijpvp.2021. 104438 11. Yang, Z., Zhou, L., Dou, H., Lu, C., Luan, X.: Water hammering analysis when switching of parallel pumps based on contra-motion check valve. Ann. Nucl. Energy 139, 107275 (2020). https://doi.org/10.1016/j.anucene.2019.107275 12. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Accident at river-crossing underwater oil pipeline. MATEC Web of Conf. 239, 06003 (2018). https://doi.org/10.1051/matecconf/ 201823906003 13. Ryzhova, L.V., Titova, T.S., Gendler, S.G.: Ensuring environmental safety during the construction and operation of tunnels in residential areas. Proc. Eng. 189, 404–410 (2017). https:// doi.org/10.1016/j.proeng.2017.05.064 14. Petrova, T.M., Chistyakov, E.Y.: Geotechnical problems of transport construction and their solutions. Geotechnics fundamentals and applications in construction: new materials, structures, technologies and calculations. In: Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations (GFAC 2019), pp. 250–253 (2019). https://doi.org/10.1201/ 9780429058882-49 15. Terekhov, L.D., Mayny, S.B., Chernikov, N.A.: Experimental study of soil thawing around shallow sewage pipelines in winter. Water Ecol. 24(4), 71–78 (2019). https://doi.org/10.23968/ 2305-3488.2019.24.4.71-78 16. Kapinos, O., Tvardovskaya, N.: Extent of influence of various factors at pressure size at water hammerings. Municipal services of cities. Ser. Tech. Sci. Archit. 114, 122–126 (2014)
The Results Analysis of the Tubing Tunnel Facing Mathematical Modeling Using the Reduced Sections Alexander Konkov1
, Anton Sokornov1(B)
, and Konstantin Korolev2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St.
Petersburg 190031, Russian Federation 2 Siberian Transport University, 191 Dusi Kovalchuk Street,
Novosibirsk 630049, Russian Federation
Abstract. Tubing facings are the cast-iron or reinforced concrete structures for fastening tunnels, characterized by low material consumption with optimal stiffness properties. When modeling these facings by the finite element method with modern computational systems, the creation of models of tubing elements - longitudinal and transverse sides, back and stiffeners - leads to an increase in the number of model elements, which ultimately increases the time for creating a model and solving the problem. Therefore, for modeling tubing facing, the same principle as for modeling block facing is often applied - replacing the real section of the structure with a solid section with equivalent stiffness. In this case, it is very important to establish to what extent the calculations of the reduced section’s facing allow obtaining correct results for checking the strength of the sections and assessing the magnitude of the structure’s deformations. The authors analyzed this modeling approach using the example of two types of subway station facings made of cast-iron and reinforced concrete tubing and the corresponding facings of a reduced rectangular cross-section. Keywords: Tunnel facing · Block · Tubing · Underground · Stiffness · Stress-strain state
1 Introduction Currently, in the practice of tunneling, to simplify the engineering calculations, it is customary to model prefabricated block facing of tunnels with spatial pipes of solid section [1–4]. This approach is justified for a fundamental assessment of the geo-mechanical processes of the “facing - soil mass” system [5, 6], to determine the sediment of the daylight surface [7], to create monitoring systems for engineering structures [8]. The same principle seems to be true for the cases of tubing tunnel facing, in which the design sections of the simulated tubing facing are replaced by the solid (reduced) ones, based on the following stiffness equation: EI = E
bh3 , 12
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 568–576, 2022. https://doi.org/10.1007/978-3-030-96380-4_62
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whence the solid facing section height of the reduced stiffness is determined as 3 12I , h= b where E is the deformation modulus of facing (cast iron or concrete); I is a moment of inertia of the tubing facing calculated section; b is a facing ring width. Similarly, a cast-iron tubing facing with an outer diameter of 9.5 m, a side height of 350 mm, a ring width of 750 mm can be represented by a solid rectangular ring with a height of 234 mm (Fig. 1).
Fig. 1. Cross-section of a cast-iron tubing facing with a diameter of 9.5 m: a) actual, b) reduced
This approach is distinguished by simplicity of modeling, the ability to quickly create a mathematical model and, accordingly, the calculation speed itself, which is especially important when creating spatial multi-element “heavy” models of extended structures [9] or their facing in combination with temporary fastening systems [10]. However, the degree of the results convergence of the “reduced” calculation with the results of the calculation of a real structure is of great importance. At present, the assessment of such convergences has been sufficiently performed for block facing, taking into account the high level of detail not only of individual blocks [11], but also their connections [12–15]. In this article, the authors carried out a preliminary assessment of the results’ convergence of calculating real tubing facing and the corresponding facing of the reduced section.
2 Formulation of the Problem Within the framework of this study, mathematical modeling of the cast-iron and reinforced concrete station tubing facing of the actual section, as well as the corresponding facing of the reduced section, was carried out to compare the stress-strain state of the facing and the surrounding soil mass. In total, four models have been investigated: two facing made of cast iron tubing with a diameter of 9.5 m (actual and reduced section) and two facing made of reinforced concrete tubing with a diameter of 8.5 m (actual and reduced section). Laying conditions are the same in all created models: homogeneous isotropic soil massif composed of Verkhnekotlinsky clays (C = 81 kPa, ϕ = 23°, E = 100 MPa), dimensions of the investigated space 50 × 30 × 1.5 m, the amount of weight from the overlying layers of Quaternary sediments 500 kPa, which is equivalent to pressure ~25 m of soil. Tubing facings were modeled with the following assumptions:
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– the smooth outlines of the tubing sections were replaced by the simplified rectangular ones using the average thicknesses of the backs and sides; – the facing was modeled perfectly rigid, that is, without weakening in the joints, but at the same time the dressing of the facing joints was taken into account. Figure 2 shows a mathematical model of facing a station tunnel with an outer diameter of 9.5 m from cast iron tubing and the corresponding facing model of a reduced section, and Fig. 3 shows a mathematical model of facing a station tunnel with an outer diameter of 8.5 m made of reinforced concrete tubing and the corresponding facing model reduced section. When modeling reinforced concrete facing, a nonlinear model of concrete deformation was used, the main provisions of which are described in [16–18]. The calculations were carried out in the MIDAS GTS NX software package by the finite element method.
Fig. 2. Facing of the station tunnel with an outer diameter of 9.5 m from cast-iron tubing (a) and the corresponding facing model of the reduced section (b)
Fig. 3. Facing of the station tunnel with an outer diameter of 8.5 m from reinforced concrete tubing (a) and the corresponding facing model of the reduced section (b)
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3 Facing Deformation Analysis Despite the similar qualitative nature of the facing deformations, the expected numerical displacements convergence was not observed. The data presented in Table 1 show that the deformations of the tubing facings turned out to be greater in value than the rings deformations of the reduced section. Table 1. Comparative deformations of facing Facing type
Facing deformation, mm Actual cross-section/reduced cross-section Vault
Percent
Culvert
Relation
∅9.5 m, cast iron, planking 350 mm
−6.6/−6.3
−4.5%
12.9/10.9
−15.5%
∅8.5 m, reinforced concrete, planking 400 mm
−4.4/−4.2
−4.5%
10.7/10.5
−1.9%
According to the authors, such a discrepancy in the deformation values is caused by the fact that from the action of compressive normal forces N compression values appear in the sections in accordance with the formula: l =
Nl , EA
where l, E and A are the original length, deformation modulus and cross-sectional area of the compressible element respectively. It is well-known that the moment of a thin-walled structure’s section inertia is provided not so much due to the areas of the elements that make up the section, but due to the squares of the distances from the centers of these elements’ mass to the neutral axis of the section (this follows from the classical formula Ix = A y2 A). Whereas in an equivalent solid rectangular section near the neutral axis a large area is concentrated, due to which the same moment of inertia is provided. Let us estimate the order of the resulting compression deformation using the example of a facing made of cast iron tubing with an outer diameter of 9.5 m without taking into account the uneven compression of the sections. The total length of the ribs on the inner side of the ring will be C = 2π R = 6.28 · 4.75 = 29.83 m ≈ 30 m The area of the compressed zone of tubing A is equal to 0.0280 m2 , modulus of cast iron deformation is 110 000 000 kN/m2 , the normal force magnitude is assumed to be averaged, equal to 1000 kN. Then the compression of the structure along the inner side will be: l1 =
−1000 kN · 30 m = −0.0097 m = −9.7 mm 110000000 kN/m2 · 0.0280 m
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Similarly for the reduced section with the area of the compressed zone 0.0878 m2 : l2 =
−1000 kN · 30 m = −0.0031 m = −3.1 mm. 110000000 kN/m3 · 0.0878 m2
Thus, in the formulation of the problem considered by us, the compressive deformations in a thin-walled structure turned out to be approximately three times greater in modulus than in the reduced section. In this case, the change in radial deformations will be: R =
C + l 2π R + l l C = = =R+ 2π 2π 2π 2π
Circular increment l leads to an increment of radial deformations l/2π , which in the case of the considered tubing facing is 9.7/2π = 1.5 mm. That is, the additional radial deformation due to the cast-iron tubing facing section compression is of the order of a millimeter, which is confirmed by the data in Table 1. Obviously, for thick-walled sections (for example, for the case of facing with reinforced concrete tubing), this effect will be less pronounced (see Table 1).
4 Analysis of Stresses in Facing and Soil Mass The maximum values of stresses in the tubing and solid facing elements differ more significantly than deformations. In terms of absolute values, the stresses differ by one and a half to two times in a larger direction when modeling tubing, in comparison with the reduced section. At the same time, the difference decreases in the case of reinforced concrete tubings with a thick-walled section of elements (Fig. 4, Table 2).
Fig. 4. Isofields of stresses in the facing: a) facing of the station tunnel with an outer diameter of 9.5 m from cast-iron tubing; b) the corresponding facing model of the reduced section; c) facing of the station tunnel with an outer diameter of 8.5 m from reinforced concrete tubing; d) the corresponding facing model of the reduced section
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Table 2. Comparative stresses in facing Facing type
Stresses in facing, MPa Actual cross-section/reduced cross-section Stretching Percent Compression
∅9.5 m, cast iron, planking 350 mm
2.47/2.67
∅8.5 m, reinforced concrete, planking 400 mm 2.85/2.45
Percent
+8
−75.11/−33.11 −56
−14
−24.15/−18.93 −22
Having set the values of the maximum stresses for the reduced section on the tubing facing stress isofields, it is possible to observe the maximum stresses’ concentration in circumferential ribs (Fig. 5). Thus, modeling of tubing facings with rings of equivalent stiffness makes it possible to preliminarily estimate the order of stresses, while a detailed calculation shows the presence of stress concentrations in specific tubing elements, and their values differ significantly from the average stress level.
Fig. 5. Places of stress concentration exceeding the similar ones in solid-section facing: a) for facing the station tunnel with an outer diameter of 9.5 m from cast-iron tubing; b) for facing the station tunnel with an outer diameter of 8.5 m from reinforced concrete tubing
At the same time, in terms of stresses in the array, there is no tangible difference in the presentation of facing elements with tubing or reduced cross-sections (Table 3). Table 3. Comparative voltages in the array Facing type
Array stresses, kPa Actual cross-section/reduced cross-section Vault
∅9.5 m, cast iron, planking 350 mm
Percent Culvert
Percent
−570/−575 +0.8
−680/−690 +1.5
∅8.5 m, reinforced concrete, planking 400 mm −600/−590 −1.6
−670/−680 +1.5
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5 Analysis of the Correlation Between the Stress-Strain State of Facing and the Upper Soil Load At the next stage of the study, an assessment of the change in deformations and stresses in the considered facing was made, depending on the upper soil load magnitude with soils of Quaternary deposits. Four mathematical models of tubing facing and solid facing were designed for different weights: 500, 600, 700 and 800 kPa/m2 , which corresponds to the roof depths of the Verkhnekotlinsky clays ~25, 30, 35 and 40 m respectively. From the graphs shown in Figs. 6 and 7, it follows that the nature of the change in stresses and deformations is close to linear, both in tubing and in facing of the reduced solid section.
Fig. 6. Graph of the change in arch vault deformation from the upper soil load
Fig. 7. Graph of the change in the maximum compressive stresses from the upper soil load
6 Conclusions 1. Modeling of tubing tunnel faced by facing of a solid section with equivalent stiffness is distinguished by the simplicity of constructing the model geometry and the speed of the calculation itself. However, this approach has a number of disadvantages.
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2. During deformation of thin-walled sections of tubing facing, a contribution from the action of compressive forces in individual elements of the section makes a contribution to the overall deformation of the structure. With an increase in the area of cross-sectional elements, this effect manifests itself to a lesser extent. 3. Modeling tubing facing by facing of a solid section of reduced stiffness makes it possible to estimate the order of stresses arising in facing, but not their concentration in the tubing elements. At the same time, in terms of stresses in the soil massif, there is no tangible difference between modeling facing with tubing or solid sections. 4. It was found that in tubing facing and corresponding facing of equivalent stiffness, the ratio of deformations and stresses is retained when the loads on the facing change. 5. The conducted studies show that the results of calculating the facing of the reduced cross-section are admissible for preliminary modeling at the stage of considering design options, to assess the effect of surface construction on the existing underground structures (in terms of establishing the level of stress change), to obtain a picture of the stress-strain state of the upper soil load enclosing the tunnel. However, when justifying the choice of the type of facing in the design, it is necessary to build the detailed models of tubing.
References 1. Marwan, A., Gall, V.E., Alsahly, A., Meschke, G.: Structural forces in segmental linings: process-oriented tunnel advance simulations vs. conventional structural analysis. Tunnel. Undergr. Space Technol. 111, 103836 (2021). https://doi.org/10.1016/j.tust.2021.103836 2. Lediaev, A.P., Konkov, A.N., Novikov, A.L., Soloviev, D.A.: Influence evaluation of buildings constructed in protected zone on St. Petersburg subway underground structures stress-strain state. Proc. Eng. 189, 492–499 (2017). https://doi.org/10.1016/j.proeng.2017.05.079 3. Yo, F., Wang, H., Guo, J., Chen, Z., Wu, C.: Study on the mechanical behavior and the model test of segmental facings for the shield tunnel undercrossing the yellow river. Proc. Eng. 166, 19–31 (2016). https://doi.org/10.1016/j.proeng.2016.11.532 4. Ha, J., Tatone, B.S.A., Gaspari, G.M., Grasselli, G.: Simulating tunnel support integrity using FEM and FDEM based on laboratory test data. Tunnel. Undergr. Space Technol. (2021). https://doi.org/10.1016/j.tust.2021.103848 5. Wang, S., He, C., Nie, L., Zhang, G.: Study on the long-term performance of cement-sodium silicate grout and its impact on segment facing structure in synchronous backfill grouting of shield tunnels. Tunnel. Undergr. Space Technol. (2019). https://doi.org/10.1016/j.tust.2019. 103015 6. Guo, P., Gong, X., Yi, W., Lin, H., Ya, Z.: Minimum cover depth estimation for underwater shield tunnels. Tunnel. Undergr. Space Technol. (2021). https://doi.org/10.1016/j.tust.2021. 104027 7. Zhong, Z., Li, C., Liu, X., Fan, Y., Liang, N.: Analysis of ground surface settlement induced by the construction of mechanized twin tunnels in soil-rock mass mixed ground. Tunnel. Undergr. Space Technol. (2021). https://doi.org/10.1016/j.tust.2020.103746 8. Mu, B., Xie, X., Li, X., Li, J., Shao, C., Zhao, J.: Monitoring, modelling and prediction of segmental facing deformation and ground settlement of an EPB tunnel in different soils. Tunnel. Undergr. Space Technol. (2021). https://doi.org/10.1016/j.tust.2021.103870
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9. Fabozzi, S., Biancardo, S.A., Veropalumbo, R., Bilotta, E.: I-BIM based approach for geotechnical and numerical modelling of a conventional tunnel excavation. Tunnel. Undergr. Space Technol. (2021). https://doi.org/10.1016/j.tust.2020.103723 10. Ivanes, T.V., Kavkazskiy, V.N., Shidakov, M.I.: Geomechanical tasks solving in modelling of temporary support parameters in Sochi tunnels. transportation geotechnics and geoecology, TGG 2017, Saint Petersburg, Russia (2017). https://doi.org/10.1016/j.proeng.2017.05.036. 11. Ledyaev, A.P., Kavkazsky, V.N., Ivanes, T.V., Benin, A.V.: Study in the structural behavior of precast facing of a large diameter multifunctional tunnel performed by means of finite elements analysis with respect to Saint-Petersburg geological conditions. Civ. Env. Eng. 15(2), 85–91 (2019). https://doi.org/10.2478/cee-2019-0012 12. Ye, Z., Liu, H.: Investigating the relationship between erosion-induced structural damage and facing displacement parameters in shield tunneling. Comp. Geot. (2021). https://doi.org/10. 1016/j.compgeo.2021.104041 13. Wang, F., Shi, J., Huang, H., Zhang, D.: Modified analytical solution of shield tunnel facing considering nonlinear bending stiffness of longitudinal joint. Tunnel. Undergr. Space Technol. (2020). https://doi.org/10.1016/j.tust.2020.103625 14. Chaipanna, P., Jongpradist, P.: 3D response analysis of a shield tunnel segmental facing during construction and a parametric study using the ground-spring model. Tunnel. Undergr. Space Technol. 90, 369–382 (2019). https://doi.org/10.1016/j.tust.2019.05.015 15. Liu, J., et al.: A study on damage mechanism modelling of shield tunnel under unloading based on damage–plasticity model of concrete. Eng. Failure Analys. (2021). https://doi.org/ 10.1016/j.engfailanal.2021.105261 16. Benin, A.V., Semenov, A.S., Semenov, S.G., Beliaev, M.O., Modestov, V.S.: Methods of identification of concrete elastic-plastic-damage models. Magaz. Civ. Eng. 8(76), 279–297 (2017). https://doi.org/10.18720/MCE.76.24 17. Beliaev, M., Semenov, A., Semenov, S., Benin, A.: Simulation of pulling the reinforcing bar from concrete block with account of friction and concrete damage. MATEC Web Conf. 2016, 04010 (2016). https://doi.org/10.1051/matecconf/20167304010 18. Benin, A., Guzijan-Dilber, M., Diachenko, L., Semenov, A.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S Web Conf. 157, 06018 (2020). https://doi.org/10.1051/e3sconf/202015706018
Modeling of Dynamic Crack Propagation Under Quasistatic Loading Nikita Kazarinov1(B)
, Yuriy Petrov2
, and Andrey Benin1
1 Emperor Alexander I St. Petersburg State Transport University, 9, Moskovskiy Avenue, St. Petersburg 190031, Russian Federation 2 Institute of Problems of Mechanical Engineering, Russian Academy of Sciences, 61, Bolshoy Avenue VO, St. Petersburg 199178, Russian Federation
Abstract. The paper considers a numerical study of the dynamic crack propagation in samples subjected to static loading. Experiments on dynamic crack propagation in samples of PMMA (polymethylmethacrylate) due to quasistatic stretching were simulated. The position of the crack tip and the current crack velocity were recorded in the experiments. The study showed that the ultimate crack velocity was significantly lower than the theoretically evaluated limiting value. An unstable behavior of the crack velocity was also found: the crack velocity oscillations were observed, with the amplitude of the oscillations increasing as the crack grows. In order to simulate the experiments, a numerical scheme was developed. The scheme is based on the finite element method and the structural-temporal fracture criterion. According to this criterion, the fracture scale level is set (namely, the minimum value of the crack advancement is introduced), and the characteristic fracture time is used – the incubation time parameter, which is considered to be a material parameter. This approach provides possibility to numerically obtain the discussed experimental results including considerable crack velocity oscillations. Keywords: Dynamic fracture · Crack propagation incubation time · Crack velocity oscillations · Finite element method
1 Introduction Dynamic crack propagation is one of the most difficult areas of dynamic fracture mechanics since numerous experimentally observed effects require a proper theoretical explanation. Both fundamental and practical aspects of the propagating crack phenomenon are important, as on the one hand, studies of the moving crack can reveal the fundamental laws of fracture mechanics [1] and on the other hand, the problems of initiation and propagation of cracks are also important for engineering practice. Despite the fact that in some cases uncontrolled dynamic crack propagation is considered as a dangerous phenomenon [2, 3], crack initiation can also be a desirable phenomenon, for example in the oil and gas industry [4]. In the second half of the 20th century, various analytical results for moving cracks were obtained. In the works by Broberg [5], Kostrov [6], Freund [7], Slepyan [8], Achenbach and Bazant [9] it is possible to find analytical formulas © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 577–585, 2022. https://doi.org/10.1007/978-3-030-96380-4_63
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characterizing the stress field in the neighborhood of a moving crack tip, considerations concerning energy release rate and theoretical predictions of the ultimate crack velocity. Systematic experimental studies of the dynamic propagation of cracks in brittle solids began in the second half of the 20th century due to development of experimental capabilities, in particular the appearance of high-speed photography and other methods of recording the position of the crack tip. Notable results can be found in works by Ravi Chandar and Knauss [10], Fineberg et al. [11], Kobayashi and Dally [12], Kalthoff et al. [13], Zehnder and Rosakis [14], and Maigre and Rittel [15]. The discovered phenomena and effects often extended beyond the classical concepts of the static strength of materials, requiring the development of conceptually new models and approaches. It was found that some dependencies and parameters characterizing the crack propagation process exhibit unstable behavior. The following phenomena can be mentioned here: crack velocity fluctuations and discrepancy between theoretical and experimentally observed limiting crack velocity [11], instabilities of the stress intensity factor (SIF) at crack initiation (Kalthoff and Shockey [16]), fracture mode change effects [17], problem of the stress intensity factor – crack velocity ratio [18, 19]. Dynamic models and fracture criteria are often created on the basis of static strength criteria. Therefore, one of the common models for predicting the crack motion is actually an extension of the Irwin fracture criterion [20] to the dynamic case. The model assumes that the current value of the stress intensity factor is a function of the crack velocity, and this dependence is treated as a material property [14, 21]. At the same time, it is noted in a number of works that this dependence is not unique and may depend on the shape of specimens and the loading rate [10, 19]. The work [22] propose the concept of minimum time fracture model which is based on the authors’ experimental observations. The authors of [22] suggested that high stresses need to act for a certain time interval depending on the history and loading nature for fracture to occur. The cohesive zone method is also a common approach for describing crack initiation and movement [23]. In the presented work, the structural-temporal fracture criterion is used to describe a number of fundamental effects of the dynamic fracture.
2 Structural and Temporal Fracture Criterion The structural-temporal fracture criterion was proposed in works [24, 25]. This approach introduces the concept of a spatial fracture cell with finite dimensions, which determines the scale level of fracture. The notion of a characteristic fracture time - incubation time τ being treated as a material parameter is also introduced. This parameter is related to the relaxation processes that precede macroscopic fracture. The condition of fracture at the point of space x at time t is written in the form of the following inequality: 1 t 1 x σ x , t dx dt ≥ σC (1) τ t−τ d x−d In (1) σC is the static critical stress of the material, σ (x, t) is the normal stress at the crack continuation at point x at time t, d is the linear dimension determining the length of the minimum crack advance and therefore the scale level of the fracture registration. Shorter cracks are accounted for by means of the incubation time parameter. It is considered that
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the recorded fracture is a consequence of preparatory relaxation processes occurring at lower scales such as nucleation, development and coalescence of pores, defects and microcracks. The parameter d is calculated using the formula d=
2 2KIC
π σC2
(2)
In (2) KIC is the critical SIF. The use of formula (2) allows a transition to the classical static fracture criterion at low loading rates. The incubation time criterion implies an incubation period preceding the macroscopic rupture of the material. In this case, the incubation process is an essential factor in the development of fracture and occurs in cases of both quasistatic and fast impact loads. Presence of the incubation period of fracture under dynamic loading causes some specific fracture effects. These effects include the dependence of the material strength on the strain rate. Consider the following simple interpretation of the incubation time: fracture in a one-dimensional rod caused by a slow (fracture time is much longer than the incubation time) linearly increasing tensile stress σ (t) = σ˙ tH (t) in a uniformly stressed undamaged sample, where σ˙ = const and H (t) the Heaviside step function is considered. By substituting F(t) = σ (t) in the criterion (1) the time to failure t ∗ = σc /σ˙ +0.5τ can be calculated and the critical stress value at failure σ ∗ = σ (t ∗ ) = σc + 0.5σ˙ τ where σc = Fc is the table value of the material static strength. In the case of very slow stress growth (σ˙ τ )/σc 1 the ultimate stress is not very different from the static strength σ ∗ ≈ σc . The resulting equations show that according to (1), the material remains undamaged at the moment the static strength limit tc = σc /σ˙ is reached. It is crucial that preparatory processes with a characteristic time period τ develop in the material structure before the beginning of macroscopic fracture (Fig. 1).
Fig. 1. Time dependence of stresses under slow linear loading
Criterion (1) can be formulated in terms of stress intensity coefficient for crack start analysis: 1 t KI (t)dt ≥ KIc (3) τ t−τ However, it should be noted that criterion (3) could not be applied to the analysis of crack propagation since the description of the stress fields near the apex of the moving crack using the root asymptotics is not always correct.
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The approach based on the criterion (1) has been successfully applied to the prediction of fracture in various materials as well as to the study of a wide variety of physical processes [26]. In the present work, the structure-time fracture model (1) is used to simulate the dynamic crack propagation under quasi-static loading and to study the crack velocity oscillations. The data on dynamic crack propagation in PMMA samples from the work [11] are used as experimental results.
3 Computational Model The calculations were performed using finite-element method. The ANSYS software package was used as a solver. The problem was solved in a two-dimensional formulation (plane strain). The computational scheme was developed for modeling of experiments with symmetric specimens under symmetric loading. It was assumed that the crack path coincides with the symmetry line. On the one hand, such scheme cannot be used to study experiments where the crack may deviate from the direct path (for example, when loading according to the second mode is present), on the other hand this scheme allows to study the main characteristics of the crack propagation process such as the crack velocity. Therefore, half of the specimen was simulated and the symmetry condition was imposed on the nodes lying on the crack path - vertical movements were forbidden. When the condition (1) was fulfilled in the group of nodes, the constraints were removed, and the crack moved forward.
Fig. 2. Structure of the developed computational scheme
Stresses in the nodes lying on the crack continuation were calculated using ANSYS and at each step transferred to an external program written in C++, which checked the criterion (1). The organization of the computational scheme is shown in Fig. 2. The external program stored the history of normal stresses in the nodes at the crack continuation and performed the calculation of integrals in (1) using the trapezoidal method. The program also implemented the crack propagation in the case of triggering the fracture criterion. The spatial integration was performed over several nodes lying in the interval [0, d ] counting from the crack apex. The material was assumed to be elastic and the deformations were supposed to be small. Thus, the Lamé equations are valid for displacements, and stresses are related to
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deformations according to Hooke’s law: ∂ 2 Ui = (λ + μ)∇i (∇ · U) + μUi ∂t 2 ∂Uj ∂Ui σij = δij λ∇ · U + μ + ∂xj ∂xi
ρ
(4)
In (4) and (5) X = (x1 , x2 ), U(X, t) = (U1 (X, t), U2 (X, t)) is the displacement vector, ρ is the material density, λ and μ are the Lamé constants. It was assumed that at the initial moment of time the displacements and velocities at all points of the sample are zero. The sample was supposed to be slowly stretched, i.e., the displacements of the upper edge increased linearly at a rate of v = 1 mm/min. Initial and boundary conditions corresponding to the loading scheme are given in (4). The loading scheme and the boundary conditions used are shown in Fig. 3. U(X, 0) = 0;
∂U (X, 0) = 0 ∂t
σ22 (X ∈ G3 , t) = σ12 (X ∈ G3 , t) = 0 U2 (X ∈ G2 , t) = 0, σ12 (X ∈ G2 , t) = 0 is the symmetry condition U2 (X = G1 , t) = vt, where v is the gripper velocity of stretching machine
(5)
Fig. 3. Scheme of the boundary conditions used. G1 is a top edge of the specimen where the displacement is set, G2 is a symmetry line where nodes with vertically fixed displacements are located, G3 is a stress-free crack face
The material parameters used in the calculations are given in Table 1.
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3.5 GPa
Poisson’s ratio ν
0.32
Density ρ
1200 kg/cm3
Critical stress σc
60 MPa
Critical SIF KIC
1.1 MPa m
Parameter d
0.2 mm
Incubation time τ
1.5 ms
The developed calculation scheme was applied to simulate the crack propagation process under the quasistatic loading observed in the work [11]. In particular the dependence of crack length on time and oscillations of the crack velocity were investigated.
4 Results In [11] the crack propagation in PMMA plates, which have been subjected to quasistatic tensile loading has been studied. The authors recorded the position of the crack tip and the current crack velocity. At the same time, the presence of noticeable oscillations of the crack velocity was recorded as well as a clear discrepancy between the theoretically calculated maximum crack velocity and the experimentally observed value. The experiment scheme is shown in Fig. 4.
Fig. 4. Scheme of the experimental study [11]
The structure-time fracture criterion (1) is based on the spatial and temporal discretization of the fracture process: the minimum crack propagation determined by the formula (2) is introduced. The introduction of a characteristic fracture time, the incubation time, leads to a time discretization of the fracture process. The use of such an approach makes it possible to obtain the experimentally observed effect numerically.
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Figure 5 shows the experimental data [11] as well as the results of calculations carried out with the developed calculation scheme based on the criterion (1). The choice of characteristic size d = 0.2 mm according to the formula (2) makes it possible to numerically obtain oscillations of crack velocity, with amplitudes being in good agreement with the experimentally observed ones. At the same time as in the experimental studies, the oscillation amplitude increases with the average crack velocity as its length increases (Fig. 5b). In addition to this it was possible to obtain a good agreement between the numerical and experimental crack paths (Fig. 5a), as well as the experimentally observed average maximum crack velocity, which turned out to be significantly lower than the theoretical value.
Fig. 5. Comparison of simulation results with experiment; a is the dependence of crack length on time; b is the dependence of crack velocity on crack length, oscillations of crack velocity
5 Conclusions One of the most common approaches to modeling of crack propagation is based on extension of the Irwin criterion to the dynamic case. According to this model, the current value of the stress intensity coefficient is compared not with the static critical value of KIC but with a special functional postulating the dependence of the current value of SIF on the crack velocity. Nevertheless, this dependence is treated as a material property. At the same time, in a number of works the existence and uniqueness of such a dependence is questioned. Numerical approach based on the finite element method and the structure-time fracture criterion is proposed in the paper. The proposed method makes it possible to abandon dynamic fracture criteria based on the dynamic fracture toughness or on the dependence of the SIF on the crack velocity, that cannot be interpreted as material properties because of their dependence on a number of parameters. In particular, there is a strong dependence of the starting SIF on the loading rate [10]. Moreover, it was noted in a number of works that the SIF-crack velocity dependence can be determined by the shape of specimens and the way of load application. Reliable prediction of dynamic fracture is possible on the basis of the structuretime criterion that considers the incubation processes at lower scale levels that lead to
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macroscopic fracture in the material. These processes are accounted for by means of a physical parameter – the incubation time τ , which is a material constant within the selected scale level. The incubation time can be found in independent experiments and then can be used to predict a fracture for a wide range of loading rates from quasistatic loads to high-speed impact loading. The incubation time supplemented with the standard strength parameters of the material as well as the calculated characteristic size d makes it possible to predict a variety of fracture effects, including those manifested by dynamic crack propagation. Therefore, the proposed approach can be considered as an effective tool both for solving theoretical problems and for engineering practice. The structural and temporal fracture criterion has been applied to analyze the dynamic crack propagation in a brittle solid under quasistatic loading conditions. Calculation scheme based on the finite element method has been developed to simulate crack propagation in symmetrical specimens and under the condition of symmetrical loading. Special attention has been paid to the experimentally observed oscillations of the crack velocity. Discretization of the dynamic fracture process in space and time made it possible to obtain crack velocity oscillations similar to those observed experimentally. In addition to this, the application of the structure-time fracture criterion made it possible to numerically obtain the dependence of the crack length on time, which fits well the experimental results. At the same time, the maximum crack velocity turned out to be lower than the theoretical limit value, which was also observed in the experiment described in [11]. Acknowledgements. This work was supported by the Russian Foundation for Basic Research (grants 19-31-60037 and 20-01-00291).
References 1. Sharon, E., Fineberg, J.: Confirming the continuum theory of dynamic brittle fracture for fast cracks. Nature 397, 333–335 (1999). https://doi.org/10.1038/16891 2. Zhuang, Z., O’Donoghue, P.E.: The recent development of analysis methodology for rapid crack propagation and arrest in gas pipelines. Int. J. Fract. 101, 269–290 (2000). https://doi. org/10.1023/A:10076143 3. Kanninen, M.F., O’Donoghue, P.: Research challenges arising from current and potential applications of dynamic fracture mechanics to the integrity of engineering structures. Int. J. Solids Struct. 32(17/18), 2423–2445 (1995). https://doi.org/10.1016/0020-7683(94)00275-2 4. Shen, W., Zhao, Y.-P.: Combined effect of pressure and shear stress on penny-shaped fluiddriven cracks. J. Appl. Mech. 85(3), 031003 (2017). https://doi.org/10.1115/1.4038719 5. Broberg, K.B.: On the speed of a Brittle Crack. J. Appl. Mech. 31, 546–547 (1964) 6. Kostrov, B.V.: Crack propagation at variable velocity. Int. J. Fract. 11(1), 47–56 (1975) 7. Freund, L.B.: Dynamic Fracture Mechanics. Cambridge University Press, Cambridge (1990). https://doi.org/10.1017/CBO9780511546761 8. Slepyan, L.I.: Principle of maximum energy dissipation rate in crack dynamics. J. Mech. Phys. Solids 41, 1019–1033 (1993). https://doi.org/10.1016/0022-5096(93)90053-I 9. Achenbach, J.D., Bazant, Z.P.: Elastodynamic near-tip stress and displacement fields for rapidly propagating crack in orthotropic media. J. Appl. Mech. 42, 183–189 (1975). https:// doi.org/10.1115/1.3423513
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10. Ravi-Chandar, K., Knauss, W.G.: An experimental investigation into dynamic fracture: III. On steady state crack propagation and crack brunching. Int. J. Fract. 26, 141–154 (1984). https://doi.org/10.1007/BF01157550 11. Fineberg, J., Gross, S.P., Marder, M., Swinney, H.L.: Instability in the propagation of fast cracks. Phys. Rev. B 45(10), 5146–5154 (1992). https://doi.org/10.1103/PhysRevB.45.5146 12. Kobayashi, T., Dally, J.W.: Relation between crack velocity and the stress intensity factor in birefringent polymers. Fast fracture and crack arrest. ASTM STP 627, 257–273 (1977). https://doi.org/10.1520/STP27392S 13. Kalthoff, J.F., Beinert, J., Winkler, S.: Measurements of dynamic stress intensity factors for fast running and arresting cracks in double-cantilever-beam specimens. ASTM STP 627, 161–176 (1977). https://doi.org/10.1520/STP27387S 14. Zehnder, A.T., Rosakis, A.J.: Dynamic fracture initiation and propagation in 4340 steel under impact loading. Int. J. Fract. 43, 271–285 (1990). https://doi.org/10.1007/BF00035087 15. Maigre, H., Rittel, D.: Dynamic fracture detection using the force-displacement reciprocity: application to the compact compression specimen. Int. J. Fract. 73, 67–79 (1995). https://doi. org/10.1007/BF00039852 16. Kalthoff, J.F., Shockey, D.A.: Instability of cracks under impulse loads. J. Appl. Phys. 48, 986–993 (1977). https://doi.org/10.1063/1.323720 17. Kalthoff, J.F.: Modes of dynamic shear failure in solids. Int. J. Fract. 101, 1–31 (2000). https:// doi.org/10.1023/A:1007647800529 18. Dally, J.W., Fourney, W.L., Irwin, G.R.: On the uniqueness of the stress intensity factor – crack velocity relationship. Int. J. Fract. 27, 159–168 (1985). https://doi.org/10.1007/BF00017965 19. Kalthoff, J.F.: On Some Current Problems in Experimental Fracture Dynamics, Workshop on Dynamic Fracture. California Institute of Technology, pp. 11–25 (1983) 20. Irwin, G.: Analysis of stresses and strains near the end of a Crack traversing a plate. J. Appl. Mech. 24, 361–364 (1957) 21. Rosakis, A.J., Ravichandran, G.: Dynamic failure mechanics. J. Mech. Mater. Struct. 37, 331–348 (2000). https://doi.org/10.1016/S0020-7683(99)00097-9 22. Shockey, D.A., Erlich, D.C., Kathoff, J.F., Homma, H.: Short-pulse fracture mechanics. Eng. Fract. Mech. 23(1), 311–319 (1986). https://doi.org/10.1016/0013-7944(86)90195-5 23. Xu, X., Needleman, A.: Numerical simulations of dynamic crack growth along an interface. Int. J. Fract. 74, 289–324 (1995). https://doi.org/10.1007/BF00035845 24. Petrov, Y.V., Utkin, A.A.: Dependence of the dynamic strength on loading rate. Sov. Mater. Sci. 25(2), 153–156 (1989). https://doi.org/10.1007/BF00780499 25. Petrov, Y.V.: On “quantum” nature of dynamic failure of brittle media. Dokl. Akad. Nauk. SSSR 321(1), 66–68 (1991) 26. Bratov, V.: Incubation time fracture criterion for FEM simulations. Acta. Mech. Sin. 27(4), 541–549 (2011). https://doi.org/10.1007/s10409-011-0484-2
Features of Structure Formation of Rail Steel with Internal Cracks in Long-Term Operation Svetlana Atroshenko1
, Vladimir Smirnov2
, and Sergei Maier2(B)
1 Institute for Problems in Mechanical Engineering of the Russian Academy of Sciences,
61 Bolshoy pr. V.I., St. Petersburg 199178, Russian Federation 2 Emperor Alexander I St. Petersburg State Transport University,
9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The modern understanding of the strength of bodies with cracks under statically and cyclically varying loads makes it possible to calculate the residual life of a structure, however, the specific conditions of deformation of a railway rail require the development of new methods for studying the initiation and development of fatigue cracks. herefore, the analysis of the laws of crack development is of great importance. Cracks begin to develop long before complete failure during fatigue, plastic, and even brittle failure. The duration of the destruction process, i.e. crack growth until complete destruction takes up a significant part of the “life” of the part, reaching 90% and more. The main thing during the operation of a part is not the presence of a crack, but the rate of its growth. In this work, a microstructural analysis of the cross-sectional surface of five rails with internal cracks, longitudinal and transverse, is carried out. Rail samples taken out of operation after many years of service. Fractographic analysis of the crack surface and the surrounding material indicates a significant degradation of the physical and mechanical properties of the rail steel. Keywords: Rail steel · Metallography · Fatigue crack · Metal microstructure · Fracture surface
1 Introduction The results of field tests of rails with different physical and mechanical properties show [1–7] that a homogeneous and finely dispersed microstructure has a great influence on the resistance to the formation of contact-fatigue defects. Also, such parameters of the microstructure of rails as the value of the inter-plate distance in pearlite, the size of pearlite colonies, and the presence of excess ferrite play an important role [5, 7]. The operational resistance of a metal with a more homogeneous structure is higher and increases with increasing hardness only for rails with a homogeneous structure, and the greatest structural strength of rails, according to various authors, is possessed by rails either with a homogeneous structure of quenching sorbite of maximum dispersion, or with a homogeneous structure of tempered martensite.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 586–596, 2022. https://doi.org/10.1007/978-3-030-96380-4_64
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2 Material and Research Technique The studies were carried out on differentially heat-strengthened railway rails of the P65 type with internal transverse and longitudinal cracks. Five samples of rail steel were used as the research material, the properties and elemental composition of which are regulated by GOST R 51685-2013. To analyze the fracture, rail samples with a length of 1.1–1.2 m were cut out, which were tested for static transverse bending with loading on the base of the rail samples with the determination of strength and plasticity indicators on a PMS 320 press. The proportion of the viscous component in the fracture of steel was determined according to ASTME 436-03. The study of the fracture surface was carried out on an Axio Observer Z1-M microscope in a dark field at a magnification of 100, and the microstructure of the cross section was analyzed in a bright field and C_DIC contrast on the same microscope.
3 Results and Discussions Three-point bending test data and the lowest acceptance rates of the tested rail samples are shown in Table 1. The service life of the rails taken out of service is 18–19 years. During this period, the rails were subjected to approximately (5–50) × 106 loading cycles, i.e. wheel aisles. As can be seen from the table, all tested rail samples do not meet the standard requirements for strength and rigidity, which indicates that defects were detected with a great delay. Table 1. Test data and acceptance indicators of the tested rail samples Sample
F, kN
L, mm
Fmin , kN
Lmin , mm
Rail_1
86
2.2
1750
23
Rail_2
195
5.2
1750
23
Rail_3
540
5.4
1750
23
Rail_4
770
7.2
1750
23
Rail_5
n/d
n/d
n/d
n/d
where F – breaking load and L – deflection from bending, data after static transverse bending test, Fmin, Lmin – the smallest (permissible) acceptance indicators of strength and stiffness during static transverse bending with loading on the rail base.
4 Investigation of the Fracture Surface The appearance of the fracture surface of the tested samples is shown in Fig. 1, and the fraction of the viscous component on the fracture surface (% B) is presented in Table 2.
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Rail_1
Rail_2
Rail_3
Rail_4
Rail_5
Fig. 1. Fracture surface of tested rail samples (photo taken by the authors).
In this table, the areas of measurement of the viscous component correspond to those indicated in Fig. 1: area 2 - the surface of the fatigue crack, areas 1, 3 - break zones for samples Rail_1, Rail_2 and Rail_3, and for samples Rail_4 and Rail_5 with longitudinal cracks: 2 (Rail_4) and 3 (Rail_5) is a fatigue crack and 1 (Rail_4 and Rail_5) and 2 (Rail_5) is a break zone. Table 2 also shows the amount of fiber in the transition zone for Rail_1 and Rail_3 samples. Table 2. The proportion of the viscous component (% F) in the fracture of rail steels Material
Area
%F
Rail 1
1
97.04
2
92.18
Rail 2
Rail 3
Transition
97.60
1
96.18
2
97.61
3
92.45
1
96.96
2
92.08
Transition
96.10
Rail 4
1 - Transverse
98.70
2 - Longitudinal
95.70
Rail 5
1 - Transverse
98.30
2 - Transverse
93.10
3 - Longitudinal
96.90
As can be seen from Table 2, in samples Rail_1 and Rail_3, more brittle fracture is observed on the crack surface. As for the sample Rail_2, here the near-frontal surface of the crack is more brittle; then, as the crack develops into the depth, the brittleness decreases. For specimens Rail_4 and Rail_5, fracture in the longitudinal part of the fatigue crack turned out to be more brittle (Table 2). This behavior of the metal becomes clearer after studying the microstructure of transverse sections in the corresponding areas of destruction.
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4.1 Investigation of Microstructure of Cross-sections of Rail Samples Rail_1 • Area 1 The structure of the surface of the sample Rail_1 in region 1 (Fig. 1, break zone) is anisotropic (the direction of the structure is observed) and porous near the fracture surface. There are also microcracks extending from the fracture surface deep into the material and along the rolling. The structure is represented by lamellar pearlite. Zones of dynamic recrystallization are observed, similar to those identified in [8]. A quantitative assessment of microstructural elements is shown in Table 3.
Table 3. Quantitative characteristics of the microstructure of rail steel in different areas of destruction. Name
Area
Dgrain , µm
hperlite , dp , µm
Ltw xHtw , µm
Rail_1
1
8–45
h= 0.3–1.0
–
–
2
4–20
h= 0.3–0.6
18.3 × 0.5
h= 0.8–2.4
1
4–12
h= 0.3–0.7
–
h= 0.5–1.6
Mesh
2
6–18
h= 0.4–1.5
–
h= 0.4–1.8
Thin mesh, grain
3
3–11
h= 3.0–5.0 d = 0.8–1.0
–
–
–
1
11–23
h= 0.3–1.6
–
h= 1.5–5.8 d= 5.8–14.9
Mesh, grain
2
7–22
h= 0.5–0.8
24.2 × 0.8
h= 0.6–1.8
1-Transverse
Dsf = 5–10 Dct = 50–60
h= 0.1–2.8
66.5 × 1.0
2-Longitudinal
Dsf = 10–20 Dct = 90–100
h= 7.7–13.3 d= 0.7–4.6
Rail_2
Rail_3
Rail_4
hmart , µm
hferrite , df , µm
Martensite, twins
Excess ferrite
Martensite, twins
Mesh, grain
Martensite, twins
Mesh
Twins
–
–
(continued)
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Name Rail 5
Area
Dgrain , µm
hperlite , dp , µm
1-Transverse
13–101
h= 1.4–3.3
45–121
h= 2.8–5.5 d= 1.4–4.0
2-Transverse 3-Longitudinal
Ltw xHtw , µm
hmart , µm
hferrite , df , µm
Martensite, twins
h= 7.0–10.0 71.6 × 2.5 58–490
–
Excess ferrite Scraps of mesh
Martensite band, twins
–
where Dgrain – grain size; Dsf – grain size on the surface at the edge of a longitudinal crack; Dct – grain size in the center; hperlite – interlamella spacing in pearlite, dp – diameter of globular pearlite; LtwxHtw – twin sizes; hmart – martensite band width; hferrite – ferrite mesh thickness; df – ferrite grain size
• Area 2 The structure of region 2 (Fig. 1, crack surface) is represented by microcracks in the near-surface fracture region. At some distance from the fracture surface, a strip with excess ferrite in the form of a ferrite mesh and ferrite grains is observed, which causes embrittlement of the material (Tables 2 and 3). In some areas, dynamic recrystallization and individual twins are observed. The presence of twins is more typical for metals with fcc and hcp crystal lattices, which have a lower stacking fault energy (SFE) than metals with a bcc lattice, to which the studied steel belongs. The appearance of twins is associated with the martensitic transformation and the appearance of twinned martensite (Table 3), which depends on the rate of thermal cycling and the thermal history of the metal [9]. Rail_2 • Area 1 The structure of the surface of the sample Rail_2 in region 1 (Fig. 1, the rail break zone) is a work-hardened layer with the microstructure of fiber-deformed pearlite [6], which is formed in the process of cyclic plastic deformation, which is observed in this region of destruction - traces are visible in the near-surface zone metal flows (Fig. 2a), where all structural elements are mixed, microcracks go along ferrite regions (Fig. 2b, c), in some places of the sample zones of dynamic recrystallization are visible (Fig. 2d), similar to those found in [8]. • Area 2 The structure of the material in the most extended fracture region 2 (Fig. 1, fatigue crack surface) of the Rail_2 specimen is represented by a network of microcracks (Fig. 3a).
Features of Structure Formation of Rail Steel with Internal Cracks
a
b
c
591
d
Fig. 2. Microstructure of area 1 of Rail_2 sample: a ×1000; b ×2500; c ×200; d ×1000 (C_DIC)
The nucleation of the latter occurs on non-metallic inclusions rich in sulfur and oxygen (Fig. 3b), which was also observed on other rail samples [8]. The structure of the rail steel is lamellar pearlite and individual ferrite grains (Fig. 3c), sometimes ferrite mesh (Fig. 3d).
a
b
c
d
Fig. 3. Microstructure of area 2 of Rail_2 sample: a ×200; b ×1000; c, d ×1000 (C_DIC)
• Area 3 The structure of steel in region 3 (Fig. 1) is represented by grains of a non-equiaxial shape elongated along rolling (fibrous-deformed pearlite), microcracks occur along the grain boundaries of ferrite (Fig. 4a, b). There are zones of dynamic recrystallization and a large number of pores (Fig. 4c). The photographs also show globular pearlite, which appeared as a result of the transformation of lamellar pearlite when steel is heated during the operation of the rail.
a
b
c
Fig. 4. Microstructure of area 3 of Rail_2 sample: ×1000 (C_DIC)
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Rail_3 • Area 1 The structure of the surface of the sample Rail_3 in region 1 (Fig. 1, the rail break zone) is represented by a network of microcracks (Fig. 5a); deeper from the fracture surface, many ferrite grains are visible (Fig. 5b). There are also areas of dynamic recrystallization along with rather coarse grains of lamellar pearlite (Fig. 5c). Microcracks go along the ferrite mesh and in the ferrite grains (Fig. 5d). There is also a strip of excess ferrite in the form of a ferrite mesh (Fig. 5e).
a
b
c
d
e
Fig. 5. Microstructure of area 1 of Rail_3 sample: a ×200; b, c ×1000 (C_DIC), d ×2500, e × 100
• Area 2 The surface structure of sample Rail_3 in region 2 (fatigue crack surface) is lamellar pearlite with zones of dynamic recrystallization (Fig. 6a), as well as crack initiation on non-metallic inclusions (Fig. 6b) and twins. Excess ferrite is mesh (Fig. 6c), which promotes embrittlement and leads to fracture.
a
b
c
Fig. 6. Microstructure of area 2 of Rail_3 sample: a, b ×1000 (C_DIC), c ×100.
Rail_4 • Area 1 The structure of the surface of the sample Rail_4 in region 1 (Fig. 1, the rail break zone - transverse failure) is shown in Fig. 7.
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Fig. 7. Structure of area 1 of sample Rail_4: a ×1000 (C_DIC), b ×500, c ×2500, d ×500
Lamellar pearlite is visible (Fig. 7b, c) and areas of dynamic recrystallization (Fig. 7a). There is fracture in the form of cracks, similar to multiple spalling (Fig. 7b, c), as well as twins (Fig. 7d). • Area 2 The surface structure of the sample Rail_4 in region 2 (Fig. 1, the surface of the longitudinal fatigue crack) is shown in Fig. 8. In sample Rail_4, from the edge of the longitudinal crack to the base metal at a distance of 790–6500 µm, there is a work-hardened layer (Fig. 8a), which was formed in the process of cyclic plastic deformation, this is a finer-grained zone with a grain size of 10–20 µm, while in the center grain size is 50–110 µm (Table 3). At the border of the fine-grained zone with the base metal, there are many microcracks extending along the rolling from non-metallic inclusions.
Fig. 8. Structure of area 2 of sample Rail_4: a ×25, b ×2500, c ×1000 (C_DIC), d ×200
The photographs also show lamellar pearlite of different fineness (Fig. 8b, c) and globular pearlite (Fig. 8b), which appeared as a result of the transformation of lamellar pearlite when steel is heated to a high temperature during rail operation. A rather branched microcrack is also observed (Fig. 8d). Rail_5 • Areas 1 i 2 The structure of the surface of the sample Rail_5 in regions 1 and 2 (Fig. 1, the rail break zone - transverse fracture) is shown in Fig. 9.
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a
b
c
Fig. 9. Structure of area 1 and 2 of sample Rail_5: a ×1000, b ×1600, c ×1000(C_DIC)
A branched microcrack is visible (Fig. 9a) and areas of excess ferrite in the form of a broken mesh (Fig. 9b). Microcracks in some places resemble a stepped spall gap in shock-loaded steel (Fig. 9c). • Area 3 The structure of the surface of the sample Rail_5 in region 3 (Fig. 1, the surface of the longitudinal fatigue crack) is shown in Fig. 10. In this area, there is a rather wide strip of martensite (Table 3), located along the longitudinal surface of destruction (Fig. 10a, b), in this area, there was probably a sharp rise in temperature during operation of the rail and rapid cooling, which caused martensitic transformation in a separate strip. There are also twins (Fig. 10b), and globular pearlite is observed along with lamellar pearlite in the region of pearlite (Fig. 10c).
a
b
c
Fig. 10. Structure of area 3 of sample Rail_5: a ×200, b ×1000(C_DIC), c ×2500
5 Conclusion The volume of ferrite in the crack formation zone has a significant effect on the resistance to fatigue fracture: the smaller it is, the higher the fracture resistance. On the fracture surface of the studied samples of rail steel, regions differing in brittleness are distinguished: the most brittle fracture in samples Rail_1 and Rail_3 is observed at the stage of fatigue crack growth, where excess ferrite is observed in the form of a branched network, which occupies a large surface area, and martensite and twins are also present, which helps to reduce plasticity. Sample Rail_2 is distinguished by the greatest fragility in the near-surface region of the rail head, which can be explained by the presence of a coarse ferrite mesh with the largest thickness, as well as the most dispersed pearlite. For specimens Rail_4 and Rail_5, the fracture in the longitudinal part of the fatigue crack turned out to be more brittle, although it turned out to be less than for specimens Rail_1, Rail_2, and Rail_3 due to a smaller amount of excess ferrite.
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The highest breaking load and deflection point are observed for sample Rail_4, which is explained not only by the smaller crack size compared to other samples, but also by work-hardening, the presence of martensite, finely dispersed and globular pearlite with relatively fine grains, as well as dynamic recrystallization with the formation of microcrystalline zones with high hardness. It should be noted that “old” large cracks are usually found on minor railways tracks with a rail service life of 18–20 years. In [10, 11], an estimate of the lifespan of the used rails in loading cycles is given. As a rule, non-metallic inclusions, which are difficult to detect by ultrasonic methods during acceptance control, are the source of initiation of internal cracks [12–15].
References 1. Dymkin, G.Y., Ostanin, I.A.: On the development of ultrasound control techniques for nonstandard welding compounds. Weld. Diagnost. 1, 18–23 (2021). https://doi.org/10.52177/ 2071-5234_2021_01_18 2. Smirnov, V.I., Vidyushenkov, S.A., Maier, S.S.: Fatigue fracture of the beam with an internal transverse crack under multicycle loading. Sci. Tech. J. Bull. Civ. Eng. 17(2), 75–81 (2020). https://doi.org/10.23968/1999-5571-2020-17-2-75-81 3. Dymkin, G., Etingen, I., Shelukhin, A.: Automated ultrasonic inspection of rails during production. JSC Res. Inst. Bridges Nondes. Test. 23(3), 73–76 (2020). https://doi.org/10.12737/ 1609-3178-2020-73-76 4. Smirnov, V.I., Vidyushenkov, S.A., Bushuev, N.S.: Stress-strain state of elastic base under circular foundation. In: Mangushev, R., Zhussupbekov, A., Iwasaki, Y., Sakharov, I. (eds.) Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, pp. 341–346. CRC Press, Boca Raton (2019). https://doi.org/ 10.1201/9780429058882-66 5. Polevoy, E.V., Dobuzhskaya, A.B., Temlyantsev, M.V.: Influence of speed of cooling on formation of structure of a rail steel microalloyed by vanadium and niobium. J. Bull. PNRPU. Mech. Eng. Mat. Sci. 18(4), 7–20 (2016). https://doi.org/10.15593/2224-9877/2016.4.01 6. Markov, A.A., Ivanov, G.A.: Investigation of the detection method for longitudinal cracks in the head of rail tracks. J. Izhevsk St. Tech. Univ. 22(4), 46–56 (2019). https://doi.org/10. 22213/2413-1172-2019-4-46-56 7. Petrov, Y., Kazarinov, N., Bratov, V.: Dynamic crack propagation: quasistatic and impact loading. Proc. Struct. Integr. 2, 389–394 (2016). https://doi.org/10.1016/j.prostr.2016.06.050 8. Atroshenko, S.A., Maier, S.S., Smirnov, V.I.: Rail steel fracture analysis under conditions of railroad switch. J. Solid State Phys. 10(101569), 1573–1577 (2020). https://doi.org/10.21883/ FTT.2020.10.49898.094 9. Spivak, L.V., Shchepina, N.E.: Polymorphic transformations in iron and zirconium. J. Appl. Phys. 65(7), 1100–1105 (2020) 10. Loktev, A., Fazilova, Z., Gridasova, E.: The life cycle assessment of the used rails according to the results of cyclic high-frequency tests. IOP Conf. Ser. Mater. Sci. Eng. 862(2), 022022 (2020). https://doi.org/10.1088/1757-899X/862/2/022022 11. Loktev, A.A., Fazilova, Z.T., Zaytsev, A.A., Borisova, N.L.: Analytical modeling of the dynamic behavior of the railway track on areas of variable stiffness. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 165–172. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_17
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12. Bratov, V., Krivtsov, A.: Analysis of energy required for initiation of inclined crack under uniaxial compression and mixed loading. Eng. Fract. Mech. 216, 106518 (2019). https://doi. org/10.1016/j.engfracmech.2019.106518 13. Shur, E.A., Borts, A.I., Bazanova, L.V., Scherbakova, O.O., Shkalei, I.V.: Determination of the fatigue crack growth rate and time in rails using fatigue macrolines. J. Rus. Metal. (Metally) 4, 477–482 (2020). https://doi.org/10.31044/1814-4632-2019-6-39-46 14. Dymkin, G.Y., Shelukhin, A.A., Anisimov, V.N.: Improving procedures for ultrasonic pulseecho testing of rails in production. Rus. J. Nondest. Test. 8, 14–23 (2019). https://doi.org/10. 1134/S0130308219080025 15. Dymkin, G.Y., et al.: On the sensitivity of eddy current testing of parts of railway rolling stock. Rus. J. Nondest. Test. 8, 48–53 (2019). https://doi.org/10.1134/S0130308219080062
Investigation of the Behavior Features of Internal Reinforcement of a Hybrid Beam Building Structure Made of Composite Material Vladimir Egorov
and Mahmud Abu-Khasan(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The article contains the search and analysis of the rational form of internal type of composite reinforcement of the single-span beam with 2 walls made of steel. The existing methods of manufacturing for composite materials are considered, the assessment of the possibility of their usage for the manufacture of composite elements, having an opening in cross section are made. Calculations of a number of models in the software-complex Ansys are made, with the subsequent analysis of the obtained results. 4 variants of possible forms of internal type composite reinforcement are considered. The increase in the load bearing capacity of the reinforced sections of the hybrid-type beam is estimated according to criterion of ultimate normal stresses in the relation to the basic variant of the steel beam made without any reinforcement. Keywords: Building structures · Hybrid structures · Reinforcing of the beam structures · Composite materials · Composite manufacturing technology · Structures reliability · Software-computing complex Ansys
1 Introduction Hybrid structures - structures consisting of several dissimilar materials, arranged in a special rational way along the length and cross-section of the structure, ensuring their joint work [1, 2]. One of the materials of this type of construction performs a load-bearing function, other types of materials perform auxiliary functions, eliminating significant shortcomings of the main material, due to their rational layout along the length and width of the cross-section of the hybrid structure. According to the type of reinforcement with auxiliary material, hybrid structures should be divided into two types - with external reinforcement, and internal reinforcement. Hybrid structures can be made using steel, concrete and reinforced concrete, wood, and composite materials. In the case of hybrid beam building structures, the most common solutions are using a steel form with its internal reinforcement with concrete or wood. The main problem of technical solutions for beam structures of this type is the presence of zones of ineffective use of the physical and mechanical properties of materials that reinforce the steel form, as well as the difficulties that arise when creating the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 597–606, 2022. https://doi.org/10.1007/978-3-030-96380-4_65
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required form of the auxiliary material. With the advent of structural composite materials, it became possible to develop new technical solutions for hybrid structures, for which the solution of this problem is not very difficult [3, 4]. Composite materials are a class of artificially created materials consisting of two or more components with different properties, combined into a single monolithic structure. Composite materials consist of two phases - a matrix and a reinforcing filler. Depending on the type of reinforcing filler, they are distinguished: dispersion-reinforced and fiberreinforced composite materials. Fiber-reinforced composites are considered the most effective for use in building structures experiencing both tensile and compressive stresses. One of the important advantages of fiber-reinforced composite materials, in contrast to concrete and wood, is the ability to manufacture a composite product with the required cross-sectional shape, including through holes inside the section, while ensuring the required physical and mechanical properties of the material. There are several methods of manufacturing composite elements: autoclave molding, autoclave-free molding methods, direct pressing method, which make it possible to obtain products with a solid cross-section. For the manufacture of composite elements with a through hole in cross-section, as a rule, such methods are used: pultrusion, as well as methods of manufacturing by winding. The most promising method for the production of composite elements made with a hole in the cross section is the use of the method of winding a reinforcing fiber along the generating surface of an inert insert. The shape of the hole in the composite material is determined by the shape of the inert liner. In the manufacture of composite materials by winding, glass and basalt fibers, an epoxy resin binder, are most often used. Depending on the required shape of the hole in the composite element, different schemes of winding composite fibers can be applied - longitudinal-transverse, spiral-longitudinal, spiral-longitudinal-transverse, spiral at angles of 30° and 60°, as well as by the method of oblique longitudinal-transverse winding based on glass roving [5, 6].
2 Initial Design Data The choice of the fiber winding scheme directly affects the physical and mechanical properties of the composite material, for example, in the case of spiral-longitudinal-transverse winding, the properties of the fiberglass material are lower than when the material is manufactured by other winding methods, however, these properties are sufficient for the effective operation of the composite element (see Table 1). Table 1. Physical and mechanical characteristics of fiberglass, made by the method of spirallongitudinal transverse winding Breaking stress in compression and tension
119 MPa
Breaking stress in bending
373 MPa
Tensile modulus
27.771 GPa
Compressive modulus
27.771 GPa
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To analyze the effectiveness of using a composite material as an internal reinforcement of a hybrid beam structure, a single-span steel box-section beam was adopted. The span of the beam is 6 m, concentrated loads of 14.33 kN with a step of 1 m are applied to its upper belt above both walls. The left support of the beam is hinged-fixed, the right support is hinged-movable. The geometric characteristics of the beam, the strength and deformation characteristics of the steel are given in Table 2. The box section of the beam is shown in Fig. 1. Table 2. The geometric characteristics of the beam, the strength and deformation characteristics of the steel Design characteristics of the section H = 0.278 m B = 0.160 m t1 = 0.014 m t2 = 0.014 m t3 = 0.004 m h1 = 0.250 m A. = 0.00648 m2 I = 0.8855*10–4 m4 hn.o. = 0.139 m E = 206000 MPa Ry = 225 MPa (C245) Rs = 124.28 MPa (C245) γc = 0,9
The main task of the analysis is to find a rational cross-sectional shape of the composite internal reinforcement of the hybrid beam, which provides increased operational reliability of the structure. The main analysis criterion is the ratio of the bearing capacity of the hybrid beam with the selected type of internal reinforcement to the consumption of the composite material [7, 8]. To accomplish the task, 5 spatial models were built, with their subsequent calculation in the Ansys software complex: – steel box-section beam without internal reinforcement (design model No. 1); – hybrid beam with solid internal reinforcement with composite rectangular crosssection without holes in the material (design model No. 2); – a hybrid beam with internal composite reinforcement, a round through hole is made in the central part of the section (design model No. 3); – a hybrid beam with internal composite reinforcement, an oval-shaped hole is made in the central part of the section (design model No. 4); – hybrid beam with internal reinforcement with composite material with a hole in the central part of the section, according to [4] (design model No. 5).
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Fig. 1. Design section of a steel beam
3 Analysis Results The results of a static calculation, performed in the Ansys computer software, of a steel beam without internal reinforcement are shown in Fig. 2. The maximum modulus of normal stress is 202.5 MPa, shear stress is 36.28 MPa, and the vertical deformation of the beam is −27.479 mm.
Fig. 2. The results of a static calculation. a. General view of the spatial model of the beam. b. Diagram of normal stresses, [MPa]. c. Shear stress diagram, [MPa]
In the case of internal reinforcement of a steel box-section beam (shell) with a solid composite element of rectangular cross-section (250 × 100 mm), the composite consumption will be 283.5 kg. According to the results of the static calculation in the
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steel shell, the maximum value of the normal stress in modulus is 167.26 MPa, the shear stress is 16.278 MPa, and the vertical deformation of the hybrid beam is −22.479 mm. With the internal reinforcement of the steel shell with a rectangular composite element with a circular hole 80 mm in diameter (see Fig. 3a) located in the center of the cross-section, the consumption of the composite material will be 226.5 kg. In the steel shell, the maximum modulus of normal stress is 168.23 MPa, shear stress is 29.07 MPa, and the vertical deformation of the hybrid beam is −22.63 mm. Reinforcement of the steel shell with a composite element of rectangular crosssection with an oval-shaped hole (see Fig. 3b) located in the center of the cross-section provides a composite material consumption of 162.99 kg. In the steel shell, the maximum modulus of normal stress is 170.77 MPa, shear stress is 29.589 MPa, and the vertical deformation of the hybrid beam is −23.11 mm.
Fig. 3. Forms of the internal composite reinforcement of the steel shell: a) with a round hole; b) with an oval hole.
The last version of the design model includes the internal reinforcement of the steel shell by using a composite element with a specially shaped hole located in the center of the section. The main cross-sections of a composite element with a hole are shown in Fig. 4.
Fig. 4. Forms of the internal composite reinforcement of the steel shell: a) in the support part of the beam; b) in a section located at a distance of 1 m from the support; c) in a section located in the middle of the beam span.
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The shape of the hole in the cross-section of the composite element changes along the length of the beam and is determined by the nature of the distribution of the reduced yield stress of the steel shell according to the von Mises criterion: σpr. = σx2 + 3τ2xy . The thickness of the composite material, located between the hole (or inert liner) and the steel beam wall, changes in accordance with the shape of the diagram of the reduced yield stress of the steel beam wall. For the case of the loading under consideration, it is necessary to distinguish 3 sections along the length of the beam, which determine the shape of the hole in the composite reinforcing element [9, 10]. In the central part of the beam span (see Fig. 4c), the maximum bending moment acts, which causes the greatest compressive and tensile normal stresses in the steel shell. The hole shape is determined by the action of normal compressive and tensile stresses, the effect of shear stresses on the hole shape is minimal. The use of a composite material is most effective in the zones of its abutment to the compressed and stretched belts of the steel shell of the beam. At the level of the neutral axis, the acting stresses in the composite material and the steel shell are minimal, the wall thickness of the composite element is minimal, and is assigned constructively in order to ensure the joint operation of the upper and lower parts of the composite element. On the support sections of the beam (see Fig. 4a), the maximum transverse forces act, causing the greatest shear stresses in the steel shell. The hole shape is determined by the action of shear stresses, the effect of normal stresses is minimal. The use of a composite material is most effective in the walls of a composite element at the level of the neutral axis of the beam section. In the zones adjacent to the compressed and stretched steel belts of the beam, the thickness of the composite element is minimal, it is assigned constructively in order to ensure the joint operation of the walls of the composite element. а)
b)
Fig. 5. Elements of the technical solution for the internal reinforcement of the steel shell: a) half of the composite element with a cutout of the upper quarter; b) the shape of the hole or inert liner along the length of the composite element
In the intermediate sections between the support sections of the beam and the section in the middle of the span (see Fig. 4b), the shape of the hole in the composite element is determined by the shapes of the diagrams of changes in the bending moment and
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shear force along the length of the beam. In this case, the thickness of the walls of the composite element decreases linearly as it approaches the section located in the middle of the span, and the thickness of the flanges of the composite element, on the contrary, increases in accordance with the quadratic function of changing the value of the bending moment. One of the advantages of this technical solution (see Fig. 5) is the reduction of normal and shear stresses acting in the steel shell. The concentration of the composite material at the level of the neutral axis of the beam at the support areas can significantly reduce the shear stresses in the steel beam web (see Fig. 6).
Fig. 6. Distribution of shear stresses along the length of the beam, [MPa]
In the case of internal reinforcement of the steel shell with a composite element with a hole of the developed shape, the consumption of the composite will be 146.34 kg. According to the results of the static calculation in the steel shell, the maximum value of the normal stress in modulus is 170.83 MPa, the shear stress is 23.383 MPa, and the vertical deformation of the hybrid beam is −23.272 mm. Table 3. All the calculation results obtained are summarized in Table 3 Analyzed characteristic
№ design case №1
№2
№3
№4
№5
Composite consumption, [kg]
−
283.5
226.5
162.99
146.34
The value of the highest normal stress acting in the steel chord of the beam, [MPa]
202.5
167.26
168.22
170.77
170.83
Reduction of normal stresses, in relation to the basic design case No. 1
−
The magnitude of the greatest shear stress acting in 36.282 the steel web of the beam, [MPa]
17.40%
16.93%
15.67%
15.64%
16.278
29.071
29.589
23.383
Reduction of shear stresses, in relation to the basic design case No. 1
−
55.13%
19.87%
18.45%
35.55%
Permissible ultimate load, [kN/m]
28.66
34.70
34.50
33.98
33.97
Beam deflection, [mm]
27.479
22.479
22.63
23.112
23.272
Decrease in deflection in relation to the basic design case No. 1
−
18.19%
17.65%
15.89%
15.31%
Maximum normal stresses in the composite, [MPa]
−
20.57
20.66
20.81
20.98
Maximum shear stresses in the composite, [MPa]
−
1.856
3.30
3.368
3.11
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4 The Discussion of the Results Based on the analysis of the results of design models No. 2 ÷ 4, a higher consumption of composite material does not lead to a significant increase in the bearing capacity of the beam section (see Table 3). The increase in bearing capacity for the analyzed design cases No. 2 ÷ 4 is 18.56 ÷ 21.07% (Fig. 7).
The rao of the ulmate load to the mass of the composite, [kN / m / kg]
0.25 0,2085
0.2 0.15 0.1
0,1224
0,2321
0,1523
0.05 0
№2
№3
№4
№5
Reinforcing composite element shape
Fig. 7. Graph of the function of the ratio of the bearing capacity of a hybrid beam with internal reinforcement by a composite material (in terms of normal stresses) to its consumption for each design case
In the case of using a composite element with a hole of a special shape, the increase in the bearing capacity is 18.53%, while the consumption of the composite material among all the analyzed options is the smallest. From a comparison of the values of the ratio of the ultimate load, which the hybrid beam structure can accept, to the consumption of the composite material, it follows that the most effective reinforcement option is the use of a composite element with a hole developed in a special shape [11, 12] - design model No. 5. One of the additional advantages of the developed hole shape in the composite element is a decrease in the values of the effective shear stresses with a simultaneous increase in the stability of the steel beam walls. The use of a composite with a hole of the developed shape leads to unloading of the beam wall to a greater extent than the use of similar composite elements made with holes of circular and oval cross-sections. One of the main advantages of using composite materials as a material for reinforcing a steel shell is their high strength properties with a sufficient level of material rigidity. For example, when the modulus of elasticity of the composite is ≈27 GPa, the normal stresses acting in the most compressed and stretched fibers of the composite element are 0.131 of the stresses acting in the steel web of the beam at the same level along the height of the section. The most common determinants of the bearing capacity of a beam are normal compressive as well as shear stresses. In the case of using steel C235 at the maximum load of the beam, the maximum calculated normal stress in the composite will reach a value of ≈26 MPa. The indicated value of the stresses acting in the composite is an order of magnitude lower than the stresses that destroy it. In the analyzed case, the composite material is able to withstand stress of 119 MPa without fracture, which is 4.577 times
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higher than the stress that destroys the composite. The high strength and physical and mechanical properties of the composite material indicate the possibility of its use as a reinforcing material for beams made of high-strength steels with thin walls.
5 Conclusion The use of composite elements of the developed form for the internal reinforcement of a steel box-section beam leads to an increase in the bearing capacity of the hybrid beam, as a consequence to an increase in the reliability of the entire structure.
References 1. Egorov, V., Abu-Khasan, M., Shikova, V.: The systems of reservation of bearing structures coatings of transport buildings and constructions for northern areas. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022021 (2020). https://doi.org/10.1088/1757-899X/753/2/022021 2. Rusanova, E., Abu-Khasan, M., Egorov, V.: Influence of wooden cross ties on the surrounding medium at operation of transport objects in cold regions. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022042 (2020). https://doi.org/10.1088/1757-899X/753/2/022042 3. Belash, T.A., Ivanova, T.V.: Earthquake resistance of buildings on thawing permafrost grounds. Magaz. Civil Eng. 93(1), 50–59 (2020). https://doi.org/10.18720/MCE.93.5 4. Belash, T.A., Uzdin, A.M.: Effects of permafrost on earthquake resistance of transport facilities in the Baikal–Amur mainline area. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 79–95. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_9 5. Nikitin, Y.: Architecture of Russian exhibition pavilions at international Nordic exhibitions in the late 19th – Early 20th centuries. Archit. Eng. 5(4), 35–43 (2020). https://doi.org/10. 23968/2500-0055-2020-5-4-35-43 6. Benin, A., Semenov, S., Semenov, A., Bogdanova, G.: Parameter identification for coupled elasto-plasto-damage model for overheated concrete. MATEC Web Conf. 107, 00042 (2017). https://doi.org/10.1051/matecconf/201710700042 7. Shershneva, M., Sakharova, A., Kozlov, I.: Geoecoprotective screens for road construction and operation in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 347–356. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_36 8. Shershneva, M., Puzanova, Y., Sakharova, A.: Geoecoprotective technologies from heavy metal ions pollution for transport construction in permafrost regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 329– 338. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_34 9. Abu-Khasan, M., Egorov, V., Rozantseva, N., Kuprava, L.: Load carrying wooad and metal structures of trusses of covering of long spanned rail depot. IOP Conf. Ser. Mater. Sci. Eng. 463(4), 042075 (2018). https://doi.org/10.1088/1757-899X/463/4/042075 10. Veselov, V., Abu-Khasan, M., Egorov, V.: Innovative design of wooden beams in the far North. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022024 (2020). https://doi.org/10.1088/1757-899x/ 753/2/022024
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11. Abu-Khasan, M., Rozantseva, N., Egorov, V., Kuprava, L.: Prefabricated dome structures with walls made of soil composites and urea-formaldehyde foam insulation (UFFI) as a way to solve transport infrastructure problems in Permafrost Regions. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022022 (2020). https://doi.org/10.1088/1757-899X/753/2/022022 12. Temnev, V., Abu-Khasan, M., Charnik, D., Kuprava, L., Egorov, V.: The mesh of shells of a bionic type to be operated in extreme habitats. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022023 (2020). https://doi.org/10.1088/1757-899X/753/2/022023
Optimization of the Main Parameters for the Bridge Spans on High-Speed Railways Leonid Diachenko1(B)
and Artem Ivanov2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation 2 Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk 630049, Russian Federation
Abstract. This paper presents a methodology that gives an opportunity to reliably perform a primary analysis of the dynamic effects and features of the span structures’ interaction for the bridge structures and rolling stock at the design speeds of up to 420 km/h. The paper determines the dependences of the influence of the bridges split beam span structures’ parameters on the nature and magnitude of their dynamic response when exposed to high-speed rolling stock. Practical recommendations on the rational designation of the main parameters of the structure (vertical stiffness, mass, range of natural vibration frequencies) are given. It is recommended to assign the main design parameters at the initial design stage in accordance with the limitations of the split beam span structures’ natural vibration frequencies lower limit for the design train speeds up to 420 km/h. The proposed restrictions allow to assign the main parameters of the structure at the initial design stage and minimize the dynamic effect of a moving load. When determining the main design parameters of span structures, it is necessary to take into account the recommendations for assigning the minimum required mass of span structures for various spans. Taking into account the proposed dependencies significantly reduces labor costs for designing and performing dynamic calculations. Keywords: Bridge · Superstructure · Dynamic action · High-speed line · Resonant vibrations
1 Introduction One of the main directions and principles of railway transport modernization and development in the Russian Federation in the near future is the construction of high-speed railway lines (HSRL) with train speeds over 250 km/h [1–6]. As world experience shows, the share of the length of bridge structures in HSRL composition is significantly higher than on conventional railways. This determines their high unit cost, and, therefore, determines the prerequisites for improving the methods of calculating and designing artificial structures in order to optimize their basic technical and economic parameters.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 607–616, 2022. https://doi.org/10.1007/978-3-030-96380-4_66
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Unlike conventional railway lines, in the design of artificial structures on high-speed railways, along with the traditional requirements for ensuring reliability and durability, the determining tasks of research are dynamic modes of spans’ oscillation, issues of the wheel and rail interaction reliability and ensuring the comfort and safety of passengers [BC 453.1325800.2019 “Constructions of artificial high-speed railway lines”]. The dynamic processes accompanying the train movement across the bridge to a significant extent determine the design, material, section sizes, rigidity of individual elements and the structure as a whole [7–15]. The mobile temporary railway load has a pronounced dynamic character, as a result of which the reliability of the bridges calculations is largely determined by how fully and correctly, they take into account the dynamic phenomena of interaction with the rolling stock. The dynamic processes accompanying the train movement on the bridge put forward a number of specific requirements for bridges, which largely determine their design, material, cross-sectional dimensions, the rigidity of individual elements and the structure as a whole, the construction of a rail track on span structures, etc. the interaction of bridges and rolling stock when moving at speeds up to 400 km/h the design of bridge structures on high-speed railways, due to the lack of experimental and research data should be carried out on the basis of calculations and numerical modeling of the dynamic interaction of a single “bridge-train” system. When the train moves across the bridge, an alternating force is transmitted to the superstructures by the train crews through the wheelsets. At high speeds of train movement, the frequency of the train force action can coincide with the frequencies of the natural vibrations of the superstructure loaded by the train, which can lead to the occurrence of resonant vibrations of structures, and, consequently, to a significant increase in temporary load effect. The rolling stock, in turn, also experiences dynamic disturbance when moving along the bridges deformed under its influence, the structures of the bridge spans. Thus, the bridge and the high-speed train moving along it work as a single system, which necessitates solving the problems of their dynamic interaction. The described dynamic effects lead not only to an increase in forces in the elements of bridge structures, but also have an adverse effect on the bridge deck stability and the comfort of passengers while trains are moving on bridges on high-speed railways. The most important factors determining the features of the “bridge-train” system are the inertial and stiffness characteristics of two subsystems: “bridge” and “train”, as well as rationing and recommendations for the purpose of these parameters are of decisive economic importance. Taking into account the dynamic operation of bridges on highspeed railways not only determines the design area of new bridge structures at high train speeds, but also makes it possible to predict the phenomena of dynamic interaction of the “bridge-train” system for the unique structures, in structures using new materials, as well as during the existing bridges’ reconstruction.
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2 Description of the Research Methodology When developing a methodology for the dynamic calculation of split beam spans, the function of the span’s vibrations excitation due to moving axial loads using the Fourier series expansion can be represented in the following form [8, 15]: 2π Vt 2 2π Vt ∫ S0 (λ) cos dλ P(t) = + sin Xn λ λ where λ is an excitation wavelength, m; V is train speed, m/s; Xn is a distance between the first and last axle (train length), m. Dynamic characteristics of the train S0(λ) in this case can be represented as: 2 n 2 n 2π xi 2π xi S0 (λ) = Pi cos + Pi sin λ λ i=1
i=1
here: Pi is stress on the i-th train axle, kN; xi is an abscissa of the i-th train axle (distance between load Pi and the first axis), m. Using the calculated parameters, the value of the structure dynamic response was obtained when the train was moving at a speed V. This technique can only be used for the first bending mode vertical vibration. Maximum vertical acceleration in the middle of the span amax is proposed to define as the product of the following terms: amax where C is a parameter depending on the superstructure mass: C=
4 mπ
A (L/λ) depends only on the span length L and is a dynamic line of influence, defined as follows:
cos π L
A(L/λ) = 2 λ
2L − 1
λ
G (λ) depends on the so-called dynamic characteristics of the train and the damping coefficient (ξ) of the span structure. This parameter determines the spectrum of the train impact, expressed in kN/m.
1 Xi G(λ) = Max S0,i (λ) 1 − exp −2π ξ ξ Xi λ where Xi is the length of a train part, including the i-th number of axles.
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Below are the spectral characteristics of the impact obtained by the author for foreign (Fig. 1), domestic (Fig. 2) high-speed trains, as well as for the standard trains’ models A1–A10 (Fig. 3).
Fig. 1. Spectral characteristics of European high-speed trains
Fig. 2. Spectral characteristics of domestic high-speed trains
Fig. 3. Spectral characteristics of high-speed train models A1 –A10
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It should be noted that the use of high-speed train models A1–A10, is justified, especially in cases when at the time of artificial structures designing the type of highspeed rolling stock is not defined. Thus, the values of the envelope constructed from the maximum spectral characteristics values of the train models A1–A10 for the entire range of excitation length (λ) exceeds the corresponding values for real domestic and foreign high-speed trains. From this it follows that to perform dynamic calculations, in most cases, it is sufficient to use only the models of trains A1–A10, and not all trains regulated by BC 453.1325800.2019 “Artificial structures of high-speed railway lines” (Fig. 4).
Fig. 4. Comparison of spectral characteristics of real high-speed trains and the envelope for the model trains A1–A10
The study of the dynamic impact spectrum of European and domestic trains makes it possible to conclude that the frequencies of impact have a wide range of values. Thus, the design of artificial structures for all possible trains is not rational and does not allow optimizing structures in order to minimize the dynamic impact, and, consequently, the material consumption. In this case, the requirement to define the list and characteristics of a high-speed train intended for operation in the design assignment comes to the fore. The principle of the high-speed line versatility in this case runs counter to economic considerations, which should certainly be taken into account at the earliest stages of the project, when justifying investments and determining the main, “general” purpose of HSRL construction.
Fig. 5. Comparison of spectral characteristics of real high-speed trains and envelope for the models of trains A7–A10
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So, the envelope of only four models of trains A7–A10 includes the impact spectra of all considered real trains, with the exception of AVE, Thalys and EUROSTAR 373-1 (Fig. 5).
3 Analysis of Research Results Based on the analysis of the high-speed trains’ dynamic impact features on the bridge spans and the study of the resonance phenomena influence, the dependences to limit the minimum mass of the span from the condition of the maximum permissible vertical accelerations of the span have been obtained (4.905 m/s2 for ballastless bridge deck). Figures 6 and 7 show the dependences of ensuring the minimum mass of the superstructure (taking into account all constant loads) for reinforced concrete and steel (steelreinforced concrete) superstructures in the range of spans from 10 to 50 m under the influence of high-speed trains A1–A10 [1]. It should be noted that the use of the models of high-speed trains A1–A10 is justified, since the impact of standard train schemes exceeds the corresponding values for real domestic and foreign high-speed trains.
Fig. 6. Recommendations for assigning the minimum mass of reinforced co crete split span structures
Fig. 7. Recommendations for assigning the minimum mass of steel (steel-reinforced concrete) split span structures
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The abscissa of the graphs is λ, the wavelength of the impact from the high-speed train. In order to go to the speed of the train, it is necessary to multiply the excitation wavelength by the natural vibration frequency value: V = λ · f1 ⇒ λ =
V f1
Ordinate of graphs — L span length. It should be noted that the division by the type of structure in the presented dependencies is due to different values of the standard damping coefficients for metal and reinforced concrete structures. In addition, an extra damping for spans less than 30 m in length was also taken into account. On the basis of the above-shown results, the recommendations for limiting the lower limit of the natural vibration frequencies of split beam span structures have been developed (Fig. 8). The restrictions on the lower limit of the superstructures’ natural vibration frequencies (10–50 m long) allow to designate the main design parameters already at the initial design stage in such a way as to minimize the dynamic effect of the moving load at the design train speeds up to 420 km/h.
f1,max [1]
f1,min - recommended f1,min [1]
Fig. 8. Recommendations for limiting the lower limit of natural vibration frequencies of split girder spans for the design train speed of 420 km/h
In contrast to the recommendations of the norms [1], the limitations of the lower limit of the superstructures’ natural vibration frequencies are justified not only by the experience of designing bridges, including those on conventional railways, but also by the conditions of minimizing the dynamic effect of a moving load at train speeds up to 400 km/h. On the basis of the studies performed, the recommendations to limit the minimum permissible linear mass of split beam span structures have been developed. The specified recommendations for the spans with a length of 16–50 m determine the minimum required linear mass of the span (taking into account the weight of the bridge deck and other permanent loads), subject to the restrictions on the range of the first natural vibration frequency (Fig. 9).
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Fig. 9. Dependence of the bridge span minimum required running mass on the span length
Based on the analysis of the results obtained, the optimal span lengths can be indicated, at which it is possible to achieve the minimum material consumption of structures or have maximum reserves for verifying vertical accelerations when exposed to high-speed trains. The work also determined the dependence of the minimum required vertical stiffness of span structures (expressed in the form of relative deflection on the live load C8, according to BC 453.1325800.2019 “Constructions of artificial high-speed railway lines”) necessary to optimize the consumption of materials (Fig. 10).
Fig. 10. Dependence of the required vertical stiffness of span structures, required to optimize material consumption
It should be noted that the recommendations presented were obtained on the basis of one of defining the criteria for ensuring railway traffic safety - limiting the maximum peak vertical accelerations of the superstructure at the rail track level. This check does not exclude the need to meet other criteria for high-speed train traffic safety and passenger comfort: • limiting the range and ratio of the first vertical bending and torsional natural frequencies • limitation of ultimate deflections from vertical reference load • limiting the amount of track twisting (the difference in the marks of two rails of one track should not exceed 1 mm per 3 m track)
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• limiting the critical angle of the reference section rotation (profile fractures)
4 Conclusions The mathematical models and methods of numerical calculations described in this work make it possible to reliably analyze the dynamic effects and features of the span structures’ interaction for bridge structures and rolling stock at design speeds of up to 420 km/h. In the course of the work, the dependences of the bridges split beam span structures’ parameters influence on the nature and magnitude of their dynamic response were determined. Practical recommendations are given on the rational designation of the main structural parameters (vertical stiffness, mass, range of natural vibration frequencies). At the initial design stage, it is recommended to assign the main design parameters in accordance with the limitations of the split beam span structures natural vibration frequencies’ lower limit for design train speeds up to 420 km/h. The proposed restrictions allow to assign the main parameters of the structure and minimize the dynamic effect of a moving load at the initial design stage. When determining the main design parameters of span structures, it is necessary to take into account the recommendations for assigning the minimum required mass of span structures for various spans. Taking into account the proposed dependencies significantly reduces design labor and reduces the likelihood of possible adjustments after performing dynamic calculations. Based on the research results, the following calculated lengths of unified split beam span structures with driving on a ballastless bridge deck can be recommended for design: • by the condition of maximum reserves when checking vertical accelerations under the influence of high-speed trains (minimum material consumption): 18, 21, 29, 44, 50 m • according to the condition of the span structures’ minimum required vertical stiffness (minimum construction height): 18, 21, 29 m • according to the condition of the optimal ratio with the parameters of the rolling stock (antiresonance), developed for Moscow–Saint Petersburg high-speed railway: 34.8 … 38.7 m It should be noted that the range of dynamic effects of European and domestic highspeed trains has a wide range of values. The design of artificial structures for all possible trains is not rational and makes it difficult to optimize the structures in order to minimize dynamic impact, and, consequently, the material consumption. The principle of the highspeed line versatility runs counter to economic considerations, which should certainly be taken into account at the earliest stages of the project, when justifying investments and determining the main, “general” goal of a high-speed railway construction.
References 1. EN 1991-2: Eurocode 1: Action on structures – Part 2: Traffic loads on bridges
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2. Ledyaev, A., Kavkazskiy, V., Vatulin, Y., Svitin, V., Shelgunov, O.: Mathematical modeling of aerodynamic processes in railway tunnels on high-speed railways. E3S Web Conf. 157, 06017 (2020). https://doi.org/10.1051/e3sconf/202015706017 3. Smirnov, V.N., et al.: Dynamic interaction of high-speed trains with span structures and flexible support. Magaz. Civil Eng. 8(76), 115–129 (2017). https://doi.org/10.18720/MCE. 76.11 4. Indeykin, A.V., et al.: Approximated methods of estimation of the reliability of framed railway structures of railway bridges. Magaz. Civil Eng. 7(75), 150–160 (2017). https://doi.org/10. 18720/MCE.75.15 5. Kolos, A.F., Petrova, T.M., Makhonina, A.O.: Full - scale study of stress-strain state of ballastless upper structure construction of rail way in terms of train dynamic load. Proc. Eng. 189, 429–433 (2017). https://doi.org/10.1016/j.proeng.2017.05.068 6. Kolos, A.F., Ryzhov, V.S., Shmulevich, M.I., Akkerman, G.L.: Deformation properties of decomposed peat under vibration and dynamic load impact. Proc. Eng. 189, 792–799 (2017). https://doi.org/10.1016/j.proeng.2017.05.123 7. Neves, S.G.M., Azevedo, A., Calçada, R.: Development of an efficient finite element model for the dynamic analysis of the train-bridge interaction. In: Conference: IABMAS 2008 – 4th International Conference on Bridge Maintenance, Safety and Management at: Seoul, Korea Conference International Conference on Bridge Maintenance, Safety and Management (2008). https://doi.org/10.1201/9781439828434.ch79 8. Delgado, R., Santos, S.M.: Modelling of railway bridge-vehicle interaction on high speed tracks. Comput. Struct. 63, 511–523 (1997). https://doi.org/10.1016/S0045-7949(96)00360-4 9. Zhang, N., Xia, H., Guo, W.: Vehicle–bridge interaction analysis under high-speed trains. J. Sound Vib. 309(3–5), 407–425 (2008) 10. Yang, Y.B., Yau, J.D., Wu, Y.S.: Vehicle-Bridge Interaction Dynamics: With Applications to High-Speed Railways. World Scientific, Singapore (2004) 11. Neves, S.G.M., Montenegro, P.A., Azevedo, A.F.M., Calçada, R.: A direct method for analysing the nonlinear vehicle-structure interaction in high-speed railway lines. In: Conference: The Second International Conference on Railway Technology: Research, Development and Maintenance at Ajaccio, Corsica (2014). https://doi.org/10.4203/ccp.104.81 12. Diachenko, L., Smirnov, V.: Dynamic interaction of the “bridge-train” system on high-speed railways. E3S Web Conf. 157, 06015 (2020). https://doi.org/10.1051/e3sconf/202015706015 13. Diachenko, L., Benin, A., Diachenko, A.: Design of dynamic parameters for simple beam bridges on high-speed railways. IOP Conf. Ser. Mater. Sci. Eng. 463, 022048 (2018). https:// doi.org/10.1088/1757-899X/463/2/022048 14. Dyachenko, L.K., Benin, A.V., Diachenko, A.: Research of interaction of the “train – bridge” system with bridge deck resonant vibrations. MATEC Web Conf. 2018, 05002 (2018). https:// doi.org/10.1051/matecconf/201823905002 15. Diachenko, L., Benin, A., Smirnov, V., Diachenko, A.: Rating of dynamic coefficient for simple beam bridge design on high-speed railways. Civil Environ. Eng. 14(1), 37–43 (2018). https://doi.org/10.2478/cee-2018-0005
Algorithms to Ensure the Required Efficiency of Digitalization Programs’ Implementation Process in Transport Industry Alexey Dergachev , Olga Kuranova , and Natalia Shedko(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The problem of developing algorithms for scientific and administrative support of the digitalization programs’ implementing processes in transport industry is considered. The reasons for the probabilistic nature of the completion real timing of individual PC stages and components are analyzed. An algorithm for the operative optimal adjustment of the digitalization program and a method for determining the optimal ratio of setting-digital operations and control procedures have been developed. For the implementation of an effective control system, the expressions for evaluating the gains of ordering organizations for various strategies for carrying out improvements and procedures have been obtained. An algorithm for calculating the probabilistic risk assessment of non-compliance with the requirements contained in the “Passport of the digitalization program” has been developed. Possible options for achieving the goal (for a given time with the available resources to implement the approved program) are analyzed. The necessity of forming an array of situational decisions, providing reliable calculation of the risks’ statistical assessments for the customer and the contractor, has been substantiated. The developed algorithm implementation should be carried out in parallel with the processing of marketing research results and model testing of hypotheses about the effectiveness of various options for restarting the digitalization program. A scheme for accounting for the potential damage to the customer due to the adoption of erroneous decisions and the corresponding additional costs of the contractor when recalculating the generalized gain from digitalization has been developed. Keywords: Digitalization program · Proactive control algorithm · Conditionally optimal option · Reconfiguration · Efficiency · Randomization · Customer risk
1 Introduction When developing the development plans for the transport system of Russia, it is currently necessary to focus on the National Economy Digitalization Project (DP). However, the move to cloud technologies increases the vulnerability of all participants in any hightech project, therefore, a new management model that goes beyond the responsibility level of a particular organization and affects several stages of the transport facilities’ life cycle should be applied. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 617–626, 2022. https://doi.org/10.1007/978-3-030-96380-4_67
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For example, within the framework of JSC «RZD» development is planned to create a unified digital platform for the transport complex, filtering Internet sites, identifying clients of communication services, mandatory installation of domestic antiviruses, and identifying devices for the Internet of things. The total costs are planned at 140 million rubles, the planned completion date is 2021. Each of these activities will require theoretical and engineering studies to form a set of potentially realizable options (either pilot or modernization). Any option is characterized by the volume of planned costs for the project design and launch, interval estimates of time costs and, ultimately, the expected profit from digitalization.
2 Purpose of the Study Analysis of well-known works on the “Digitalization of transport projects” concept study showed that many “point solutions” have been worked out deeply and in detail [1–4]. For example, an adaptive security algorithm ACS «RZD» has been developed including mechanisms of passive and active diagnostics, indicative and representative monitoring. The routing algorithms based on various optimization criteria and the methods for ensuring the survivability of databases have been modernized to work with bigdata (Big Data) and the IoT (industrial Internet of Things). However, the issues of a strict quantitative justification for coordinating project activities and reducing public administration costs were not considered. In addition, it is not possible to accurately assess the time costs and financial consequences of “accompanying” processes: changes in taxation for foreign IT vendors, changes in the regulatory services’ requirements for commodity aggregators, overcoming distrust in digital sphere, etc. [5–7]. It becomes necessary to define not a “deterministic” reconfiguration scheme, but to select step-by-step control actions while coordinating the use of additionally attracted investments. At the same time, there is a “simultaneous” need to develop an algorithm for determining a rational relationship between the technical and technological procedures and control procedures, since the cost of the latter can be comparable to the costs of the main technological operations [6, 8].
3 Research Method Based on the Dynamic Adaptation Principle’s Implementation To solve the first of the formulated tasks, it seems advisable to provide for the probabilistic nature of the real timing of the DP individual stages and components’ completion of. The reasons for the need for randomization can be of different nature [9, 10]. In addition, it is necessary to take into account the uncertainty associated with sanctions restrictions and global depressive changes in the world economy [11, 12]. Thus, when preparing the data for decisions on justifying situational techniques for responding to potential violations of DP implementation it is necessary to apply the methodology of the process probabilistic formalization.
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Let zpl be a runtime DP value, indicated in « DP Passport», pl pl ti is a design duration of an arbitrary stage, i = (1, N ), i.e., N i=1 ti = zpl . ti*is an actual arbitrary step duration. After completing the first stage DP postulated delay pl (t1∗ − t1 ) expression for setting the actual completion date DP should be recalculated: zˆ1 = zˆ /t1∗ = t1∗ + ˆt2 + ˆt3 + ... + ˆtN . After the transformations, we obtain an expression for calculating the probability of fulfilling the operational - time requirements contained in «DP Passport»: P(t < ttr) = 1 − γzˆ1 1 γzˆ1 = 2π
∞ −∞
e
−ju(ˆt −t1∗ )
ϕt1∗ =
0
du ·
N
ejux ϕˆti x; AKi dx
i=2 zpl
ϕzˆ1 (t)dt
When an unacceptably high-risk value is obtained as a result of expert assessment γ1∗ investment is required to carry out emergency actions to ensure the guaranteed completion DP within the time period established by the Supreme Authorities (SA). After these steps, the quantitative attributes must be changed for the remaining steps AKi . At each stage of the program, starting from the second, the reconfiguration vector is calculated
AK2 = AK2 + YK2 , changing the parameters of the distribution density of the new stage duration. The cost of new investments is minimized by econometric methods for various adjustment options in compliance with the guidelines’ requirements. To calculate the rational values of the desired vector, a special equation is drawn up, which is solved on the operational scale of the DP control execution: pl ∗∗ + RT = 1, θv−1 yv−1 , λv−1 , . . . , λN , T p1 , t1 ∗ . . . tv−1 The composition of this equation attributes is determined by the type of distribution law of the quantity t i . For example, for a one-parameter distribution law during DP correction at the second stage, the corresponding transcendental equation has the form:
pl ∗∗ ∗∗ pl ∗∗ ∗∗ 4 4 e−4 z −t1 −t2 + Rob = 1, 1+ e−3 z −t1 −t2 − 1 + 3 − 4 3 − 4 where Rob defines the additional distribution function value, i.e., a corresponding risk value RTpl. λυ is the quantity distribution parameter tυ.
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For the two-parameter law, at the third stage, the following equation should be solved: ⎞⎤ ⎡ ⎛ 1 ⎣ ⎝ z pl − t1∗ − t2∗∗ − m3 − y2 − m4 ⎠⎦ + Rob = 1, G √ 2 2 2 (σ + y ) + σ 2 3
2
4
where G is a tabulated function. To provide information support for the functioning of the proposed algorithm, a database containing information about the relationships between the randomized entities of the next predicted corrective measures, their cost, and an estimate of the delayed elimination should be regularly updated. The implementation of the developed algorithm is carried out in parallel with the marketing research results processing and model testing of hypotheses about the various DP restart options’ effectiveness.
4 Research Method Based on the Implementation of the Markov Model Let us consider the digitalization program stages’ implementation as a process of transition of the system from state to state. Let us introduce the notation: υ is the probability of a one-step control operation implementation (in our case, the system transfer from one planned stage to another); m is the number of the attempt to carry out the control operation (digitalization measures, m = 1,…,M); cm is the cost of the resource spent on one operation (attempt; r defines resource consumption for monitoring the program status; zr is the cost of measures to monitor DP progress; Q is an indicator of the output effect from the implementation of the program (actual income; prevented damage, etc.); ttr is a required (planned) duration of DP implementation; Ptr is a required probability of DP realization on time. Let us consider the essence of the probabilistic model of the process, including technical and technological operations and procedures for monitoring their execution, using the example of an operation for which M = 3. Let us analyze the possible options for achieving the goal (for a given time, with the available resources to implement the approved DP). • Successful option: m = 1; z = 1; t = ti + tr1 , where ti Defines the i-th “attempt’s” duration; t rj Defines the j-th control operation’s duration (in this version i = 1, j = 1). • Success on two tries: m = 2; z = 2; t = t1 + tr1 + t2 + tr2 . • Success in three attempts: m = 3; z = 3; t = t1 + tr1 + t2 + tr2 + t3 + tr3 .
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• Negative outcome requires the preparation and implementation of new activities and, accordingly, there will be a significant overspending of funds aimed at eliminating the remaining in the higher-level projects’ implementation, it takes time to find a source of financing for compensation for damage and continue DP implementation. • Changing the concept of control: m = 3; z = 2; t = t1 + tr1 + t2 + t3 + tr3 ; in this variant, there is an additional consumption of the resource without detailed specification of the result of the second attempt (SA setting: accelerate DP implementation due to additional resource costs and partial time savings). • The target task has not been completed, all participants in the process receive significant damage (to the Customer’s detriment, it is necessary to include lost profit, expectation of income, etc., to the detriment of the Contractor - fines). In addition to those listed, other options are possible due to DM psychological attitudes (the principle of a guaranteed result, variation of a risk-based approach, etc.). Each variant should correspond to its own adequate as “linear” control method, but the stochastic nature of the variants’ emergence determines the necessity and inevitability of developing a non-deterministic “direct” plan, and an adaptive control algorithm determined by the outcome of each “attempt”. Thus, the implementation of the digitalization program can be interpreted as a process of a multi-stage transition of the system from the initial state to the final state corresponding to the implementation DP available resource on time [13]. A(j) will denote the state of the system corresponding to the j unsuccessful “attempts”; j = 0(1) (M - 1); A(M) is the final state of the system. Within the framework of the article, we will assume that when developing the optimization concept of this process, three types of control actions were established for each stage: B(1) – implementation arrangements DP carried out without a subsequent control procedure at the next technical and technological step; B(2) – after each event, the fact of compliance of the implementation results with established requirements is monitored; B(3) – carrying out the implementation of DP activities and control ceases. It should be noted that if the Customer and the Contractor are the organizations with state participation, then their revenues and costs should be summed up in some generalized indicator. Optimization on any nth level (n = 2, …, M − 1) should be carried out according to the maximization rule for each type of the two terms (gain) sum control, averaged over the probabilities related to the current and remaining stages, “combined” into one. Let us get the expressions needed to calculate the gains. If the result is (n − 1) -s stage - state A(M), then the necessary control action is B(3), i.e., the gain at all remaining stages is zero. If the result is (n − 1)th stage – the state A(j), j = 0(1)(n - 1), then when controlling B(1) the gains are calculated using the formula: Vn A(j) , B(1) + V (n+1) , ...M A(j) , B(1) = Q(1 − υ)j ∗υ − cm + Vn+1,...M A(j+1)
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When controlling B(2) in the same situation, the calculation formulas should include, taking into account the value zr, an average gain Vn at the considered stage and twice averaged maximum gain V n+1,...M in the remaining stages, including (n + 1)th.
5 Accounting for Temporary Factors and Costs of the Customer (Contractor) In the works on optimization methods [14], it is substantiated that the most objective efficiency indicator is the probability of achieving the goal, for which it is necessary to take into account not only performance indicators (its calculation is discussed above), but also the efficiency indicator (the probability that the process under study will “fit” within a given time frame) and an indicator of resource consumption (the probability that the consumption of resources during the implementation of the process will “keep within” the existing limits) when calculating. When determining the conditional law for the time costs distribution, it is necessary to take into account various technological restrictions on the likelihood of both technical and technological measures and control procedures (the corresponding functions have unequal time gaps, from units of days to tens of months). When determining the conditional law of resource consumption distribution, it is necessary to take into account that control of the fact of implementation can be carried out only inertially, according to indirect signs measured with errors of various nature for many digital systems [15]. Consequently, even with the accumulation of a large amount of a priori statistical information or information obtained from the results of training and mathematical modeling, two undesirable situations are possible: making an erroneous decision about unsuccessful measures during the actual regular digitalization or making an erroneous decision on the required state reliable recognition of the implemented digitalization complexes when objects are in unsatisfactory condition. Risk α of a contracting organization and risk β of the executing organization are determined by the distribution laws of the key parameters measurements’ results and the laws of statistical information distribution on measurement errors. Information support for the feasibility of the developed algorithms should be aimed at reducing the share of organizations using external digital developments and the share of companies which specialists do not have competencies in the field of digitalization or, with deep theoretical preparedness, did not master the necessary skills. The solution to this problem can be complicated by an increase in the workload on key specialists due to economic activity recovery and an increase in the volume of traffic on Russian Railways, due to the “eastern trend” and the rise in world prices for metals and coal. Thus, when recalculating the generalized gain, it is necessary to take into account the potential damage Yzakf customer and additional costs Yispf performer according to the formula: isp
RR = βf Yzak f + αf Yf , where f is a number of the considered digitalization process stages (with increasing f magnitudes Yzakf, Yispf increase); αf, βf are the risks of the customer and the contractor for f - th stage respectively.
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6 Calculation Results and Their Analysis Let us consider the implementation of the proposed approach on the example of the implementation of a hypothetical DP with the following initial data: M = 6; υ = 0.3; cm = 1; zr = 0.4; Q = 8. In accordance with the multi-stage optimization logic at a finite number of steps, the implementation of the proactive control algorithm from the sixth stage is started. If, after the five previous steps, DP implementation action and control have already been terminated (i.e., the process is in the state A(0)), then we apply control of the third type 6 (B(3)), while the average gain is zero V A(0) = 0. If the process is in other states A(j), j = 0(1)5, then at Q(1 − υ)j ∗ υ − cm ≥ 0 the type of control B(1) is applied, and vice versa, at Q(1 − υ)j ∗ υ − cm > 0 the type of control B(3) is applied. ∗ The results of calculating the maximum average gains V 6 A(j) and the optimal type of control B*(A(j)) are presented in Table 1. According to the table, the following generalized conclusion can be drawn: – if, after five times resumption of digitalization measures, the results are not achieved, and at the same time the audit data was received when j = 0 (“Just now”), at j = 1 and at j = 2, then it is necessary to implement the last (by resource) attempt, and control is no longer carried out. – if 3, 4 and 5 update attempts have been made since the last control, then the process is inappropriate to continue.
Table 1. Conditional optimization at the last stage J ∗
The biggest gain V 6 A(j)
Locally - the best management option
0
1
2
3
4
5
1.4
0.68
0.18
0
0
0
No. 1
No. 1
No. 1
No. 3
No. 3
No. 3
The results of calculating the maximum average gain and the optimal type of control for the fifth stage are presented in Table 2. The results of calculating the maximum average gain and the optimal type of control for the remaining stages are presented in Tables 3, 4, 5, and 6. Thus, for the initial data adopted in the example, control procedures that ensure the achievement of the goal in a given time with the available resources are defined. At the first stage, this is unconditional optimal control B*1 = B(1).
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J
∗ The biggest gain V 5,6 A(j) Locally – an optimal control option
0
1
2
3
4
2.08
0.966
0.256
0
0
No. 1
No. 2
No. 2
No. 3
No. 3
Table 3. Conditional optimization at the fourth stage J
∗ A(j) The biggest gain V4,5,6
Locally – an optimal control option
0
1
2
3
2.456
1.142
0.0794
0
No. 1
No. 2
No. 2
No. 3
Table 4. Conditional optimization at the third stage J
∗ A(j) The biggest gain V3,4,5,6
Locally – an optimal control option
0
1
2
2.456
1.142
0.0794
No. 1
No. 2
No. 2
Table 5. Conditional optimization at the second stage J
∗ A(j) The biggest gain V2,3,4,5,6
Locally – an optimal control option
0
1
2.456
2.888
No. 1
No. 2
Table 6. Conditional optimization at the first stage J
∗ A(j) The biggest gain V1,2,3,4,5,6
Locally – an optimal control option
0 2.456 No. 1
At subsequent stages, this is a rational combination of conditionally optimal influences B2∗ A(1) → B3∗ A(2) → B4∗ A(3) → B5∗ A(3) → B6∗ A(5)
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The gain achieved by this control is V* = 2.456, the income with other combinations of technical and digital measures and control procedures will be lower.
7 Conclusions An approach to ensure the guaranteed implementation of programs for the transport systems’ digitalization in a given time frame with minimal additional investment is proposed. A methodology to minimize the costs associated with attracting additional investments in the course of monitoring the program execution processes has been developed.
References 1. Kuznetsov, A.L., Kirichenko, A.V., Shcherbakova Slyusarenko, V.N.: Tasks in digitalisation of Russia’s transport system transport of the Russian Federation. The magazine of science, practice. Economics 5(78), 27–31 (2018) 2. Smotritskaya, I.I., Chernykh, S.I., Shuvalov, S.S.: Strategic risks of the public administration in the digital economy. Issu. Risk Anal. 16(6), 38–49 (2019) 3. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., Polovnikova, N.A.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042075 (2020) 4. Belyi, A., Shestovitskii, D., Myachin, V., Sedykh, D.: Development of automation systems at transport objects of MegaCity. In: IEEE East-West Design and Test Symposium (EWDTS 2019), no. 8884382 (2019) 5. Gordon, M.A., Vasilenko, P.A., Sedykh, D.V.: Synthesis of Full Functional Check Programs for Train Traffic Management Systems on a Railway Station. J Phys. Conf. Ser. 1680(1), 012013 (2020) 6. Clark, A., Zhuravleva, N.A., Siekelova, A., Michalikova, K.F.: Industrial artificial intelligence, business process optimization, and big data-driven decision-makingprocesses in cyber-physical system-based smart factories. J. Self-Gov. Manag. Econ. 8(2), 28–34 (2020) 7. Tsukanova, O., Simonova, A.: Comparative analysis of methods and approaches to assessing effectiveness of informatization. J. Legal Econ. 2, 142–146 (2020) 8. Gray-Hawkins, M., Michalkova, L., Suler, P., Zhuravleva, N.A.: Real-time process monitoring in industry 4.0 manufacturing systems: sensing, smart, and sustainable technologies. Econ. Manag. Financ. Mark. 14(4), 30–36 (2019) 9. Dyatlov, S., Lobanov, O.: Services and technologies convergence in response to digital transformation of economy. J. Legal Econ. 2, 158–165 (2019) 10. Kurenkov, P., Pokrovskaya, O., Anastasov, M., Sokolov, M., Bochkov, A.: Study of the current state of the transport infrastructure of road and rail transport of the Russian Federation. IOP Conf. Ser. Mater. Sci. Eng. 698(6), 066064 (2019) 11. Ivanov, D.A., Ivanova, M.A., Sokolov, B.V.: Analysis of transformation trends in enterprise management principles in the era of industry 4.0 technology. Spiiras. Proc. 5(60), 97–127 (2018) 12. Petrenko, S.A., Stupin, D.D.: National System of Advance Computer Attacks Alerting, p. 448. Autonomous Nonprofit Organization of Higher Education Innopolis University, Kazan (2018) 13. Degtyarev, V.G., Kuharenko, L.A., Kudarov, R.S., Kudarov, R.S.: Mathematical justification for the information system for predicting dangerous situation. CEUR Worksh. Proc. 2556, 92–97 (2020)
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14. Ashimov, A.A., Geida, A.S., Lysenko, I.V., Yusupov, R.M.: System functioning efficiency and other system operational properties: research problems, evaluation method. Spiiras. Proc. 5(60), 241–270 (2018) 15. Arseniev, V.N., Khomonenko, A.D., Yadrenkin, A.A.: Weighed ranking ofaprioristic and experimental data in control system functioning efficiency estimation problem with Pascaldistributed number of tests. Inf. Contr. Syst. 3, 39–47 (2020)
Urban Traffic Network Connectivity and Efficiency Evaluation (Through the Example of Iraq) Evgeny Dudkin1
, Husam Abujwaid2(B)
, and Leonid Losin3
1 Emperor Alexander I St. Petersburg State Transport University,
9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation 2 Company Anwar Al Durgham General, 45 Kufa-Najaf Avenue, Najaf 54001, Republic of Iraq 3 Institute for Regional Economic Studies, Russian Academy of Sciences,
38 Serpukhovskaya Street, St. Petersburg 190013, Russian Federation
Abstract. The article offers a method to evaluate the connectivity and efficiency of urban traffic networks with the use of various indices (through the example of Iraqi cities). The existing indices, which are used for similar evaluation, have been considered and analyzed, and a traffic network planning algorithm has been proposed. The connectivity and efficiency of the traffic network in Najaf (Iraq) was evaluated, using the proposed algorithm. To be able to evaluate the traffic network properties, a public transport analysis was carried out, main directions of the traffic flows were identified; the actual traffic network was presented as a simplified network based on the graph theory (topology map). A survey was carried out and preliminary forecast was made to enhance the efficiency of the urban traffic network in Najaf. The number of links needs to be increased for all the indices of the traffic network in Najaf. If recommendations to modify the Najaf traffic network are followed, this will enable debottlenecking, reduce the number of car accidents and cut the transportation costs. It is recommended to use the proposed method to evaluate and enhance urban traffic networks. Keywords: Connectivity and efficiency indices · Urban traffic network planning algorithm · Topology map
1 Introduction An urban traffic network can be presented as a combination of streets and passage ways, as well as public transport infrastructure elements which are not connected with the traffic network [1]. Traffic network properties are largely impacted by their morphological characteristics [2]. The analysis of such characteristics offers a conclusion regarding their connectivity and efficiency [3]. A network which features good connectivity has a lot of short links and intersections [4–6], minimum number of blind passes, and this provides unimpeded movement to destination points. To analyze traffic network properties, it would be practical to present a real network as a simplified network based on the graph theory. There are different methods to evaluate network connectivity [7–9], including those based on different indices [10]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 627–636, 2022. https://doi.org/10.1007/978-3-030-96380-4_68
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2 Materials and Methods Beta index (β) compares the number of links with the number of network nodes. This index ranges from 0 and above. If this value is equal to zero, it means there are no connections; and if this value is equal to one, the number of links is equal to the number of nodes; however, the number of links may exceed that of nodes; therefore, this coefficient will be greater than 1. As traffic networks are developed and become more efficient, the β value should go up. β = e/v,
(1)
where e is a number of links in a network, v is a number of nodes. Gamma index (γ) compares the actual number of links with the maximum possible number of such links in the network. This index measures the maximum hypothetical connectivity of the network and is determined using the formula (2). γ = e/(3 ∗ (v − 2)),
(2)
where v is the number of nodes in the network. If there is no connectivity, the value approaches zero; if the value equals one, it means the full connectivity. Alpha index (α) is a relation between the number of main chains and the maximum possible number of the chains in the network. The range from 0 (no connections) to 1 is indicative of a highly integrated network, which has all possible connections between various nodes (a fully interconnected network). α = (e − v + 1)/2v − 5.
(3)
Rate of expansion. This index is used as a measure of speed within the network. In such case, the longer is a segment, the better it provides a maximum speed within such segment. This index is used in order to measure proximity and spread between nodes (tops) against the following indices: Eta index (η) is used in order to measure the actual length of the links between the nodes: η = M/e,
(4)
where M is a total length of the network expressed in km. First Betti index is used in order to measure a level of the network expansion for an area where the network is located and maintained. If this index is equal to or greater than one, the level of the network expansion is high; if it is equal to zero, this means there is no expansion. The index is determined using the following formula: Bf = e − v + 1, where Bf. is the first Betti index.
(5)
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Detour index is the shortest straight-line distance between two points. Most of the itineraries deviate from a straight-line direction, which leads to a longer travel and is characterized by a bypass index. This index is used in order to evaluate the traffic network efficiency. The value of such index can be determined using the following formula: O = (Lact /Ls ) × 100, where O is a bypass index, Lact. is an actual length of a road section, Ls is a straight-line distance over the same section. This index is equal to or greater than 100%. The more this value exceeds 100%, the less efficient is the network. Correlation index is a degree of correlation between the links in the network. This index is calculated according to the following formula: K = eact./emax.,
(6)
where K is a correlation index, eact. is a number of actual links, emax. is a maximum number of potential links. The maximum number of potential links equals 1/2 (n2 − n), where n is a number of nodes. When the maximum number of potential links considerably exceeds that of actual links, this index approaches zero. This means low correlation and necessitates more actual links. If the index equals one, this corresponds to the maximum possible number of the actual links [11, 12].
3 Results The following algorithm is proposed for planning the traffic network connectivity and efficiency, which utilizes all of the above indices (Fig. 1). To evaluate the efficiency of this algorithm, a survey was completed for the traffic network of Najaf, which is one of the typical Iraqi cities that belongs to Group I in terms of population density. Najaf is one of the major cities of Iraq; it is situated southwest of Baghdad, the capital of the country; its population is about 1.5 M people. The city is an important religious and tourist center, which is visited by thousands of tourists every year. The population growth is one of the key drivers to select and justify measures to enhance the traffic network of the city (Table 1). The public transport in Najaf is mainly represented by buses, which are the key elements of the transport system. Minibuses (for 10–12 passengers) are used; they are readily available and cover the main and side streets; midibuses (for 35–48 passengers) are mainly used for the main streets of the city (Fig. 2). Electric buses of a new generation are only available in the historic center of the city as free transport. Bicycles are most often unavailable due to high ambient temperatures, which sometimes exceed 45 °C [13]. However, the number of private and taxi vehicles far exceeds that of public transport vehicles and is continuously growing, which, in turn, is further increasing global warming, air pollution and noise level. [6, 14]. The Najaf traffic network diagram is shown in Fig. 3.
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Fig. 1. Flow chart for network connectivity and efficiency planning algorithm
Table 1. Characteristics of the city of Najaf City
Population, thousand inhabitants
Area KM2
The level of car Maximum length Population motorization. per of the city territory density, δH 1000 inhabitants KM thousand people/km2
NAJAF
1066.428
204.785
192
17.468
5.2
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Fig. 2. Najaf transport system characteristic, transportation share (%)
Fig. 3. Map of the city of Najaf: https://ilmiprints.com
For the city traffic survey, six points with peak traffic were selected in the network (Fig. 4). These points are located within various districts, which feature high population density, and are in close proximity with educational, medical and other service centers. The frequency of traffic in each direction has been calculated with high accuracy. The first and the second points are located in the eastern part of the city, close to the university center and city hospital; the third and the fourth ones are located not far from the Najaf international stadium. The fifth survey point is located downtown, near cultural sites and crowded shopping streets. The sixth point is not far from the airport and southern quarters.
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Fig. 4. Location of the survey points: https://www.google.com/earth
1. Kufa - Najaf Avenue opposite the Kufa University gates; each driving direction has 3 lanes with traffic strips in the middle. The traffic measurement shows 7,052 vehicles per hour. Rush hours are observed from 07:45 to 08:45 AM. 2. The road to the airport is a ring road, which has multiple lanes with traffic strips, 3 m wide on average. There are 3 lanes in each driving direction. These data were obtained near the roundabout opposite the Al-Adalah district. The traffic measurement shows 9,880 vehicles per hour. Rush hours are observed from 07:45 to 08:45 AM. 3. Green Belt Avenue is a multilane road with traffic strips that has 3 lanes in each driving direction. The data were obtained in the area opposite the university quarter. The traffic measurement shows 6,432 vehicles per hour. Rush hours are observed from 01:45 to 02:45 PM. 4. Karbala - Najaf Avenue is a multilane road with traffic strips that has 2 lanes in each driving direction. The data were obtained in the area opposite the Najaf stadium. The traffic measurement shows 4,884 vehicles per hour. Rush hours are observed from 10:00 to 11:00 AM. 5. Al-Iskan - Ghadir Road is a multilane road with traffic strips that has 3 lanes in each driving direction. The measurement was done in the area opposite the Najaf Traffic Control Center. The traffic measurement shows 7,468 vehicles per hour. Rush hours are observed from 06:15 to 07:15 PM. 6. Al Shamali Garage - Maysan Road. This is a multilane road with 3 lanes in each driving direction. The measurement was done near the Zahra intersection. The traffic measurement shows 5,620 vehicles per h. Rush hours are observed from 07:30 to 08:30 AM. A diagram showing the highest ridership is presented in Fig. 5.
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Fig. 5. Diagram of maximum passenger traffic for six survey points in Najaf
To be able to implement the algorithm proposed for Najaf, its traffic network was presented as a topology map (Fig. 6), based on which the connectivity and efficiency of the traffic network were evaluated.
Fig. 6. Najaf traffic network topology map https://battlearchives.com/
4 Results Discussion/Analysis Beta index β = e/v, β = 129/102 = 1.264. The results show a positive index for the connection to the network. Gamma index γ = e/(3 × (v − 2)), γ = 129/(3 × (102 – 2)) = 129/300 = 0.43. The network features low connectivity level. To be able to bring the Gamma index to the ideal value (one), 171 links will need to be added: (171 + 129)/300 = 1. Alpha index α = (e − v + p)/(2v − 5) = (129 – 129 + 102)/(2 × 129 – 5) = 0.4. Ideally, it should be: 1 = (e − 102 + 1)/(2 × 102 – 5) → e = 302 → 302 – 129 = 173. 173 links (street sections) will need to be added. Rate of expansion Eta index η = M/e → M - the total length of the network is 17.468 km.
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η = 17.468/129 = 0.1354 km. The distance between the nodes is not long. First Betti index Bf. = e – v + 1 = 129 – 102 + 1 = 28. The traffic network varies greatly across the city. Detour index O = (Lact. /Ls ) × 100. The calculation of the bypass index has shown the following – Average bypass index is 102.36%. The 2.36% increase from the ideal value indicates that the Najaf traffic network is efficient, which is in line with its flat terrain location. – 22 street sections feature the index value of 100%, whereas such index varies from 101% to 120% for 19 sections. – There are four street sections where this index exceeds 120%, which corresponds to 4.59% of the total number of the streets surveyed. This is Ring Road No. 1, Al-Suver, Al-Khouli 1–4 and 1–5. A conclusion can be reached that the Najaf traffic network is efficient against that criteria. Correlation index K = eact./emax. → The maximum number of potential links equals 1/2 (n2 − n) = 1/2(1022 – 102) = 5151. → The correlation index is 129/5151 = 0.025. The index value is considerably lower than one, i.e. the correlation is weak. The calculated indices, which are used in order to evaluate the connectivity and efficiency of the Najaf traffic network, are given in Table 2. Table 2. Results of calculating indices №
Index
Value
1
Beta index β
1.264
2
Gamma index γ
0.43
3
Alpha index α
0.4
4
Eta index η
0.1354
5
First Betty index Bf
28
6
Correlation index K
0.025
5 Conclusion The analysis of the calculated indices (Table 2) has shown that the roads in Najaf are efficient enough. However, the rate of expansion indicates a large spread in the network. The level of connectivity for the Najaf traffic network appears to be low. Given the fact that the Gamma index (0.43), Alpha index (0.4), Eta index (0.1354) and Correlation index (0.025) have shown low values, that the nodes are not sufficiently spaced from each other, and that the correlation between the roads is weak, 171–173 traffic network elements will need to be added. The number of links will need to be increased with regard
Urban Traffic Network Connectivity and Efficiency Evaluation
635
to all parameters of the Najaf traffic network, as this will increase the traffic capacity and improve traffic safety in the city. It is recommended to use the proposed method to evaluate and enhance urban traffic networks. As the growth of residential quarters is observed at the northern part of the city, an increase in the number of traffic network links will need to be considered for this district, which is also the case with the old downtown area. Upon the whole, the traffic network of the city is not sufficient to meet the users’ needs, which include minimum costs, shortest traveling time, and the use of the best type of transport. When increasing the number of links, it is recommended to consider town planning restrictions. Apart from the configuration of the urban traffic network, the public transport choice and distribution of the public transport use percentage should be considered to maximize the traffic network efficiency.
References 1. Mu, R., de Jong, M.: A network governance approach to transit-oriented development: Integrating urban transport and land use policies in Urumqi, China. Transp. Policy 52, 55–63 (2016). https://doi.org/10.1016/j.tranpol.2016.07.007 2. McLeod, S., Scheurer, J., Curtis, C.: Urban public transport: planning principles and emerging practice. J. Plan Liter. 32(3), 223–239 (2017). https://doi.org/10.1177/0885412217693570 3. Hansson, J., Pettersson, F., Svensson, H., Wretstrand, A.: Preferences in regional public transport: a literature review. Eur. Transp. Res. Rev. 11(1), 1–16 (2019). https://doi.org/10. 1186/s12544-019-0374-4 4. McLeod, S., Scheurer, J., Curtis, C.: Urban public transport: planning principles and emerging practice. J. Plan Liter. 32(3), 223–239 (2017). https://doi.org/10.1177/0885412217693570 5. Paulsson, A.: Making the sustainable more sustainable: public transport and the collaborative spaces of policy translation. J. Environ. Plan. Policy Manag. 20(4), 419–433 (2018). https:// doi.org/10.1080/1523908X.2018.1432345 6. Redman, L., Friman, M., Gärling, T., Hartig, T.: Quality attributes of public transport that attract car users: a research review. Transp. Policy 25, 119–127 (2013). https://doi.org/10. 1016/j.tranpol.2012.11.005 7. Du, Y., Deng, F., Liao, F.: A model framework for discovering the spatio-temporal usage patterns of public free-floating bike-sharing system. Transp. Res. C 103, 39–55 (2019). https:// doi.org/10.1016/j.trc.2019.04.006 8. El-Geneidy, A., Levinson, D., Diab, E., Boisjoly, G., Verbich, D., Loong, C.: The cost of equity: assessing transit accessibility and social disparity using total travel cost. Transp. Res. Part A Policy Pract. 91, 302–316 (2016). https://doi.org/10.1016/j.tra.2016.07.003 9. Saif, M.A., Zefreh, M.M., Torok, A.: Public transport accessibility: a literature review. Period. Polytech. Transp. Eng. 47, 36–43 (2019). https://doi.org/10.3311/PPtr.12072 10. Hawas, Y.E., Hassan, M.N., Abulibdeh, A.: A multi-criteria approach of assessing public transport accessibility at a strategic level. J. Transp. Geogr. 57, 19–34 (2016). https://doi.org/ 10.1016/j.jtrangeo.2016.09.011 11. Chen, X., Wikstrom, N.: A governance reform proposal: improving bus transit operations in los angeles. Int. J. Publ. Admin. 32(10), 868–897 (2009). https://doi.org/10.1080/019006909 03026026 12. Hakkaart, A., Morrissey, J.E.: Policy challenges for transit-oriented development. Proc. Inst. Civ. Eng. Urban Des. Plan. 167(4), 175–184 (2014). https://doi.org/10.1680/udap.13.00026
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13. Hrelja, R., Monios, J., Rye, T., Isaksson, K., Scholten, C.: The interplay of formal and informal institutions between local and regional authorities when creating wellfunctioning public transport systems. Int. J. Sustain. Transp. 11(8), 611–622 (2017). https://doi.org/10.1080/155 68318.2017.1292374 14. Rye, T., Monios, J., Hrelja, R., Isaksson, K.: The relationship between formal and informal institutions for governance of public transport. J. Transp. Geogr. 69, 196–206 (2018). https:// doi.org/10.1016/j.jtrangeo.2018.04.025
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss Damir Valiullin(B)
and Sergei Chizhov
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The article is devoted to the use of stiffness matrices of joint connections when analyzing trusses of railway bridges. When performing calculations by the finite-element method, implemented in such a software package as Ansys Mechanical, an important issue is the required performance of computing equipment. To obtain accurate results on the stress-strain state of structures and their individual elements, it is necessary to create complex finite-element models, what entails a multiple increase in the calculation time. Replacing parts of the simulation model with equivalent elements with pre-calculated parameters can significantly reduce the calculation time while maintaining the accuracy of the results. The article describes the procedure for forming the stiffness matrix of joint connection of railway bridge main truss. Comparison of the results obtained during the analysis of the complex and equivalent models is carried out. According to the results of the analysis, it was shown that the difference between the axial forces is 4.76%, while for bending moments and shear forces, the mean value of the difference does not exceed 12.07%. The average difference for the main trusses in-plane movements is 0.62%. The data obtained confirm the feasibility of using manually formed stiffness matrices in the analysis of structures. Keywords: Stiffness matrix · Equivalent element · Joint connection · Railway bridge · Finite-element model · Ansys Mechanical
1 Introduction In most cases, when performing routine calculations of engineering structures using the finite-element method, engineers use beam models. The use of beams allows, with relatively little labor and time costs, to obtain adequate data on the state of the structure. However, the analysis of atypical structures or the analysis of abnormal influences and phenomena requires the creation of more complex models using shell and solid finite elements [1–9]. Due to the fact that the load applied to transport structures is mobile, it becomes necessary to optimize it, that is, to determine the positions at which the greatest efforts arise in each design element. In other words, the analysis of structures designed to pass moving loads leads to multiple calculations of the same model, therefore, the time spent increases many times. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 637–646, 2022. https://doi.org/10.1007/978-3-030-96380-4_69
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D. Valiullin and S. Chizhov
To increase the computational efficiency when solving complex problems, superelements are used [10–13]. The essence of this approach is to replace parts of the structure with equivalent elements with pre-calculated parameters. As a result, the duration of the analysis is reduced, which is especially important for transport structures due to the above reasons. The purpose of this work is to assess the possibility of using stiffness matrices as characteristics of equivalent elements replacing joint connections when performing analysis of the stress-strain state of transport structures lattice trusses. For this, the following tasks are solved: • a detailed model of the joint of the main truss of the superstructure is created; • the stiffness matrix of the detailed joint is formed; • the superstructure is analyzed with the replacement of the detailed joint by the stiffness matrix; • a comparative analysis of the results obtained from the solving of the complex and simplified superstructure models is carried out.
2 Research Methodology 2.1 Description of the Superstructure Under Study The superstructure under study is a single-track railway bridge with through trusses. The design span is 55 m, the material of the main elements is 15KhSND low-alloy steel. Truss lattice elements are welded box-shaped and H-shaped sections with field connections on high-strength bolts with a diameter of 22 mm, made of 40Ch steel. Box-shaped elements of the superstructure have a perforated bottom chord, perforation dimensions are 270 × 600 mm, the distance between perforation centers is 1200 mm. All contacting surfaces of connections are sandblasted before assembly. The standard pretension force of the highstrength bolt is assumed to be 20 tons. The superstructure is made according to standard design № 3.501-30/75; all the data required for the creation of the finite-element model have been accepted for this project. Cross-sections of the superstructure elements are shown in Table 1. The beam finite-element model of the structure under study with the main dimensions is shown in Fig. 3. 2.2 Detailed Finite-Element Model of the Superstructure Finite-element analysis presented in this work was performed using Ansys Mechanical software package. The detailed model of the superstructure is formed by approximating the joints N2 and N3 of the beam model with shell finite elements. The joints include: fragments of truss elements with a length of 0.15 L, where L is the geometric length of the truss element between adjacent joints, gusset plates, splice plates, angles and bolts. The connection of beam elements and elements approximated by shells is done using fixed joints. A fragment of the detailed model of the superstructure with joints N2 and N3 with the beam elements shown “in the axes” is shown in Fig. 4.
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss
639
Table 1. Cross-sections of the superstructure elements. Element
Cross-section
B, mm
H, mm
t 1 , mm
t 2 , mm
t w , mm
Brace 1
Type 2
526
450
12
12
16
Brace 2
Type 1
526
420
12
12
10
Brace 3
Type 1
526
420
16
16
10
Brace 4
Type 1
526
420
10
10
10
Top chord
Type 2
526
450
12
12
16
Bottom chord
Type 2
526
450
12
12
12
Stand
Type 1
526
260
10
10
10
Floorbeam
Type 1
320
880
32
32
12
Stringer
Type 1
300
880
16
16
10
Note: the elements of the trusses are indicated in Figs. 1 and 3. The types of sections are taken according to Fig. 2.
Fig. 1. Main truss scheme
Fig. 2. Types of cross-sections
Each beam element has its own type of cross-section, the dimensions are taken according to the standard design project. All joint connections are rigid. At the nodes of intersection of the external braces and the lower chords, supports are installed: fixed on one side and linearly movable along the axis of the bridge on the other side. High-strength bolts are represented in the model by beam bodies with the circle form cross-section with a radius of 11 mm. The modulus of elasticity and Poisson’s ratio for steels 15KhSND and 40Ch were taken equal to E = 2.0 × 105 MPa and μ = 0.3, respectively. To simulate the nonlinear properties of materials, the Bilinear Isotropic Hardening option was set, the values of the characteristics are given in Table 2. The specific gravity of steels was taken equal to ρ = 76.98 kN/m3 . Frictional contacts are set between interacting shell elements, the friction coefficient is taken equal to 0.58 according to table 20 of SP 46.13330.2011 “Bridges and pipes” as for surfaces subjected to sandblasting. The “Face Sizing” option with a characteristic value of 6 mm is applied to the shell elements of the model. The total task size is 619088 nodes and 594162 elements.
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D. Valiullin and S. Chizhov Table 2. Nonlinear material properties Steel
Yield strength, MPa
Tangent modulus, MPa
15KhSND
345
696.2
40Ch
785
2029.7
The solution was performed in two steps: • at the first step, a pretension force equal to 196120 N was applied to the high-strength bolts. At the end of first step, the applied force was fixed; • after tensioning of high-strength bolts, loads were applied to the structure: acceleration of gravity, reduced static pressure from rails and sleepers, as well as an optimized value of the load from the passing trains in the form of concentrated forces.
Fig. 3. Beam finite-element model of the superstructure under study
Fig. 4. Fragment of the detailed model of the superstructure
2.3 Forming of the Stiffness Matrix For further work with detailed joints N2 and N3, they were isolated from the main model into separate tasks. The general algorithm for performing work in forming the stiffness matrices of connections and elements is adopted according to [14]. Let us illustrate the procedure using the example of a joint connection N2. For node with index 1: 1. Nodes 2–8 are fully fixed. 2. To free node 1 in the local coordinate system (hereinafter LCS) all displacement components are alternately applied – 3 translational and 3 rotational. 3. From each applied displacement component in node 1, the corresponding forces are recorded in the LCS. The resulting efforts are summarized in a single table and normalized, i.e. are reduced to a single displacement by dividing by its value. Note here that for each replaced element, its own LCS is built, and the X axis of this coordinate system coincides with the geometric axis of the truss element and the direction
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss
641
Fig. 5. Joint connection N2 of the superstructure
from the center of the connection is considered to be positive. LCSs of all elements of the truss intersecting at the joint N2 are shown in Fig. 5. Thus, the stiffness matrix of node 1 as part of the entire joint N2 is formed. Steps 1–3 are then repeated as many times as necessary for all replaced elements. In this work, the elements of the main trusses were replaced, i.e. stiffness matrices were formed only for nodes 1–5. The data obtained for node 1 of the N2 joint connection are presented in tabular form below. The data for nodes 2–5 of the N2 connection, as well as for nodes 1–3 of the N3 connection looks similar. Note here that the formed stiffness matrix is symmetric and the elements located on its main diagonal are positive (Tables 3 and 4). Table 3. Applied displacements and received forces for node 1 of connection N2 Displacement components
Applied displacement
r1 , N
r2 , N
r3 , N
r4 , N·mm
r5 , N·mm
r6 , N·mm
1 , mm
1.00
2 , mm
1.00
4.44E + 06
−1.62E + 05
−3.34E + 04
−1.40E + 07
6.27E + 07
1.17E + 08
−1.62E + 05
1.36E + 06
8.01E + 01
−1.01E + 07
8.29E + 06
−3.76E + 08
3 , mm
1.00
−3.34E + 04
8.01E + 01
4.91E + 05
6.69E + 06
2.01E + 08
3.89E + 06
4 , rad.
0.0002
−2.81E + 03
−2.02E + 03
1.34E + 03
3.01E + 07
5.28E + 06
1.72E + 05
5 , rad.
0.0002
1.25E + 04
1.66E + 03
4.01E + 04
5.28E + 06
7.56E + 07
2.42E + 06
6 , rad.
0.0002
2.33E + 04
−7.51E + 04
7.79E + 02
1.72E + 05
2.42E + 06
6.49E + 07
Table 4. Node 1 of the N2 connection stiffness matrix (units N, mm, rad) 4.44E + 06
−1.62E + 05
−3.34E + 04
−1.40E + 07
6.27E + 07
1.17E + 08
−1.62E + 05
1.36E + 06
8.01E + 01
−1.01E + 07
8.29E + 06
−3.76E + 08
−3.34E + 04
8.01E + 01
4.91E + 05
6.69E + 06
2.01E + 08
3.89E + 06
−1.40E + 07
−1.01E + 07
6.69E + 06
1.51E + 11
2.64E + 10
8.58E + 08
6.27E + 07
8.29E + 06
2.01E + 08
2.64E + 10
3.78E + 11
1.21E + 10
1.17E + 08
−3.76E + 08
3.89E + 06
8.58E + 08
1.21E + 10
3.25E + 11
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It is also impossible not to point out the following: the approach to the formation of the stiffness matrix presented in this article works correctly only when solving linear problems. In order to comply with this condition, it was necessary to make some changes to the detailed models of nodes to avoid nonlinearities of various kinds: • nonlinear material model was changed to linear; • nonlinear «Frictional» contact type was changed to linear «No separation»; • since from now on all interacting shell bodies slide freely among themselves due to the chosen linear type of contact, it is necessary to fix the contact surfaces. For this purpose, the edges of the bolt holes are connected by fixed joints. The allowability of using such methods to simplify nonlinear design models can be explained by the following conclusions from the analysis of the state of structures: at the first stage of the operation of frictional joints, all the shear forces that arise between gussets, plates and main elements are perceived by friction forces, thus mutual slipping of the contacting surfaces does not occur. Under normal operating conditions, the level of stresses in the metal of the structure is below the yield point, therefore, the material works in the linear zone. Based on the above facts, the authors of this work consider the indicated ways of simplifying nonlinear problems to be justified. However, in order to improve the accuracy of the structure analysis, this issue needs further study. 2.4 Beam Finite-Element Model of the Superstructure with Stiffness Matrices The resulting stiffness matrices were used to create a simplified design model as characteristics of the “Bushing joint” connections. The detailed joint connections N2 and N3 were excluded from the analysis and replaced with the corresponding connections. The total size of the problem was 8972 nodes and 4574 elements, while the calculation time decreased from 80 min to 24 s, that is, the calculation speed increased 200 times. A fragment of the model with the created “Bushing joint” connections is shown in Fig. 6. Note, that the LCSs used when creating connections must coincide with the coordinate axes used in detailed models when forming stiffness matrices.
Fig. 6. Fragment of the model with «Bushing joint» connections
3 Results and Discussion As criteria for comparing the detailed finite-element model and the model created using the stiffness matrices of the nodes N2 and N3, we will use the forces and displacements arising in the lower chord panel between the replaced joints from the applied dead and temporary loads.
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss
643
Table 5. Forces in the N2–N3 bottom chord in the detailed model Node coordinate, mm N (kN) Qy (kN) Qz (kN)
Mx (kN·m) My (kN·m) Mz (kN·m)
825
2628.1
25.494
−27.329 0.014529
1100
2628.1
25.494
−26.873 0.014533
−3.7033
44.123
1375
2628.1
25.494
−26.416 0.014537
3.6239
37.112
1650
2628.1
25.494
−25.959 0.014541
10.826
30.101
1925
2628.1
25.494
−25.503 0.014545
17.902
23.09
2200
2628.1
25.494
−25.046 0.014548
24.852
16.079
2475
2628.1
25.494
−24.59
0.014552
31.677
2750
2628.1
25.494
−24.133 0.014556
38.376
3025
2628.1
25.494
−23.676 0.01456
44.95
3300
2628.1
25.494
−23.22
0.014564
51.398
−11.964
3575
2628.1
25.494
−22.763 0.014568
57.721
−18.975
3850
2628.1
25.494
−22.307 0.014571
63.918
−25.986
4125
2628.1
25.494
−21.85
69.99
−32.997
4400
2628.1
25.494
−21.393 0.014579
75.936
−40.008
4675
2628.1
25.494
−20.937 0.014583
81.756
−47.019
0.014575
−11.156
51.134
9.0683 2.0574 −4.9536
Table 6. Forces in the N2–N3 bottom chord in the model with stiffness matrices Node coordinate, mm
N (kN)
Qy (kN)
Qz (kN)
Mx (kN·m)
My (kN·m)
Mz (kN·m)
825
2503
24.172
−25.06
0.016904
−0.65351
55.854
1100
2503
24.172
−24.603
0.016908
6.1751
49.207
1375
2503
24.172
−24.146
0.016911
12.878
42.559
1650
2503
24.172
−23.69
0.016915
19.456
35.912
1925
2503
24.172
−23.233
0.016919
25.908
29.265
2200
2503
24.172
−22.777
0.016923
32.234
22.617
2475
2503
24.172
−22.32
0.016927
38.435
15.97
2750
2503
24.172
−21.863
0.016931
44.51
9.3225
3025
2503
24.172
−21.407
0.016935
50.46
2.6751
3300
2503
24.172
−20.95
0.016938
56.284
3575
2503
24.172
−20.494
0.016942
61.982
−10.62
3850
2503
24.172
−20.037
0.016946
67.555
−17.267
4125
2503
24.172
−19.58
0.01695
73.003
−23.914
4400
2503
24.172
−19.124
0.016954
78.325
−30.562
4675
2503
24.172
−18.667
0.016958
83.521
−37.209
−3.9722
644
D. Valiullin and S. Chizhov Table 7. Displacements of the nodes of the N2–N3 bottom chord panel Detailed model
Node coordinate, mm
Model with stiffness matrices
DX (mm)
DY (mm)
DZ (mm)
DX (mm)
DY (mm)
DZ (mm)
825
3.5011
−0.37654
−63.477
3.5809
−0.88725
−63.703
1100
3.6847
−0.36326
−64.739
3.7567
−0.90784
−65.02
1375
3.869
−0.33235
−66.004
3.933
−0.90877
−66.332
1650
4.0539
−0.28662
−67.265
4.1099
−0.8927
−67.635
1925
4.2395
−0.22886
−68.52
4.2874
−0.86229
−68.926
2200
4.4256
−0.16188
−69.763
4.4654
−0.82019
−70.2
2475
4.6123
−8.85E − 02
−70.989
4.644
−0.76905
−71.452
2750
4.7996
−1.14E − 02
−72.194
4.8231
−7.12E – 01
−72.679
3025
4.9875
6.64E – 02
−73.375
5.0027
−6.50E – 01
−73.877
3300
5.1759
0.1423
−74.525
5.1828
−0.58797
−75.042
3575
5.3649
0.21341
−75.642
5.3634
−0.52723
−76.17
3850
5.5545
0.27694
−76.721
5.5444
−0.47073
−77.257
4125
5.7445
0.33011
−77.758
5.726
−0.42112
−78.3
4400
5.9351
0.3701
−78.75
5.908
−0.38106
−79.295
4675
6.1261
0.39412
−79.691
6.0905
−0.3532
−80.239
Note: the coordinate of the node in Tables 5, 6 and 7 is the coordinate along the longitudinal axis of the lower chord element with a reference point at joint N2.
The difference between corresponding values is shown in tabular form below (Table 8). Table 8. The difference between forces and displacements Difference, %
N
Qy
Qz
Mx
My
Mz
DX
DY
DZ
Mean value
4.76
5.19
9.47
−16.31
−8.69
−12.07
−0.62
−362.21
−0.62
The largest average difference between the forces of the two design models was obtained for a torsional moment Mx = −16.31%. However, due to the insignificant value of the force itself, this circumstance is not accepted for consideration. For the axial force N, the difference is 4.76%, which indicates a high accuracy of the results obtained using the proposed approach to simplify the computational models. For the 4 remaining components of the forces: shear forces Qy and Qz and bending moments My and Mz, the average difference does not exceed 12.07%. The largest average difference between displacements was obtained for the DY component. However, due to the insignificant value of these displacements in comparison with the dimensions of the model elements, this circumstance is also not considered further. For the DX and DZ components, the average difference does not exceed 0.62%.
Stiffness Matrix of Joint Connection of Railway Bridge Main Truss
645
The results of comparing the forces and displacements allow us to conclude the following: the above approach can be used in engineering practice to conduct a preliminary analysis of structures. The possibility of using the submodeling technique in the analysis of structures is also confirmed in [15].
4 Conclusion • This work is devoted to the assess the possibility of using stiffness matrices as characteristics of equivalent elements replacing joint connections when performing analysis of the stress-strain state of transport structures lattice trusses. In the Ansys Mechanical software package a detailed finite-element model of connections N2 and N3 of the railway bridge superstructure was developed. • The developed detailed models of the connections were used to compile the stiffness matrices of the joints N2 and N3. • The resulting stiffness matrices of joint connections were used as characteristics of equivalent elements in the analysis of a simplified finite-element model of the studied railway bridge superstructure. • As a criterion for comparing the detailed finite-element model and the model created using the stiffness matrices of the nodes N2 and N3, the forces and displacements arising in the lower chord panel were used. The difference for axial forces N is 4.76%, while for shear forces Qy and Qz and bending moments M y and M z , the average difference does not exceed 12.07%. For the DX and DZ displacement components, the average difference does not exceed 0.62%. • On the basis of the performed analysis, it was concluded that the proposed approach to the forming of stiffness matrices and their further use as characteristics of equivalent joints in the analysis of the stress-strain state of transport structures lattice trusses is consistent and possible for use.
References 1. Butler, M.A., et al.: High resolution modeling and modeling of connections in Pony-Truss bridges. Transp. Res. Rec. 2672(41), 186–195 (2018). https://doi.org/10.1177/036119811879 2126 2. Hao, S.: Revisit of I35W bridge collapse: a preliminary analysis at 2007 and conclusions today. IOP Conf. Ser. Mater. Sci. Eng. 10, 012016 (2010). https://doi.org/10.1088/1757-899X/10/1/ 012016 3. Berman, J.W., et al.: Rapid assessment of gusset plate safety in steel Truss bridges. J. Bridge Eng. 17(2), 221–231 (2012). https://doi.org/10.1061/(asce)be.1943-5592.0000246 4. Liao, M., et al.: Nonlinear finite-element analysis of critical Gusset plates in the I-35W bridge in Minnesota. J. Str. Eng. 137(1), 1–44 (2011). https://doi.org/10.1061/(asce)st.1943-541x. 0000269 5. Chizhov, S., Pismak, A., Antonyuk, A.: The stability of the wall of the main beam of the movable bridge (application of SP method). E3S Web Conf. 157, 06014 (2020) 6. Benin, A., Guzijan-Dilber, M., Diachenko, L., Semenov, A.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S Web Conf. 157, 06018 (2020). https://doi.org/10.1051/e3sconf/202015706018
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7. Lang, A.V., Diachenko, L.K., Labutin, N.A.: Comparison of various calculation models for the bridge dynamic analysis. IOP Conf. Ser. Mater. Sci. Eng. 786(1), 012083 (2020). https:// doi.org/10.1088/1757-899X/786/1/012083 8. Wang, G., Ding, Y.: The interface friction in the friction-type bolted joint of steel truss bridge: case study. Baltic J. Road Bridge Eng. 15(1), 187–210 (2020). https://doi.org/10.7250/bjrbe. 2020-15.467 9. Shi, G., Shi, Y., Wang, Y., Bradford, M.A.: Numerical simulation of steel pretensioned bolted end-plate connections of different types and details. Eng. Struct. 30(10), 2677–2686 (2008). https://doi.org/10.1016/j.engstruct.2008.02.013 10. Quatmann, M., Aswini, N., Reimerdes, H.G., Gupta, N.K.: Superelements for a computationally efficient structural analysis of elliptical fuselage sections. Aerosp. Sci. Tech. 27(1), 76–83 (2013). https://doi.org/10.1016/j.ast.2012.06.009 11. Tsybenko, A., Konyukhov, A., Tsybenko, H.: Numerical method for determining stiffness characteristics of an arbitrary form superelement. Appl. Comp. Syst. 18(1), 52–56 (2015). https://doi.org/10.1515/acss-2015-0019 12. Ahmadian, M.T., Sherafati Zangeneh, M.: Vibration analysis of orthotropic rectangular plates using superelements. Comput. Methods Appl. Mech. Eng. 191(19–20), 2097–2103 (2002). https://doi.org/10.1016/S0045-7825(01)00370-X 13. Sakharov, V.O.: Dynamic reductions for the nonlinear soil-foundation-structure system interactions. Civ. Env. Eng. Rep. 28(1), 146–158 (2018). https://doi.org/10.2478/ceer-20180012 14. Crosti, C., Duthinh, D.: A nonlinear model for gusset plate connections. Eng. Struct. 62–63, 135–147 (2014). https://doi.org/10.1016/j.engstruct.2014.01.026 15. Crosti, C.: Improving the safety of steel bridges through more accurate and affordable modelling of connections. Sapienza University of Rome, pp. 1–179 (2011)
Search for Rational Forms of Reinforcing Composite Elements of the Hybrid Beam Building Structures Vladimir Egorov
and Mahmud Abu-Khasan(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. In the article search of the rational composite plate forms, increasing stability of steel walls of the single-span hybrid beam structures are performed. The analysis of critical situations, due to which loss of stability are possible, with an assessment of existing technical solutions preventing dangerous situations, are made. An alternative option for increasing stability of the steel parts of the beam with usage of composite plates is proposed. Two types of calculations for searching of dangerous zones of possible buckling are made: analytical and software calculation in the Ansys software-computing complex. Possible forms of losing stability of the steel wall of the one-span beam are analyzed. Based on the calculations results the search of rational form of reinforcing composite plate according to criteria of the ratio of sufficient growth of the system stability to the lowest consumption of composite material are made. Keywords: Buildings · Constructions · Building structures · Hybrid structures · Composite structures · Beam structures · Composite material · Stability · Increasing of stability · Buckling · Software-computing complex Ansys
1 Introduction Hybrid structures are a type of structures made of dissimilar materials, arranged in a special rational way in a single structure volume, ensuring their effective joint work. As a rule, one of the materials in the structure of the structure performs a load-bearing function, the rest of the materials are auxiliary, eliminate the shortcomings of the main material, and perform the function of strengthening it. According to the type of reinforcement, hybrid structures should be divided into structures with internal and external types of reinforcement. As materials used for external reinforcement of hybrid structures, composite materials are the most promising, due to their high physical and mechanical properties, as well as the special possibilities of their production. Composite materials - a solid product consisting of two or more materials that differ from each other in shape and/or phase state, and/or chemical composition, and/or properties, bonded, as a rule, by a physical bond and having a boundary section between the obligatory material (matrix) and its fillers, including reinforcing fillers [1, 2]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 647–655, 2022. https://doi.org/10.1007/978-3-030-96380-4_70
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It is rational to use steel as a supporting material for a hybrid structure. Loss of stability is possible in steel structures experiencing significant compressive stresses. The most dangerous is the situation in which the steel structure loses its stability (general, local) until the onset of the limit state of the 1st group according to the criterion of the action of normal and tangential stresses. As a rule, such a situation is prevented at the design stage of the structure, by setting longitudinal and transverse edges, increasing the thickness of the beam elements (flanges and walls), by changing the design scheme of the structure. One of the disadvantages of using the described technical solutions is, as a rule, an increase in the consumption of the steel used, as well as the cost of additional work in the manufacture of the structure. In addition, the physical and mechanical properties of the steel used in the structure, depending on the nature of the work, may not be fully used [3, 4]. An alternative option for strengthening the steel structure, for example, a beam-type structure, is the installation of specially shaped plates made of composite material. The purpose of their application is: 1. to ensure sufficient stability of the beam and its elements; 2. more efficient use of the physical and mechanical properties of steel, due to the redistribution of the acting stresses between the steel and the composite material, which ultimately leads to an additional reduction in steel consumption.
2 Initial Design Data To develop a constructive solution, a single-span hybrid beam was adopted, made of a steel base with an I-section, as well as composite plates of a special shape, which perform the function of reinforcing the steel base. In the study, the zones of effective reinforcement of the steel wall of a hybrid beam structure with composite plates were determined, based on an analytical calculation performed according to the provisions of SP 16.13330.2017. The aim of this work is to determine the rational form of composite reinforcement plates of the external type of a hybrid single-span beam. To search for a rational form of composite plates that provide sufficient stability of the beam wall at the lowest possible consumption of composite material, a steel single-span I-beam of the 1st class, covering a span of 18 m, with hinged-movable and hinged-fixed leaning on supports. The payload static load is applied to the upper chord of the beam with a step of 1 m, the load value is 70 kN, which is equivalent to a uniformly distributed load of 70 kN/m. Also, 2 more loading options were considered - concentrated loads applied to the upper chord of the beam with a step of 2 m (141.75 kN) and 3 m (210 kN). The values of the loads are selected in such a way that the greatest compressive stress acting in the upper chord of the beam has a constant value. Within the framework of the analysis, it is assumed that the load is applied in the center of the upper chord of the beam without eccentricity, and the beam is bent only in the vertical plane (Fig. 1). The parameters of the section selected for the analysis are given in Table 1.
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Table 1. Parameters of the section selected for analysis Design characteristics: H = 1.350 m B = 0.340 m t1 = 0.018 m t2 = 0.018 m t3 = 0.008 m h1 = 1.314 m A = 0.022752 m2 I = 0.006942 m4 hn.o. = 0.675 m E = 206000 MPa Ry = 310 MPa (C345) Rs = 171.24 MPa (C345) γc = 0.9
Fig. 1. Design section of the beam
Within the framework of the analytical calculation, carried out in accordance with the design standards of steel structures, it was found that the bearing capacity of the accepted section of the beam to the action of normal, tangential, local stresses, including their combined action, is ensured. In this case, the overall stability of the beam and the stability of its compressed belt are provided for the combined action of normal, tangential and local stresses, the stability of the beam wall is not provided [5, 6].
3 Analysis Results The results of calculating the stability of the beam wall when its upper chord is loaded with a uniformly distributed load are shown in Fig. 2, in the form of isofields of the ratio of the ratio of the set of acting stresses to the critically permissible stresses, upon reaching
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which the beam wall loses its stability. Blue shows isolines, within the boundaries of which the stability of the wall is provided, red - where it is not provided. 1.456
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Fig. 2. Distribution of isolines of the coefficient of the ratio of the acting stresses in the beam web to the critically permissible stress values (left half of the span)
Fig. 3. Distribution of isolines of the coefficient of the ratio of the acting stresses in the beam web to the critical values of stresses (full span of the beam)
Based on the calculated data, the zones of the required external reinforcement with composite plates were determined, its initial shape was determined for subsequent analysis. Since the analytical calculation was carried out with respect to an idealized model, which somewhat distorts the real operation of the structure, and also only gives an idea of the zones of the required reinforcement, but does not reflect the degree of increase in the stability of the beam wall, a number of calculations were performed using the Ansys software complex (Fig. 4).
a)
b)
c) Fig. 4. a) Scheme of applying loads to the upper chord of the beam (with a step of 1 m). b) Scheme of applying loads to the upper chord of the beam (with a step of 2 m). c) Scheme of applying loads to the upper chord of the beam (with a step of 3 m).
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Ansys is a software and computing system for finite element analysis that allows you to perform calculations in various areas of production, including the design of building structures. The solution to the problem posed is performed in Ansys using numerical methods. For all the considered design cases, static calculations were performed, on the basis of the results of which their subsequent calculations of the linear stability of the system were performed [7, 8]. According to the results of the static calculation of the beam, the upper chord of which is loaded with a step of 1 m, it was found that the vertical deformation is 72.37 mm, the maximum tensile stress is 275.64 MPa, the compressive stress is –275.11 MPa, and the shear stress −63.358 MPa. Table 2 compares the stress values obtained during the analytical calculation with the values obtained during the calculation in the Ansys software complex. Table 2. Comparison of the results of static analytical calculation and calculation in Ansys Comparable values of the VAT system
Analytical solution
Software solution
Difference of values
Maximum value of normal compressive stress
−275.66 MPa
−275.11 MPa
−0.2%
Maximum normal tensile stress
275.66 MPa
275.64 MPa
−0.01%
Maximum value of shear stresses
65.82 MPa
63.358 MPa
−3.74%
Beam deflection
66.907 mm
72.11 mm
+7.2%
From the analysis of the data obtained, it can be concluded that the software and analytical calculations show almost identical values of the stresses acting in the beam. The differences in the values of the shear stresses and deflection of the beam are due to the fact that the analytical calculation was performed for an idealized model of the beam, in which a number of features were not taken into account: – the influence of the support ribs on the stress state of the supporting section of the wall, the hinge constraints are set along the lower ends of the supporting ribs; – slight deformation of the supporting ribs of the beam; – stress concentration in the support sections of the beam wall. To analyze the effectiveness of increasing the stability of the beam, 5 forms of possible loss of stability of the system were analyzed. The defining form of loss of stability of the system has the smallest value of the safety factor (ks) of the system - the ratio of the values of the maximum load that the system can accept without loss of stability to the current design load. After the loss of stability of the system in the first form of loss of stability, the emergence of other forms of loss of stability in this design case is impossible. The remaining 4 forms of buckling were analyzed in order to determine the effectiveness of external reinforcement with composite plates of a special shape against
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the loss of stability of the system from the combined action of various stress components [9, 10] (Fig. 5).
a)
b)
c)
d)
e) Fig. 5. a) General form of buckling of beam № 1 (kz = 0.7598). b) Local form of buckling of beam № 2 (kz = 0.9286). c) Local form of buckling of beam № 3 (kz = 0.9442). d) Local form of buckling of beam № 4 (kz = 0.9639). e) Local form of buckling of beam № 5 (kz = 0.9663).
4 Search for a Rational Form of Composite Plates For the set task, the construction and calculation (for 3 loading schemes) 6 models in Ansys - 1 model for the case of a steel structure, 5 models for finding a rational form
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of a reinforcing composite plate as part of a hybrid system were performed. A similar measure was taken in order to assess the effectiveness of the use of composite plates for various cases. Loading with a step of 1 m fully corresponds to the loading scheme adopted for analytical calculations. As the material used for external reinforcement of the steel form, VKU-35 carbon fiber plates with a thickness of 1 mm each are taken. Polymer composite VKU-35 is a structural carbon fiber made on the basis of an equal-strength carbon fabric and a modified binder grade VSE 17. CFRP was developed by FGUP VIAM, and is recommended for the manufacture of structural parts, as well as for use in shipbuilding, construction and automotive. The calculated characteristics of the composite are presented in Table 3. Table 3. Calculated characteristics of the composite. №
Composite stiffness parameters
Design resistance of the composite R0Str = 750 MPa; R0comp = 550 MPa
3
0◦ = 71 GPa; E 0◦ EStr comp = 62 GPa ◦ 90 = 66 GPa; E 90◦ = 61 GPa EStr comp ◦ ◦ 0 90 Eizg = 76 GPa; Eizg = 75 GPa
4
ϑ0◦ = 0, 04; ϑ90◦ = 0, 05
R0interlayer shear = 44 MPa
1 2
◦
◦
◦
◦
90 R90 Str = 680 MPa; Rcomp = 470 MPa ◦
◦
R0bend = 1000 MPa; R90 bend = 860 MPa ◦
◦
R90 interlayer shear = 40 MPa
The density of the composite is 1550 kg/m3 , its operating temperature is from −60 °C to +150 °C, the level of retention of the properties of CFRP at a maximum operating temperature of +150 °C is: 100% - for ultimate tensile strength, 81% - for ultimate compressive strength, 89% - for ultimate strength in bending. As part of the search for a rational form of a composite plate, 5 variants of forms were considered (see Table 4). Option № 1 - the composite plate completely repeats the shape of the isolines obtained in the framework of the analytical calculation of the stability of the beam wall (see Fig. 2 and 3). Subsequent options assume a gradual decrease in the consumption of composite material in the stretched part of the reinforcing plate [11].
5 The Discussion of the Results The rational form of composite plates reinforcing the steel wall of a single-span beam is shown in Fig. 6. The shape of the central part of the plate corresponds to the shape of the isoline of the safety factor of the steel web of the beam (kf = 1.00), made without reinforcement, obtained within the analytical calculation (see Fig. 2 and 3). The shape of the plates on the support sections of the beam repeats the shape of the distribution of the main compressive stresses in the steel web of the beam.
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№
Plate shape
1 2 3 4 5
Fig. 6. Optimal shape of the composite plate
Based on the information received, the following conclusions can be drawn: – Reinforcement with composite plates of a special rational shape leads to an increase in the stability of the steel wall of a single-span beam. In this case, the determining criteria for the loss of stability of the beam wall are the combined action of normal and local stresses; – the developed form of the reinforcing composite plate significantly increases the stability of the steel wall against the action of shear stresses in the support zones of a single-span beam, as well as against the action of normal compressive and local stresses; – the steel wall of a single-span beam, reinforced with composite plates of the developed form, is resistant to various types of loading (with a step of 1 m, 2 m, 3 m). The described effect can provide the possibility of using reinforcing composite plates for beams that accept dynamic loads (from the movement of mechanisms, cranes, transport).
6 Conclusion The use of composite plates makes it possible to increase the stability of the steel wall of the hybrid beam. The composite plate of the developed shape provides a sufficient
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increase in the stability of the beam wall at the lowest possible consumption of the composite material.
References 1. Egorov, V., Abu-Khasan, M., Shikova, V.: The systems of reservation of bearing structures coatings of transport buildings and constructions for northern areas. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022021 (2020). https://doi.org/10.1088/1757-899X/753/2/022021 2. Rusanova, E., Abu-Khasan, M., Egorov, V.: Influence of wooden cross ties on the surrounding medium at operation of transport objects in cold regions. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022042 (2020). https://doi.org/10.1088/1757-899X/753/2/022042 3. Egorov, V., Belyy, G.: Nonlinear properties of hybrid construction of coatings of buildings and structures. E3S Web Conf. 217, 01001 (2020). https://doi.org/10.1051/e3sconf/202021 701001 4. Benin, A.V., Bogdanova, G., Semenov, S.: Experimental study and mathematical modeling of bond of different types winding glass-plastic reinforcement with concrete. Appl. Mech. Mater. 617, 215–220 (2014). https://doi.org/10.4028/www.scientific.net/AMM.617.215 5. Benin, A., Semenov, S., Bogdanova, E.R.: The experimental study of concrete beams reinforced with different types of bars carrying capacity. MATEC Web Conf. 53, 01047 (2016). https://doi.org/10.1051/matecconf/20165301047 6. Shershneva, M., Sakharova, A., Kozlov, I.: Geoecoprotective screens for road construction and operation in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 347–356. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_36 7. Shershneva, M., Puzanova, Y., Sakharova, A.: Geoecoprotective technologies from heavy metal ions pollution for transport construction in permafrost regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 329– 338. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_34 8. Abu-Khasan, M., Egorov, V., Rozantseva, N., Kuprava, L.: Load carrying wooad and metal structures of trusses of covering of long spanned rail depot. IOP Conf. Ser. Mater. Sci. Eng. 463(4), 042075 (2018). https://doi.org/10.1088/1757-899X/463/4/042075 9. Veselov, V., Abu-Khasan, M., Egorov, V.: Innovative design of wooden beams in the far North. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022024 (2020). https://doi.org/10.1088/1757-899x/ 753/2/022024 10. Abu-Khasan, M., Rozantseva, N., Egorov, V., Kuprava, L.: Prefabricated dome structures with walls made of soil composites and urea-formaldehyde foam insulation (UFFI) as a way to solve transport infrastructure problems in Permafrost Regions. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022022 (2020). https://doi.org/10.1088/1757-899X/753/2/022022 11. Temnev, V., Abu-Khasan, M., Charnik, D., Kuprava, L., Egorov, V.: The mesh of shells of a bionic type to be operated in extreme habitats. IOP Conf. Ser. Mater. Sci. Eng. 753(2), 022023 (2020). https://doi.org/10.1088/1757-899X/753/2/022023
New Technology of Collection, Drainage and Joint Treatment of Industrial Urban Runoff Nikolay Chernikov
and Nadezhda Tvardovskaya(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation [email protected]
Abstract. The purpose of this study is to analyze the existing approaches for the joint treatment of industrial and urban runoffs of industrial enterprises, to determine the value of their optimal performance with the conclusion of the criterion for the absence of the need to increase the productivity of industrial wastewater treatment plants to treat residual rainfall and to develop a new technological scheme for the joint treatment of industrial and urban runoff. Based on the analysis of the existing approaches to wastewater treatment of industrial enterprises in the work, it is theoretically proved that it is possible to optimize technological processes for the industrial and urban runoff treatment without increasing the capacity of industrial wastewater treatment facilities. According to the research results, it was proposed to take into account the size of the industrial treatment facilities’ reserve capacity arising from the joint processing of industrial and residual rainfall runoff; the calculated dependencies for the joint treatment facilities’ productivity were obtained, the influence degree of the reserve capacity on the design parameters and the advantages of implementing such solutions was proposed, a new technological scheme for industrial and urban runoff joint treatment was proposed. Keywords: Industrial and urban runoff · Regulating tanks · Treatment facilities · Reserve capacity · Joint treatment technology · Runoff coefficient · Calculated rain rate · Uneven drainage · Aluminosilicate adsorbent
1 Introduction The studies of many authors are devoted to the disposal and treatment of industrial and urban runoff [1–10]. The quality and cost of collection, disposal and joint treatment of industrial and urban runoff is affected by each of these interdependent stages. However, in the listed works of the authors, either the separate disposal of industrial and urban runoff is considered, or the issues of cleaning do not imply the use of the reserve capacity of treatment facilities available during the industrial wastewater treatment. Therefore, the purpose of the study was to analyze the existing approaches for the joint treatment of industrial and urban runoff from industrial facilities, to determine the value of the treatment facilities’ optimal performance with the conclusion of the criterion © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 656–664, 2022. https://doi.org/10.1007/978-3-030-96380-4_71
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for the absence of the need to increase the productivity of industrial wastewater treatment facilities to treat residual rainfall, and to develop a new technological scheme for joint treatment of industrial and urban runoff water. The proposed new technology for drainage of residual rainfall is based on a differentiated supply for treatment with the provision during these hours of the maximum productivity of the pumping station, in contrast to the current one, when a constant flow of residual rainfall is continuously supplied to treatment together with industrial wastewater throughout the entire time of its processing.
2 Materials and Methods Based on the current recommendations, the calculation and design of local treatment facilities of various enterprises, including transport ones, is carried out for the total consumption of the maximum hourly inflow of industrial wastewater in dry weather and residual rainfall from regulating tanks, evenly flowing after rain. Using analytical assessments of the existing technology and developments on the ratio of rainfall and industrial wastewater at industrial enterprises, in particular at railway facilities, it is theoretically proved that it is possible to optimize the technological processes of treatment facilities of production facilities by joint treatment of a mixture of industrial and urban runoff without increasing the capacity of treatment facilities industrial wastewater.
3 Results 3.1 The Existing Approach to Calculating the Performance of Industrial Residual Rainfall Treatment Plants At present, the treatment facilities of industrial enterprises, including transport ones, rely on the maximum supply of industrial wastewater and a constant flow of residual rainfall supplied from control tanks on the rain network. With this traditional approach, the estimated productivity of general structures is taken equal to the sum of the maximum hourly consumption of industrial wastewater and uniformly incoming the processed residual rainfall, m3 /hr: P P + QSD = Qhr.max + QStot = Qhr.max
W , T
(1)
where QStot is a design capacity of general facilities for industrial and urban runoff treatment, m3 /hr; P is a maximum hourly consumption of industrial wastewater, m3 /hr; Qhr.max D QS denotes evenly flowing treated residual rainfall, m3 /hr; W is a total volume of control tanks, m3 ; T denotes the time of processing residual rainfall at treatment facilities, hr. This approach is ubiquitous and leads to an unreasonable overestimation of the joint structures’ productivity, because, there is a capacity reserve of the treatment plant during the hours of industrial wastewater minimum inflow to the treatment plant.
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3.2 Reserve Capacity of Industrial Treatment Facilities and Its Accounting in the Design The advantages of the proposed technology are based on the use of the treatment facilities’ reserve capacity, which is currently not taken into account. As it can be seen from Fig. 1, when operating in dry weather, the estimated maximum hourly productivity of local treatment facilities is used only during the hours of maximum production wastewater intake and is equal to, m3 /hr: (2) where QSP is an estimated maximum hourly productivity of local treatment facilities, m3 /hr; is an hourly unevenness coefficient; P is an average hourly consumption of industrial wastewater, m3 /hr; Qhr.m P Qs defines daily consumption of industrial wastewater, m3 /day. Qphr.max %Q Wr Qрhr.m
Т, hr 0
8
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Fig. 1. Schedule of industrial wastewater inflow to local treatment facilities
During the rest of the day, as well as during non-round-the-clock work, a smaller amount of industrial wastewater is received for treatment. When implementing the proposed technology for drainage and purification of residual rainfall, a reserve tank Wr of treatment facilities is used, arising from their operation around the clock with maximum P , m3 performance QSP = Qhr.max (3) To do this, the pumps are installed in the residual rainfall control tanks, which automatically supply a sufficient volume of industrial and urban runoff for continuous operation of the treatment facilities’ pumps with maximum performance. In case of non-round-the-clock operation of the enterprise, the reserve capacity Wr is additionally increased due to the possibility of receiving only one urban runoff in the absence of industrial wastewater. Taking into account the designated time for processing residual rainfall from the control tank, its acceptance for treatment without expanding industrial treatment facilities
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designed for dry weather is possible when the total reserve capacity of the treatment facilities is greater than or equal to the control tanks’ capacity, m3 : (4) where Wrtot is the total reserve capacity of treatment facilities, m3 ; T r is an urban runoff processing time, hr. When designing, Tr = 1 ÷ 3 days are usually provided. It has been recently recommended to take Tr = 3 days to reduce the treatment facilities volume [Recommendations for calculating the systems for collecting, diverting and treating surface runoff from residential areas, sites of enterprises and determining the conditions for its release into water bodies. - M.: JSC “NII VODGEO”, 2014. - 88 p.]. When Wrtot < Wr the magnitude QStot is necessary to be increased in rain flow from the control tanks, which at the same time decreases in comparison with the dependence (1), and at Wrtot ≥ Wr , it may not be taken into account at all. Taking into account the inclusion in the calculations the idea of using a reserve capacity, which is not currently taken into account in the design of joint treatment facilities, a general relationship was obtained for the performance, m3 /hr: (5) = 1 reserve tank Wr = 0 and the dependence (5) turns into formula (1), which When is currently used in calculations. To use the dependence (5), it is necessary to know the volume of the control tanks W, which is determined by the area and other characteristics of the residual rainfall drainage basin, which are very different and highly dependent on local conditions. Analysis of the rainfall ratio and production costs, for example, for the sectional railway stations [Standards for water consumption and wastewater disposal in technological processes of the industry ON 016-01124328-2000. - M.: Transport, 2000. 10 p.] made it possible to establish the relationship (6) between the volume of residual rainfall to be treated Wr , and the cost of production needs QSP with their turnover in the range from 170 to 690 tons per day: (6) where ψm is an average runoff coefficient; ha is the maximum daily precipitation layer for rain, the runoff from which is treated in full, mm; QSP is daily consumption of industrial wastewater, m3 /day. For the sectional railway stations, on the basis of the dependencies (5) and (6), a formula (7) was obtained to calculate the productivity of general local treatment facilities, taking into account their reserve capacity according to the proposed new technology for the disposal and joint processing of industrial and residual rainfall: (7)
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The advantages of this technology can be illustrated by the example of its application in the design of storm sewers for the railway stations in the Siberian region of the Russian Federation [Intensity of calculation rains and the analysis of the ratio of volumes of rain and industrial waste water for railway stations of The Siberian and Far Eastern regions of Russia Viktor G. Ivanov, Nikolai A. Chernikov, Nadezhda V. Tvardovskaia//Proceedings of Petersburg Transport, volume 16, issue 1, 2019. - P. 95–104. https://doi.org/10.20295/ 1815-588X-2019-1-95-104]. Within the Siberian railways, the value ha is changed within a period of one-time excess of the calculated rain intensity p = 0.1 years from ha = 26.2 mm to ha = 22.9 mm (Sovetskaya Gavan), and at p = 0.05 years - from ha = 4.5 mm to ha = 3.3 mm (Tyumen). unevenness for the railway stations The coefficient of industrial wastewater disposal is usually in the range from 1.2 to 2, and the runoff coefficient ψm - from 0.55 to 0.3. = 1.5 At the maximum recommended time for processing rain runoff T r = 3 days, and ψm = 0.3 according to the dependence (7) daily productivity of joint treatment facilities, QStot is in the first case 2.24 QSP and 2.02 QSP , and in the second for the city of Tyumen it is equal to the flow rate for dry weather QStot = QSP . Moreover, according to the technology being implemented now, we accordingly obtain overestimated values of the local treatment facilities’ productivity: QStot = 2.74 QSP ÷ 2.52 QSP , and QStot = 1.29 QSP ÷ 1.22 QSP . Then, for the conditions of the examples under consideration, in the first case, the productivity of local treatment facilities can be reduced by approximately 1.2 ÷ 1.3 times, and in the second - their expansion is not required at all. Thus, in the general case, with the maximum daily precipitation layer for rain, the runoff from which is treated in full, mm: (8) and for the sectional railway stations, taking into account the formula (6) at, mm: (9) there is no need to take into account the influx of rainfall, assuming the capacity of joint structures for dry weather. 3.3 New Technological Scheme for Joint Treatment of Industrial and Urban Runoff Analysis of the existing technological schemes and the structures used in them made it possible to propose a universal scheme for the joint treatment of industrial and urban runoff, which allows solving all the main problems of designing and reconstructing the sewerage system of railway stations and other enterprises if it is necessary to increase the local treatment facilities’ productivity and/or the wastewater treatment degree (Fig. 2). The recommended scheme provides for mandatory regulation of the residual rainfall flow to the joint local wastewater treatment plant. Depending on local conditions, control tanks are located at the places where contaminated rain wastewater is formed or a common tank is arranged directly at the pumping station of local treatment facilities. Gravity differentiated supply of wastewater is provided directly to the receiving
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tank of the pumping station. A service unit for submersible pumps is installed in the control tanks, pumping water for cleaning during the entire control period T , providing a sufficient volume of water for the continuous operation of the pumps of the treatment facilities in automatic mode. In contrast to the commonly used schemes, energy-intensive pressure hydro cyclones are replaced by thin-layer sedimentation tanks, which provides a higher quality of treatment for suspended solids and a lower probability of suspension in flotation machines, as well as removal of a significant amount of floating and coarsely dispersed emulsified oil products.
Fig. 2. A new technological scheme for the disposal and joint treatment of industrial and urban runoff from railway transport enterprises: 1 - control tank; 2 - submersible pump service unit; 3 the well of the production and rainfall network; 4 - pumping station of local treatment facilities; 5 - reagent facilities; 6 - thin-layer sedimentation tank; 7 - thin-layer flotation machine with flocculation chamber; 8 - filter with mechanical or sorption loading; 9 - dressing tanks; 10 bunker for sludge compaction; 11 - sediment reservoir; 12 - reservoir of entrapped oil products; 13 - tank of cut oil products; 13, 14 - reservoirs of purified water after physical and chemical treatment facilities; 15 - tank for sediment and oil products after cutting; 16 - residual rainfall waste water; 17 - industrial waste water sent for treatment; 18 - waste water from washing filters and from oil product cutting; 19 - pipeline for supplying the detained oil products to the tank of the entrapped oil products; 20 - pipelines for supplying the reagent; 21 - pipeline for removing sediment from a thin-layer settling tank; 22 - removal of compacted sediment; 23 - pipeline for supplying the trapped oil products to the dressing tanks; 24 - pipeline for supplying cut oil products and sludge for disposal; 25 - pipeline for drainage of water into the domestic sewage system: 26 - supply pipelines for use in circulation.
The possibility of supplying reagents either to thin-layer sedimentation tanks or to flotation devices is envisaged. In the latter case, savings in reagents are achieved with a higher quality of purification. The scheme uses an original thin-layer shelf-type skimmer [Wastewater treatment plant/Viktor G. Ivanov, Nikolai A. Chernikov, Nadezhda
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V. Tvardovskaia. Patent RU 200712 U1, 06.11.2020. MPK C 02 F1/24] with a built-in flocculation chamber, which ensures good quality of coagulant flakes and sorption of oil products and fine suspended matter, which are then effectively released in the thin-layer sedimentation zone, which significantly increases the operating period of the filters. Mechanical or sorption filters are provided. In the absence of heavy metals in wastewater, ordinary mechanical loading can be used, and if they are present, sorption loading occurs, for example, with an aluminosilicate adsorbent, the regeneration of which is carried out without removing it from the filter. The technological scheme (Fig. 2) provides the possibility of using treated wastewater in circulation both after flotation devices and after filters. Trapped oil products and sediments are processed to reduce their moisture content and their volume, accordingly, and are disposed. Surplus of treated industrial and urban runoff, not used in circulation, through the overflow devices of clean water tanks of the first and second stages enter the domestic sewage network of railway stations and then, as a rule, into the network of the settlement, and if this is not possible, then into water bodies in compliance with the environmental requirements [11–17]. In this case, it is necessary to use sorption filters.
4 Results Analysis As a result of the study, a formula for determining the reserve capacity Wr treatment facilities was obtained arising from their operation around the clock with maximum performance. Using the conditions (5) and (8), it is possible to evaluate the efficiency of using joint treatment of industrial and rain wastewater for any production facility. Dependencies (7) and (9) allow, when designing drainage systems at railway transport enterprises, to carry out the calculations to assess the efficiency and determine the parameters of joint facilities considering not currently taken into account reserve capacity of industrial local treatment facilities. The economic benefits of this approach in a number of cases can be very significant. Formulas (8) and (9) are proposed to be used as a criterion for checking the need to expand treatment facilities for residual rainfall and industrial wastewater from industrial facilities. The considered examples for the Sovetskaya Gavan city and the city of Tyumen show that in a number of cases, during the reconstruction of wastewater disposal systems, including railway transport, it is possible to abandon the expansion of the existing industrial treatment facilities and the construction of new ones or significantly reduce the productivity of joint facilities by implementing the proposed technology of drainage and treatment of residual rainfall to be treated. The paper proposes a new technological scheme for the joint treatment of industrial and urban runoff, which provides implementation of the idea of using the reserve capacity of industrial wastewater treatment facilities for processing residual rainfall. This task is important and relevant, since the rainfall runoff treatment on a significant scale for transport, including railway, enterprises is still far from an optimal solution. The scheme is flexible and includes the best available technology. It is planned to develop a standardsize range of flotation machines in a wide range of needs for railway transport enterprises in future, which can be used at other industrial enterprises.
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5 Conclusions 1. The analysis of the existing approaches for the joint treatment of industrial and urban runoff from industrial facilities, as a result of which the calculated dependencies were obtained to determine the productivity of the industrial residual rainfall joint treatment facilities of considering the currently unaccounted reserve capacity of treatment facilities. It has been established that as a result of its use according to the proposed technology, in comparison with the existing one, their productivity can be reduced or even adopted in dry weather. 2. A criterion dependence, taking into account the location of the design object, is proposed, which makes it possible to determine the cases in which rainfall QSD , received for treatment does not affect the performance of joint local treatment facilities and an increase in the industrial wastewater treatment facilities’ productivity is not required for cleaning residual rainfall. 3. A new technological scheme for the joint treatment of industrial and urban runoff and the composition of structures have been developed, which provide the ability to regulate the residual rainfall sent for treatment, the use of treated wastewater in circulation after various stages of their processing, as well as the disposal of oil products and the elimination of the resulting precipitation after their preliminary compaction.
References 1. Alexeev, M.I., Baranov, L.A., Ermolin, Y.A.: Risk-based approach to evaluate the reliability of a city sewer network. Water Ecol. 3, 3–7 (2020). https://doi.org/10.23968/2305-3488.2020. 25.3.3-7 2. Asonov, A.M., Ilyasov, O.R., Borisova, G.M., Kholopov, Y.: Ecological and economic efficiency of modern technologies for treatment of surface runoff from railway stations and tracks. Water Ecol. 4, 42–50 (2018). https://doi.org/10.23968/2305-3488.2018.23.4.42-50 3. Dremicheva, E.S., Shamsutdinov, E.V.: Intensification of sedimentation treatment of wastewater from oil products. Water Ecol. 1, 3–8 (2018). https://doi.org/10.23968/2305-3488.2018. 23.1.3-8 4. Ermolin, Y.A., Alexeev, M.I.: Reliability measure of a sewer network. Water Ecol. 2, 51–58 (2018). https://doi.org/10.23968/2305-3488.2018.20.2.51-58 5. Zaletova, N.A., Zaletov, S.V.: Potential of the technology for the advanced treatment of wastewater using granular-bed filters with an inert medium. Water Ecol. 2, 20–29 (2019). https://doi.org/10.23968/2305-3488.2019.24.4.20-29 6. Ivanenko, I.I., Lapatina, E., Krasavina, T.A.: Studies of oil-containing pollution removal by microorganisms. Water Ecol. 4, 30–36 (2019). https://doi.org/10.23968/2305-3488.2019.24. 4.30-36 7. Ignatchik, V.S., Ignatchik, S.Y., Kuznetsova, N.V., Fes’kova, A.Y.: Impact of climate change on the hydraulic modes of operation of surface runoff drainage systems. Water Ecol. 4, 50–57 (2020). https://doi.org/10.23968/2305-3488.2020.25.4.50-57 8. Karmazinov, F.V., Ignatchik, S., Kuznecova, N.V., Kuznecov, P.N., Fes’kova, A.Y.: Methods for calculating the surface run-off. Water Ecol. 2, 17–24 (2018). https://doi.org/10.23968/ 2305-3488.2018.20.2.17-24
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9. Ponomarev, A.V., Konyushkov, V.V., Lushnikov, V.V., Kirillov, V.M.: Impact of non-cavity drainage systems on the bearing capacity of the roadbed. Water Ecol. 4, 47–53 (2019). https:// doi.org/10.23968/2305-3488.2019.24.4.47-53 10. Terekhov, L.D., Mainy, S., Chernikov, N.A.: Experimental study of soil thawing around shallow sewer pipelines in winter. Water Ecol. 4, 71–78 (2019). https://doi.org/10.23968/ 2305-3488.2019.24.4.71-78 11. Domrachev, D.G., Kirillovykh, A.A., Pugach, V.N.: Public and municipal environmental control: problems and development prospects in the Russian Federation. Theoret. Appl. Ecol. 2, 187–192 (2020). https://doi.org/10.25750/1995-4301-2020-2-187-192 12. Dregulo, A.M., Kudryavtsev, A.V.: Transformation of techno-natural systems of water treatment to objects of past environmental damage: peculiarities of the legal and regulatory framework. Water Ecol. 3, 54–62 (2018). https://doi.org/10.23968/2305-3488.2018.20.3. 54-62 13. Korolkov, M.V., Mazhuga, A.G.: Fundamentals of the state policy of the Russian Federation on the creation of a new branch of industrial waste processing. Theoret. Appl. Ecol. 4, 6–12 (2020). https://doi.org/10.25750/1995-4301-2020-4-006-012 14. Kostenko, M.A., Popova, O.V., Lutovats, M.: “Smart” state regulation in the field of environmental protection and nature management. Theoret. Appl. Ecol. 1, 116–121 (2019). https:// doi.org/10.25750/1995-4301-2019-1-116-121 15. Kurbanov, B.T., Kurbanov, B.B.: Ecological state of surface waters in Uzbekistan: problems and solutions. Water Ecol. 1, 28–37 (2020). https://doi.org/10.23968/2305-3488.2020.25.1. 28-37 16. Salieva, R.N., Latypova, V.Z., Saliev, I.R.: Ecological improvement and preservation of the unique water system of the Volga River: issues of legislative support. Theoret. Appl. Ecol. 3, 142–148 (2019). https://doi.org/10.25750/1995-4301-2019-3-142-148 17. Chernikov, N.A., Ivanov, V.G.: Regional standards for wastewater discharge into water bodies of the Russian Federation. Water Ecol. 2, 59–66 (2020). https://doi.org/10.23968/2305-3488. 2020.25.2.59-66
Agent Model for Managing a Transport Communication Network as a Part of Multi-agent Management System Andrey Kanaev
and Elina Login(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The lack of a unified methodology for the development of a transport communication network management system, as well as proven experience in modeling the functioning of control and management mechanisms using the Carrier Ethernet technology, served as the main prerequisites for research in this area. With the existing standards for the architecture and control of elements of the Carrier Ethernet network, the requirements for the control system for such a communication network have not been formed. The Carrier Ethernet transport network management model presented in this paper will allow solving this problem. To create the model, the AnyLogic simulation tool was chosen, since this method will allow obtaining the results of the operation of a communication network of any structural complexity, and the model itself can be programmatically integrated into the existing equipment of the transport network of Russian Railways. The aim of the work is to identify the dependencies between the performance indicators of the Carrier Ethernet transport communication network and the functioning of the multi-agent control subsystem. As well as obtaining the dependences of the availability factor on the fault-tolerant parameters of the communication network elements and on the quantitative characteristics of the configuration of the simulated network fragment. To achieve this goal, a model of the functioning of the Carrier Ethernet transport communication network has been developed, for the control of which an agent-based control apparatus has been selected as part of the general conceptual structure of the control system. Keywords: Transport communication network · Carrier Ethernet · Carrier-class network · Communication network JSC «RZD» · Communication network management system · Agent-based communication network model · AnyLogic
1 Introduction With the increase in the variety of telecommunication devices and technologies, and at the same time the increasing complexity of the structures of transport communication networks (TrN), there is a need to study management systems (MS) of such communication networks [1–3]. This is possible by creating agent-based TrN management systems models. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 665–673, 2022. https://doi.org/10.1007/978-3-030-96380-4_72
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Agent-based modeling belongs to the class of simulation modeling. Which, in turn, allows you to build models with such agents that interact in a complex-structured environment. In this case, the agents themselves reflect the necessary information space of states and behavior of the elements of the control object. Using this method of modeling, an agent-based model of TrN management is obtained. In it, the management object is such a TrN, which is built using the Carrier Ethernet (CE) technology [4]. The selected CE technology has advantages in terms of a set of mechanisms for managing and controlling faults, which is a key subject of research due to the lack of unified methods for constructing management systems using this technology. Mechanisms (OAM - “Operation, Administration, Maintenance”) for monitoring and managing the state of TrN CE elements were previously described in international standards [5, 6] and by the authors in their work, and algorithms for the functioning of processes for monitoring and managing the state of TrN elements have been developed. Table 1 shows a set of OAM mechanisms used in the described model and functioning in the developed TrN management system. Table 1. OAM mechanisms for solving management problems in CE Mechanisms OAM
Description
Inquiries
Manually initiated by the operator for a limited period of time for diagnostics
Removing faults
Detection, verification, localization of various faults and notification of them
Checking the integrity of the Ethernet network
Proactive OAM
Fault detection
Loss detection between a pair of endpoints within a service point group
Quality control of work
Measurement of various quality parameters. Quality parameters are defined for point-to-point Ethernet connections
Channel failure notification (ETH-AIS - alarm indication signal)
Enables an alarm that is sent after a fault is detected at the (sub) server layer
Performing one-sided diagnostic testing (ETH-Test - test signal)
On request, both on and off network. Checking bandwidth, frame loss, bit errors, etc.
Initiating signal ETH-RDI - fault indication at the far end
Sending from the previous MEP * to the next if a fault condition is met. Thus, the subsequent MEP is informed that there was an error in the previous MEP. The receiving MEP cannot locate the fault
Initiation signal (LTR)/ETH-LT
Failure localization by searching for this failure along the established path
Initiation signal LBM (LBR)/ETH-LB
With the help of a loop- back it allows to generate data on service availability
Blocking signal initiation ETH-LCK
Suppress client errors and allows the device of the client to determine the cause of the fault (intentional management or collection data at the server level)
* MEP - end device of the network controlled by means of OAM mechanisms
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On the basis of the above mechanisms, the processes for monitoring and managing the state of the TrN CE elements were formed (OAMkn = {OAMk1, OAMk2, OAMk3}, where OAMk1 is the process of monitoring the state and control of the TrN element based on the result of troubleshooting in the connectivity of routes, OAMk2 is the state control process and management of the TrN element based on the input control information from the multi-agent management system (MAMS), OAMk3 is the combined process of monitoring the state and control of the TrN element). The described model includes the OAMk3 process.
2 Description of the Modeling Process The process of creating a model includes several stages, which are structurally presented in Fig. 1. 1
Forming The set of agents
2
Formation of agents that reflect the state and parameters of the TrN routes
Creating a set of "equipments" with the "Equipment" agent type
Creating a set of "connect" with the "Connect" agent type
4
• • •
Description of the presuppositions made in the simulation process; Indicates the classes of random variables used in the model; Indicates the some parameters of the experiment (model time, total duration of the experiment, etc.); Some data of the control object.
Creating the structure of the TrN fragment
Formation of additional properties for the MAMS agent node
Forming a set of parameters of Carrier Ethernet elements
5
6
Creating additional properties of MAMS agents based on the formed parametric set
Setting the rules of behavior for the MAMS
Creating a state diagram of agents-nodes
Setting constraints for the experiment
•
3
Formation of agents that reflect the state and parameters of TrN nodes
Creating a state diagram of agents-routes
Setting the fault rates and recovery rates for MAMS agent nodes Getting statistical data on fault and recovery rates during maintenance of railway transport communication networks of “ Russian Railways“
Setting the parameters of random distributions fault and recovery rates and getting the corresponding graphs.
7
Running simulations in an AnyLogic environment Setting space and network properties for "Equipment" and "Connect" agents types
8
Interpretation of simulation results
Fig. 1. The structure of the agent-based management model TrN CE as a part of MAMS
The resulting model has found its place in the previously developed concept of the formation of the MAMS TrN CE, which in turn is a subsystem of the MS TrN. The agentbased management model of the CE TrN as a subsystem of the MAMS at the operationaltechnical level of management solves the problems of assessing and analyzing the state and behavior of fragments and the entire TrN CE, and at the technological level of management it collects and analyzes individual elements and routes of the TrN CE. In Fig. 2 shows the developed structure of the MAMS TrN CE with an indication of the OAM mechanisms, through which the processes of control and management of the state of the TrN CE elements are implemented. To create an agent-based model in the AnyLogic modeling environment, the structure of the management system, reflecting the functioning of the MAMS subsystem, and the structure of the TrN, reflecting the functioning of a fragment of this network, have been
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developed. Moreover, the coordinates of the position of the MAMS agents, reflecting the location of the elements of the CE TrN, can be set manually or automatically both in the modeling process (in the AnyLogic environment) and in the final software product (also obtained from the AnyLogic environment). In Fig. 3 shows a fragment of the TrN CE, on the basis of which the model was implemented.
Information model of the structure of the TrN Fragment No. 1
Agent Agent регистрации анализа Agent событий Event logging and Analysis
и
Multi-agent model of functioning of TrN routes during the performance of OAM processes
The control block for the state of elements, routes, and a TrN fragment
Module for forming connected routes
Block for forming the structure of a TrN fragment
The MAMS node A 1 The MAMS node A 2 The MAMS node A k
Fragment No. 3
Fragment No. 2
Fragment No. 1
Т rN Carrier Ethernet
Fig. 2. The structure of the multi-agent transport network management system Carrier Ethernet
Fig. 3. The structure of the simulated fragment TrN with an example of the route
Also, the model specifies an algorithm for the interaction of MAMS agents and TrN elements. For the agent-based model in relation to the management of the selected object (TrN using the CE technology) and the previously developed MAMS control subsystem (using agents), we introduce the definition of the MAMS agent (the MAMS agent is a MS node that reflects the state and behavior of the TrN elements in the information space CE) and a model agent in the AnyLogic environment (such an agent completely simulates the behavior of TrN elements and routes in accordance with the specified state and action diagrams based on the entered statistical characteristics). Thus, the TrN element (and/or the TrN route) is a physically existing TrN device (or a set of devices) that provides data transmission. Whereas MAMS agents are a
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programmatic and informational reflection of the state and behavior of these devices and/or routes. And with the help of agents in the AnyLogic modeling environment, state and action (behavior) diagrams of TRM elements are set. The change in the state of the TrN element is reflected in the MAMS by changing the state of the corresponding agent of the MAMS node. After that, the agent itself, as well as other management units of the MAMS node (see Fig. 2) respond to the corresponding control commands. In the modeling environment, the algorithm of operation of the processes of periodic control and the state of the TrN fragment is set using the action diagram. The action diagram starts its work as soon as the state of any agent changes. The state of the agent-element is diagnosed using the CCM message (Continuity Check Message) [5–8]. Transitions in the state diagram are specified using the distribution functions of the probability of failures and recovery: – Lambda (device failure probability distribution function). This distribution was obtained on the basis of statistical data of communication equipment based on the results of two years of operation. – Mu (the function of the distribution of the time to restore the healthy state of the device) are set using the AnyLogic variables, which allow you to set this value as random and form a normal distribution for it with the required characteristics. The specification of the characteristics of this variable was also conditioned by the statistics of the operation of communication networks of railway transport. The model has the following constraints and assumptions: 1. A fragment of the TrN under the control of one MAMS node is considered; 2. The MAMS node consists of 20 agents that reflect the state of the elements of one TrN fragment; 3. The distribution functions of random variables belong to the class of normal and Weibull-Gnedenko; 4. The characteristics of random variables are determined by statistical methods; 5. The duration of the experiment does not exceed 10 years of model time; 6. The average number of elements included in the route is 5. In Fig. 4 shows a generalized algorithm for the operation of the model of the functioning of the routes of the TrN fragment. The key blocks are: the choice of a variant of the MAMS operation (to obtain a preliminary estimate of the duration of the control cycle or for agent-based modeling of the process of functioning of a TrN fragment); selection of a modeled process within the framework of the discrete-event model execution to obtain a preliminary estimate of the duration of the control cycle of a TrN fragment; execution of the OAMk3 process on the basis of the given functions of the distribution of the probability of failures and recovery, obtained by the statistical method; description of the stages of formation of the process of reconfiguration of routes and a fragment of the TrN in the case of detection of typical faults and/or the parameter of the TrN element that does not correspond to the required value.
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Forming a set of MAMS nodes Evaluating and controlling the state of a element, route in TrN fragment
Formation of a set of agents for logging and analyzing events for a set of elements of the k-th TrN fragment
Setting the statistical functions of the distribution of faults and recovery for TrN elements
Do you need to recover the fragment structure?
Formation of an information model of the structure of TrN fragments Executing the mechanisms of the ОАМk3 process Start the process of functioning of the MAMS for k-th TrN fragment?
no Getting the experimental distribution function for the model parameters
no
Choosing the modeled process ОАМk1? yes
Executing the mechanisms of the ОАМk1 process in accordance with the block 1 of the ОАМk3 process
Executing the mechanisms of the ОАМk2 process in accordance with the block 2 of the ОАМk3 process
no
yes
yes
Detected an agent with a typical fault?
yes
Formation of a new route structure and information model of the structure of the k-th TrN fragment
no The subprocess of checking the parameters of the TrN elements in accordance with block 3 of the ОАМk3 process
The parameter value corresponds to the required value of the correct state of the TrN element?
Formation of data for the route reconfiguration module
no
yes Control check of the route status of the TrN fragment ETH-Test
Evaluation of the no correspondence of the used time resource in the new structure of the TrN fragment to the measured value yes MAMS database: collection, storage and provision of data
The end Getting data on the time resource used in processes ОАМk1 ˅ ОАМk2
Fig. 4. Algorithm of operation of the route control model of the TrN fragment
3 Description of the Simulation Results The result of modeling is a set of changed states (in order/faulty) for the entire modeling time (10 years) of TrN elements and routes. This is data that reflects the state of agentelements and agent-routes throughout the entire duration of the simulation cycle. Since the simulation results in AnyLogic are presented in the form of a large data set for each failure of each agent and route, therefore, the average values of the corresponding values are obtained. To solve this problem associated with obtaining the values of the network reliability assessment, the work evaluates such reliability indicators as mean time between failures (Tnno), mean time to repair (TVv) and availability factor (Kg). Based on the obtained statistical values of the reliability parameters and assessments of the state of the elements and routes of the TrN, the availability factor was obtained. Calculations and a formal description of the analysis of the data obtained are presented in detail in the work. Thus, two values of the availability factor are obtained. To assess the reliability of a network fragment, structured by routes and using CE OAM algorithms for fault
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management, the network availability factor was obtained −0.982. The second value of the availability factor of 0.942 was obtained under the same conditions, but without taking into account the structure containing the routes. Thus, the reliability of a TrN fragment depends on the presence of state control processes, both of individual network elements and routes. In Fig. 6 shows a graph of the dependence of the availability factor of the TrN fragment on the number of elements in the route and on the number of elements in the TrN fragment. The graph in Fig. 6 illustrates the choice of an acceptable number of elements in the route and in separately formed fragments of the TrN, depending on the required value of the availability factor. In Fig. 7 shows the dependence of the availability factor on the mean time between failures and the failure recovery time, respectively. The graph in Fig. 7 also makes it possible to reasonably choose a rational level of network reliability within the framework of the availability factor parameter and at the same time meet the requirements for fault tolerance of network elements. The obtained network availability factor is sensitive to three key parameters of the model - k (the number of elements in the route), Tnno (time between failures in the CE element), Tvv (failure recovery time in the CE element) (Fig. 5).
Fig. 5. The graph of the dependence of the availability factor of the TrN fragment on the number of elements in the network fragment L and on the number of elements in the route k
Fig. 6. Graph of the dependence of the element availability factor on the time between failures and failure recovery time of the Carrier Ethernet network element
In the first case, when a different number of elements in the route was installed in the model, a graph was obtained that illustrates the choice of an acceptable number of elements in the route depending on the required value of the availability factor. In this case, the optimal number of elements in the route at the maximum value of Kg was about 7 or more elements. In the case of time parameters associated with mean time between failures and failure recovery time, the resulting graphs illustrate the reciprocal dependence on Kg. Thus, the graphs in Figs. 6 and 7 also allow you to reasonably choose an acceptable level of network reliability within the Kg parameter and at the same time meet the requirements for fault tolerance of network elements. In this model, with the
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maximum value of Kg = 0.982, the acceptable values of the mean time between failures and the recovery time of one failure will be about 178 h and 3 h, respectively.
4 Conclusions The basis and prerequisite for the research presented in this work were studies [9–14] related to the assessment of the reliability of networks. The resulting model makes it possible to trace the dynamics of the behavior of each node and each link with its own values of failure rates and recovery rates for a network configuration of any complexity, and also allows solving problems related to determining the length of time before the loss of connectivity in the route and the mean time between failure of all routes simultaneously. This, in turn, makes it possible to form assessments of network reliability and fault tolerance. Based on this, the values of the availability factor were obtained for routes and individual nodes of the TrN. When evaluating the obtained values, it was revealed that the greatest value of the availability factor has a network in the presence of routes in it that are controlled and controlled by processes based on OAM mechanisms. Despite the fact that the value of the mean time between failure duration for a single node of the TrN is much higher than the value of this parameter for the TrN route, the ability to control the state of routes with preliminary monitoring of the state of the nodes included in it allows to obtain the highest value of the availability factor Kg = 0.981. Modeling the management processes of the TrN allows at the design stage of a promising TrN MS based on CE technology to choose one or another variant of forming the CE network configuration. And also the resulting model in the AnyLogic environment in the format of a program code in the Java programming language (certificates of state registration of a computer program - RU 2018618160, RU 2018619908) can be used in network devices that support remote access settings, which will make it easy to change TrN configuration in case of found failures and malfunctions. In addition, according to the simulation results, the sensitivity of the model to such parameters as - the number of elements in the route, the number of elements within the network fragment, the mean time between failures for the CE element, the time of failure recovery for the CE element was revealed. The regularities of the dependence of the availability factor on these parameters established from the results of modeling can be used to select an acceptable number of elements in the route and in separate formed network fragments, as well as to select a rational level of network reliability depending on the required value of the availability factor.
References 1. Ageev, S.A., Gladkikh, A.A., Mishin, D.V., Privalov, A.A.: Method of operational monitoring of technical condition of multiservice communication network on the basis of hierarchical fuzzy inference. CEUR Workshop Proc. Conf. Paper 2258, 211–221 (2018) 2. Privalov, A., Lukicheva, V., Kotenko, I., Saenko, I.: Method of early detection of cyber-attacks on telecommunication networks based on traffic analysis by extreme filtering. Energies 12(24), 4768 (2019). https://doi.org/10.3390/en12244768
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3. Privalov, A.A., Kolesov, V.A., Veremyev, V.I.: Methods of analysis of the space system application process in forecasting of the development of regional natural emergency. In: Proceedings of 2019 22nd International Conference on Soft Computing and Measurements, SCM 2019, Conference Paper, 8903793, pp. 160–163 (2019). https://doi.org/10.1109/SCM.2019. 8903793 4. Recommendation ITU-T G.8013/Y.1731: Operation, Administration and Maintenance (OAM) Functions and Mechanisms for Ethernet-Based Networks. August 2015 IEEE 802.3ah Task Force. Ethernet in the First Mile (2004) 5. Recommendation ITU-T G.8013/Y.1731: Operation, Administration and Maintenance (OAM) Functions and Mechanisms for Ethernet-Based Networks. Corrigendum 1 Mar 2018 6. MEF 16 Ethernet Local Management Interface (E-LMI) – The Metro Ethernet Forum (2006) 7. IEEE 802.1ag: Local and Metropolitan Area Networks - Connectivity Fault Management (2007) 8. Ageev, S., Karetnikov, V., Ol’khovik, E., Privalov, A.: Adaptive method of detecting traffic anomalies in high-speed multi-service communication networks. E3S Web Conf. 157, 04027 (2020). https://doi.org/10.1051/e3sconf/202015704027 9. Privalov, A., Lukicheva, V., Kotenko, I., Saenko, I.: Increasing the sensitivity of the method of early detection of cyber-attacks in telecommunication networks based on traffic analysis by extreme filtering. Energies 13(11), 2774 (2020). https://doi.org/10.3390/en13112774 10. Privalov, A., Skudneva, E., Kotenko, I., Saenko, I.: Graph-based evaluation of probability of disclosing the network structure by targeted attacks. In: Proceedings of IEEE/IFIP Network Operations and Management Symposium 2020 Management in the Age of Softwarization and Artificial Intelligence, NOMS 2020, 9110299 (2020). https://doi.org/10.1109/NOMS47 738.2020.9110299 11. Anufrenko, A.V., Kanaev, A.K., Saharova, M.A.: Diagnostics of the transport data network routes with the neural networks. In: Proceedings of 2017 20th IEEE International Conference on Soft Computing and Measurements, SCM 2017, 7970546, pp. 231–233 (2017). https:// doi.org/10.1109/SCM.2017.7970546 12. Kanaev, A.K., Oparin, E.V., Oparina, E.V.: Model of the synchronization network functioning process in the context of intellectualization of network control functions. E3S Web Conf. 224, 01028 (2020). https://doi.org/10.1051/e3sconf/202022401028 13. Login, E.V., Kanaev, A.K., Lukichev, M.M.: Increasing the efficiency of the functioning of transport communication networks by using a modified method for determining a set of independent routes. In: Systems of Signals Generating and Processing in the Field of on Board Communications, 14–15 March 2018 (2018). https://doi.org/10.1109/SOSG.2018.8350600 14. Login, E.V., Kanaev, A.K., Saharova, M.A.: Mathematical metamodel of the process of functioning of the intelligent management system of the Carrier Ethernet network. In: 2017 XX IEEE International Conference on Soft Computing and Measurements (SCM) 24–26 May 2017 (2017). https://doi.org/10.1109/SCM.2017.7970557
Analysis of the Possibility of Detecting Inhomogeneous Metal Inclusions in Welded Joints of Rails Under Ultrasonic Control Sergey Nikolaev(B)
and Andrey Benin
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. External factors in the manufacture of welded rail joints have a significant impact on the quality of the welded joint, which leads to the formation of a defect in the form of the thermite metal typical crystal structure violation, followed by a rail welded joint fracture. The macrostructure of the metal surface in the defect zone “Inhomogeneous metal inclusions” contains looseness, slag and micropores accumulations. The defect, as a rule, is located in a plane running vertically along the center of the weld in the region of the base and the lower part of the rail web, perpendicular to the longitudinal axis of the rail. In the course of the research, an analysis of the possibility of detecting a defect in the form of “Inhomogeneous metal inclusions” was made by the ultrasonic method of testing using an ultrasonic flaw detector, for local testing and with phased arrays, during acceptance trial, as well as the possibility of detecting a defect by an ultrasonic testing method using a method different from the accepted. The results of experimental studies using capillary and magnetic particle inspection methods are presented to confirm and visualize a defect on a welded joint fragment, followed by the welded rail joint fragments’ macrostructure and microstructure studies in the place of an internal defect and in a defect-free area. Keywords: Aluminothermic welding · Railway rails · Ultrasonic testing of rails · Welded joints of rails · Defects in welded joints of rails · Microstructure of metal in welded joints of rails
1 Introduction At present, little attention is paid to the external factors that have a significant effect on the welded joint quality, which leads to the formation of a defect in a violation form of the typical crystal structure of thermite metal (Fig. 1a) [1–3], followed by a rail welded joint fracture. The macrostructure of the metal surface in the defect zone “Inhomogeneous metal inclusions” contains looseness, slag and accumulations of micropores with a size of 250… 400 μm (Fig. 1b) [4]. It should be noted that the defect, as a rule, is located in a plane running vertically along the center of the weld in the region of the base and the lower part of the rail web, perpendicular to the longitudinal axis of the rail. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 674–682, 2022. https://doi.org/10.1007/978-3-030-96380-4_73
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Fig. 1. Visible defect “Inhomogeneous metallic inclusion” on the fracture surface [4]
Analysis of the fracture end of the welded joints of the rails showed that on the fracture surface, along the axis of symmetry top-rail web-base of the rail, partly in the zone of the fillet rail web-based transition, a defect of an irregular triangular shape, which is a coarse-grained area of the fracture surface, different in nature and structure from the rest of the thermite weld metal, is visually detected. Defect sizes are usually in the range 20 × 20 × 30…35 × 35 × 50 mm (Fig. 1a). Presumably, the appearance of these defects is caused by an incomplete thermal reaction in the crucible due to the early actuation of the foundry crucible plug with further thermal reaction in the molds and the formation of a defect in the form of a collapsed gas bubble. By its nature, location and structure, this defect is classified as a defect “Inhomogeneous metal inclusions” in accordance with the “Classifier of defects in welded rails”, which is the cause of the fracture. To determine the possibility of detecting this type of defect using ultrasonic testing (UST) the investigations of a welded joint of rails sample with an artificially created defect formed as a result of mechanical action on the rails at the steel crystallization time in mold were carried out. In the course of the research, an analysis of the possibility of detecting this defect during acceptance control in accordance with Technical Instruction 07.96-2011 (hereinafter – TI) was carried out, as well as the possibility of detecting a defect by the ultrasonic method of control according to the method [5–8], which differs from the accepted one. The studies of the macrostructure and microstructure of the welded joint of rails fragments in the place of the detected internal defect and in the defect-free area have been carried out.
2 Research Methods Conducted studies of the joint to identify the internal defects using ultrasonic testing (UST) showed that when carrying out ultrasonic testing in accordance with TI, the internal defects are not detected. Therefore, the additional studies were carried out in order to identify an internal defect of the “Autocrack” type, located in the zone of the rail webtoe transition in the plane of the weld symmetry. In particular, to detect defects (pores, slag inclusions, lack of penetration, lack of fusion, etc.) in the joints of aluminothermic
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welding of rails in the zone of the rail base blade, a piezoelectric transducer (PET) is used with α = 70° the base was inspected from two opposite directions of the rail, from both sides of the welded joint (the inspection zone corresponds to 80 mm, transverselongitudinal scanning with a step 3 ÷ 4 mm along the width of the top within the welding zone, conditional sensitivity Kc = 16 dB, according to the standard sample SS-3P). Behavioral Identification Studies UST defect type “Inhomogeneous metal inclusions” using a flaw detector RDM-33, as well as a phased array flaw detector showed that this defect is identified when inspecting from the rail base blade surface (Fig. 2), only with a turn to 25…35° towards the rail web. It should be noted that the current regulatory and technical documents for control (hereinafter – RTD) such studies are not provided (Figs. 3 and 4).
Fig. 2. UST rail base blades apply PET with α = 70°
Fig. 3. UST rail bases with PET with α = 70°
Fig. 4. UST from the rolling surface of the TOR applies PET with α = 45°
When carrying out ultrasonic testing with a flaw detector RDM-33, it was found that the defect is detected from two opposite blades and two sides of the welded joint, while the signal amplitude exceeded the response threshold 7…10 dB, (Kd(max) = –6 dB, L(max) = 12 mm). The detection of the defect by the Isonic 2010 flaw detector with phased arrays did not make it possible to clearly identify the signal from the defect against the background of the signal from the structural reflector - this problem is associated with difficulties in installing and moving the transducer (dimensions 80 × 40 mm) along the surface of the rail base blades (Fig. 5).
Flaw detector RDM-33
Phased array flaw detector
Fig. 5. Revealing a defect of the “Autocrack” type from the surface of the rail base blades (photo made by authors)
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To study the possibility of detecting this defect of the type “Inhomogeneous metal inclusions”, an analysis of the UST welded joints’ existing methods was carried out, which showed that when testing from the opposite side of the rail base PET α = 70° using the echo method, it is possible to detect a defect located in the zone of the rail webbased transition in the plane of the weld symmetry (Fig. 6). Behavioral Identification Studies on UST defect type “Inhomogeneous metal inclusions” using a flaw detector RDM-33, as well as a phased array flaw detector “Isonic 2010” showed that this defect is also identified on the opposite side of the rail base. This method of control is not provided for RTD in operation. When conducting the research with UST flaw detector RDM-33, it showed that the defect is identified on both sides of the welded joint, while the signal amplitude exceeded the response threshold 5…6 dB, (Kd(max) = –10 dB, X(max) = 25 mm). Flaw detection with the Isonic 2010 phased array flaw detector also clearly allows to reveal the signals from defect (Fig. 6).
Flaw detector RDM-33
Phased array flaw detector
Fig. 6. Identification of a defect of the type “Inhomogeneous metal inclusions” on the opposite side of the rail base (photo made by the authors)
To study the possibility of detecting this defect of the “Inhomogeneous metal inclusions” type, an analysis of the existing welded joints’ UST methods was carried out, which showed that when carrying out control from the surface of the TOR (top of rail) PET α = 45° with an echo method, it is possible to detect a defect located in the zone of the rail web-based transition in the plane of the weld symmetry (Fig. 8). When conducting the research with UST flaw detector RDM-33, it showed that the defect is identified on both sides of the welded joint, while detecting a defect it is necessary to increase the conditional sensitivity (Kc = 5…10 dB). Defect detection by Isonic 2010 flaw detector with phased arrays, after increasing the conditional sensitivity, also clearly identifies the signal from defect (Fig. 7).
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Flaw detector RDM-33
Phased array flaw detector
Fig. 7. Revealing a defect of the “Autocrack” type from the rolling surface of the TOR (photo by the author)
Analysis of the study on the possibility of detecting a defect of the type “Inhomogeneous metal inclusions” (Fig. 8) showed that a defect can be detected with a continuous UST mobile and (or) removable flaw detection devices, however, the preset sensitivity values should be changed taking into account the specifics of UST aluminothermic welding with continuous inspection of rails [9–12]. In order to confirm the presence of a defect, as well as to determine the actual dimensions of the defect, a welded joint was cut out of the rail, followed by a cut along the axis of the rail symmetry (Fig. 8a). Then, the samples were cut from the welded joints’ fragments in order to spot the defect location (Fig. 8b), followed by grinding the cut sample to a mirror surface, to determine (confirm) the defect (Fig. 8c).
а.
b.
c.
Fig. 8. Scheme of obtaining samples (photo made by the author)
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On the prepared (mirror) surface of the sample, a defect in the form of a linear rupture of the metal (crack) with a length of about 35 mm is visually observed. In order to confirm the defect, a capillary control method was carried out in accordance with GOST 18442-80 Non-destructive testing. Capillary methods. General requirements. The advantage of the capillary method is that it is possible not only to detect surface and through defects with its help, but also to obtain valuable information on the defect nature and even some reasons for its occurrence by their location, length, shape and orientation on the surface (stress concentration, non-compliance with technology etc.) [13]. Analysis in the test sample of the obtained image formed by the penetrant at the defect location on the test object surface (indicator pattern) confirms the presence of a defect (Fig. 9a).
а. Capillary control method
b. Magnetic particle inspection method (opening in the center of the crack ≈ 0.2 mm)
Fig. 9. Dimensions and coordinates of the defect location (photo made by the authors)
Based on the capillary inspection results, the location coordinates and the defect length have been determined. It was also found that the defect is located in the center of the welded joint (from the beginning of the cast around ~22 mm), at a depth in the transition zone, the rail web - the rail base (from the rolling surface of the TOR 124…162 mm). The maximum crack opening (defect width) in its middle part was 150…200 μm (0.2 mm). To confirm the presence of a defect, an additional magnetic particle inspection was carried out using an applied magnetic field, according to the inspection results, a defect, with clearly identified boundaries of propagation was subsisted (Fig. 10b).
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Based on the detected defect’s results, the main sections were selected from the base, the fillet transition of the rail web and the TOR to the base, a sample was cut from them for metallographic studies (Fig. 9b).
Sample 1
Sample 2
а. Location of samples for metallography
b. Microsections of samples at magnification х100 in a non-etched state
Fig. 10. Metallographic studies (photos by the authors)
Microsections were made according to a standard technique, the structure of a rail joint fragment sample was studied with an increase in ×100 in a non-etched state and followed by etching with a 4% solution of nitric acid and alcohol. As a result of the metal structure analysis in non-etched samples No. 1, and No. 2 and No. 3 when increasing ×100 it was found that breaks in the metal structure are observed in the sample No. 1, the sizes of which reach 150…200 μm, in sample No. 2, breaks in the metal structure are also observed, with the dimensions 10…100 μm, while in sample No. 3, violations of the structure integrity were not revealed (Fig. 10b) [9–13].
3 Conclusions The conducted studies of the welded joint of rails to identify internal defects using ultrasonic testing (UST) showed that when carrying out ultrasonic testing in accordance with the current RTD, internal defects are not detected. This defect is identified when testing from the surface of the blades of the rail base with a turn on 20…35° towards the
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rail web, as well as this defect is subsisted from the opposite side of the rail base and from the rolling surface of the TOR (which is not provided by RTD for control). To confirm and visualize a defect on a welded joint fragment, the studies were carried out using capillary and magnetic particle inspection methods. According to the capillary control results, an “indicator pattern” was obtained, formed by a penetrant at the defect location, which confirms its presence. According to the magnetic control results, a defect, with clearly identified boundaries of the defect propagation was subsisted. The maximum crack opening (defect width) in its middle part was ~200 μm (0.2 mm). In the places of the identified defects, the main sections were selected from the base, the rail web-based transition zone, and from the TOR zone. One sample was cut from each zone for metallographic examination. Analysis of the metal structure in non-etched samples with an increase in ×100 showed that in sample No. 1 breaks in the metal structure are observed, the dimensions of which reach 150…200 μm, in sample No. 2, breaks in the metal structure are also observed, with the dimensions 10…100 μm, while in sample No. 3 the structure integrity violations were not revealed. Based on the study results of the provided sample with a defect, it can be concluded that this defect (in terms of its location, nature and size), artificially created on the basis of OOO “GT ALTS” coincides with such a real defect as “Inhomogeneous metal inclusions”, which is formed in the railway tracks in the process of welding during the railway movement at the moment of steel crystallization in the form.
References 1. Dymkin, G.Y., Kurkov, A.V., Smorodinskii, Y.G., Shevelev, A.V.: On the sensitivity of eddy current testing of parts of railway rolling stock. Russ. J. Nondestruct. Test. 55(8), 610–616 (2019). https://doi.org/10.1134/S1061830919080059 2. Dymkin, G.Y., Konshina, V.N.: Main provisions of GOST (Intergovernmental Standard) 33514–2015 “Railway-purpose production. Verification of nondestructive testing procedures.” Russ. J. Nondestruct. Test. 53(7), 539–543 (2017). https://doi.org/10.1134/S10618 30917070063 3. Hobbacher, A., Kassner, M.: On relation between fatigue properties of welded joints, quality criteria and groups in ISO 5817. Weld. World 56(11–12), 153–169 (2012). https://doi.org/10. 1007/BF03321405 4. Ignatev, M., Kazarinov, N., Petrov, Y.: Peridynamic modelling of the dynamic crack initiation. Proc. Struct. Integr. 28, 1650–1654 (2020) 5. Benin, A.V., Belishkina, T.A., Vyatkin, A.G.: Issues of standardizing requirements for resistance and strength of railroad automation and signaling systems used in high-speed railways versus external mechanical impact. Russ. Electr. Eng. 87(5), 292–296 (2016). https://doi.org/ 10.3103/S1068371216050047 6. Boronenko, Yu.P., Rahimov, R.V., Lafta, W.M., Dmitriev, S.V., Belyankin, A.V., Sergeev, D.A.: Continuous monitoring of the wheel-rail contact vertical forces by using a variable measurement scale. 2020 Joint Rail Conference, JRC 2020 (2020) 7. Boronenko, Y.P., Povolotskaia, G.A., Rahimov, R.V., Zhitkov, Y.B.: Diagnostics of freight cars using on-track measurements. In: Klomp, M., Bruzelius, F., Nielsen, J., Hillemyr, A. (eds.) IAVSD 2019. LNME, pp. 164–169. Springer, Cham (2020). https://doi.org/10.1007/ 978-3-030-38077-9_20
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8. Li, C., Luo, S., Cole, C., Spiryagin, M.: Evaluation of primary suspension benefits for heavy haul wagons Tiedao Xuebao. J. China Railw. Soc. 40(8), 52–59 (2018). https://doi.org/10. 3969/j.issn.1001-8360.2018.08.007 9. Kulikov, M.Y., Sheptunov, S.A., Evseev, D.G., Kuzyutin, A.S.: Development of the concept of the predictive model of freight cars transportation in the planned repair. In: Conference: 2018 IEEE International Conference “Quality Management, Transport and Information Security, Information Technologies” (IT&QM&IS) (2018). https://doi.org/10.1109/ITMQIS.2018.852 5038 10. Dymkin, G.Ya.: Regulations and requirements for nondestructive testing at Russian Railroads. In: 11th European Conference on Non-destructive Testing (ECNDT 2014). Proceedings of a meeting held 6–10 October 2014, Prague, Czech Republic. https://www.ndt.net/events/ECN DT2014/app/content/Paper/386_Dymkin.pdf 11. Gordeeva, L.F., Prokhorovich, V.E., Bychenok, V.A., Alifanova, I.E.: Development of an automated system for ultrasonic testing of products obtained by additive manufacturing processes. J. Phys. Confe. Ser. 1636(1), 012003 (2020). https://doi.org/10.1088/1742-6596/1636/ 1/012003 12. Pilyugin, S.O., Lunin, V.P.: Determining the probability of detecting flaws in weld joints by phased-array ultrasonic testing. Rus. J. Nondestruct. Test. 52(6), 332–338 (2019). https://doi. org/10.1134/S1061830916060085 13. Daniel, D., Radoslav, K., Miloš, M.: Ultrasonic testing of girth welded joint with TOFD and phased array. Manufact. Tech. 14(3), 281–286 (2014). https://doi.org/10.21062/ujep/x.2014/ a/1213-2489/MT/14/3/281
Rail Transport in the Urban Passenger Transportation Andrey Grachev(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia
Abstract. The authors formulate the concept of «urban trunk transport» based on the results of a system analysis of communication methods between the allocated settlement areas (residential districts) and the central or industrial zones of large cities, the possibility of application railway radii, diameters and other types of intracity railway lines, methods of multimodal transportation hub and an transfer transportation schedule to display the interaction of different levels of urban trunk transport. Criteria for the most preferable scenarios for organizing transport communications based on the development of rail types of urban transport in an intermodal transport system are proposed. Keywords: Urban transport · Rail transport · City trunk transport · Urban railway · Tramway traffic · Road capacity · Carrying capacity · Urban agglomeration
1 Introduction One of the main directions of the operation theory of railways is the method of calculating its capacity. This is due to the fact that serve capacity is characterized by the technical ability of any transport system to provide the planned traffic volumes. With the emergence of public transport in the 19th century, urban and suburban transport types were considered separately. So, the theoretical foundations of the suburban traffic organization on Russian railways were formulated by the founders of operational science, the famous St. Petersburg practitioner and scientist A.N. Frolov during the monopoly of rail transport in passenger traffic. In the second half of the 20th century, a team of operating scientists under the leadership of F.P. Kochnev formed a methodology for managing suburban-urban transport in relation to large industrial centers of the Soviet Union. The main task solved by the method was to ensure the “export” of passengers during “rush hours” from the suburban to the industrial zone of the cities with minimal use of rolling stock to reduce transport costs and infrastructure development needs. In contrast to the realities of the last century, the management of both suburban and urban transportation poses today the problem of separately taking into account the interests of the carrier, the infrastructure owner and the passenger, which not only do not coincide, but often come into conflict. Therefore, at the present time, characterized by a situation in which only rail transport is able to solve the problems of passenger transportation © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 683–691, 2022. https://doi.org/10.1007/978-3-030-96380-4_74
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between the urban agglomeration areas, the technological issues for this task solution have risen to a new level. These problems include the choice of options for the use of radius, diam and other types of railway junction lines, as well as the methods of using transport hubs, which is together the most urgent task when organizing passenger traffic in large cities. To solve the problem of increasing the transport systems efficiency, an integrative indicator of their functioning remains throughput and carrying capacity, corresponding to such a characteristic as transportation capacity. The maximum size of transportation by different modes of transport depends on many overlapping factors. In the logic of the research carried out in the middle of the last century by V.V. Zvonkov, Corresponding Member of the Academy of Sciences of the USSR, who worked at the Department of Railways Operation, we propose to use the indicators of the city main transport port’s carrying capacity for various levels of its detailed description and a conceptual representation of this category. In other words, to determine the theoretical aspects of the carrying capacity concept, taking into account the spatiotemporal unevenness of passenger traffic, the criteria for its segmentation, as well as the characteristics of rolling stock and traffic management systems for certain groups of passengers, types of special rolling stock for use at various levels of urban mainline transport. The main provisions of the theory of V.V. Zvonkov are presented in the work “The relationship of individual modes of transport and the basics of organizing multimodal transport”, published in 1953 as a manuscript under the auspices of Ministry of Railways USSR, which included the Academy of Railway Transport (Moscow). The maximum dimensions of transportation that can be carried out on a transport highway (transportation capacity) are determined by its throughput and carrying capacity. In the complex theory of transport, the concepts of throughput and carrying capacity are the most important. The essence of these concepts is the same for all transport modes. The differences relate only to the parameters of technical means and forms of traffic organization. The concept of throughput is not unique to transport. It is widely used in industry, agriculture, trade and other processes. We emphasize that the carrying capacity is inherent only in transport. Transportation capacity is the possible volume of traffic that can be performed on the line under consideration during the year, month, day, hour (i.e., per unit of time) in each travel direction. Carrying capacity and transportation capacity are proportional. Carrying capacity is the maximum number of certain units that can be passed over a certain period of time in given specific technical and operational conditions by any device or structure. In transport, it is determined by the peculiarities of the path, the development of the transport hub (station, port, etc.), the transshipment (transfer) front, which allow the passage of the maximum number of rolling stock units, cargo or passengers. The concept of carrying capacity seems to us more voluminous, since it characterizes the production capacity of all the main economic objects of transport: tracks, transport hubs, transshipment fronts, warehouses, etc. Transportation capacity characterizes only the capacity of the rolling stock or the personnel availability. The carrying capacity of transport is the main parameter that determines the place of transport systems in the urban transport structure. Such transport systems with low carrying capacity, as monorail systems, are used as excursion and transportation transport in the airport area, bus and trolleybus systems
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bring passengers to mainline modes of transport with large carrying capacity - high-speed trams, metro and electric trains. Darrin Nordahl emphasizes that rail transport provides maximum carrying capacity throughout the world [1]. Comparative characteristics of urban transport of various types are given in Table. 1. Table 1. Carrying capacity by types of urban passenger transport. Transport type
Carrying capacity, thousand passengers/hour
Communication speed, km/h
Electric trains
90
50–70
Metro (with 8 carriages)
75
35–50
Light rail transport (in separate traffic mode)
30
70
Express tramway (off-street light rail)
30
25–35
Tram (in general traffic or on a partially detached canvas)
18
18–20
Trolleybus
7
18–20
Bus
7
18–25
Monorail
6
50–80
Personal vehicle lane with uniform movement
1.2
22–25
Concerns about the overwhelming motorization of modern cities are voiced in traffic reports around the world. So, M.A. Kotlyarov translated the works of scientists P. Newman and D. Kenworthy, who propose the ways to develop urban trunk transport [2, 3]. The tram occupies a special place in the system of urban passenger transport, since it has a potentially greater carrying capacity as a type of rail transport. However, this ability is sharply reduced in the case of movement in a common flow with vehicles. The scientists of the Siberian Highway Institute substantiated the use of a tram in modern transport systems as a transportation in a residential area (along with a bus and a trolleybus). When the tram exits the highway, isolated from outside transport, it already performs the trunk functions. Tram traffic is regulated by a timetable. The main initial data for drawing up a graph is the train turnover time along the route and the number of trains on the route. In the conditions of attaching drivers (and conductors) to tram trains, it is also necessary to take into account the maximum permissible duration of the working day and the timing of breaks. The attachment system is usually called roster, which is numbered according to the sequence of release of trams from the fleet to the line. The distribution of the available fleet of vehicles along different routes depends on the passenger traffic. Based on the general schedule, the timetables are drawn up for each individual train (train schedule) and sometimes for every single stop (column schedule). Train schedules usually indicate not all stops, but several key points of the route. Tram
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timetables are rare in Russia, usually only the average interval is indicated on the stop signs. Different systems for predicting the waiting time are used abroad and in some cities of Russia at stops: in Barcelona and Yekaterinburg using SMS, in Paris - on liquid crystal displays. In Tula, Novosibirsk, Omsk and Khabarovsk, it is possible to find out the minute-by-minute schedule on the website, as well as track the real movement of rolling stock, thanks to the equipment GLONASS installed in the cars. In St. Petersburg, the attempts to organize informing passengers at city transport stops are also being made, the movement of which can also be tracked using the Google map application. The turnaround time of the train along the route depends on the length of the route, the frequency of the stops, the number of intersections with traffic flows and pedestrians (including those equipped with traffic lights), speed limits on the line, the state of the track and rolling stock, the difficulty of traffic on the streets and other factors. The turnaround time is determined empirically. During the turnover, a few minutes are switched on to rest the driver at the final stops. In Russia, the practice of “extended” schedules is widespread, that is, the schedules drawn up with pessimistic estimates of the time of movement in the assumption of possible congestion. As a result, trams move very slowly even when there is no congestion. Recently, a popular scheduling method called clock schedule. A clock is considered a graph in which the interval is an exact divisor of the hour (usually 10, 15, 20 or 30 min, sometimes 1 h). In this case, the timetable for the tram at any stop is repeated every hour and is easy to remember, which increases the attractiveness of transport for regular passengers even with rare traffic [4]. Tram drivers are responsible for keeping the timetable. According to Russian operating and maintenance rules (OMR) a regular tram is considered as a movement performed in accordance with the schedule or deviations from it: 1) +2 min (late) or −1 min (regaining speed) on the routes where the interval between cars (trains) is more than 3 min; 2) ±1 min — on the routes with an interval of less than 3 min. Dispatchers keep track of the schedule and regularity of movement. In cases of forced cessation of movement at any section or disruptions in movement, dispatchers promptly adjust the schedule, redistribute rolling stock on routes, ensure the release of reserve trams or buses replacing them on the line. The estimated speed of a tram in Russia is usually calculated in the range from 45 to 70 km/h. Tram systems with an operating speed of 75 km/h to 120 km/h and higher in the building codes are called “high-speed”.
2 Methods Capacity of track sections for all types of transport can be determined by the number of rolling stock (trains, ships, cars) based on the following expressions: TC =
v T, L
where v is the rolling stock speed (km/h, m/min) for one of the movement directions, taking the stops inside the site into account; L is the distance between the centers of two adjacent rolling stock (m), equal L + li :
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l is the length of rolling stock, m; l i is an interval between two adjacent rolling stock, m; T is an operational period, (day, hour, quarter of an hour). Calculations using the formulas show that the throughput of track sections in terms of the number of moving stocks is proportional to the movement speed and the operating period and is inversely proportional to the distance between the centers of two sequentially moving vehicles. Consequently, in the end, to increase the capacity of the track, it is necessary to strive to increase the movement speed and to reduce the interval between adjacent rolling stock. This paradigm seems to be equally valid for all modes of transport. The minimum interval between two adjacent trains is determined by traffic safety conditions. In railway transport, it is equal to the length of the braking distance of trains. On road transport, this interval depends on the type of vehicles, their speed and the track condition. In maritime transport, this interval in each specific case depends on the cargo-carrying capacity of ships, their movement speed, the state of the sea and the weather. The carrying capacity of suburban railway lines and subway lines is determined depending on the number of main tracks, automation, communication and the adopted system of organizing train traffic [5]. The capacity of a multi-lane suburban section equipped with automatic blocking (and subway lines) is determined for an estimated hour in trains for each track with a parallel train schedule at intervals: N = 60/I, when calculating the carrying capacity taking into account the capacity (a) and filling of the composition (k): A = Nak. In the light rail system, moving trains are separated by a constantly changing interval, which is called dynamic. In this case, the available capacity of the line is defined as the traffic intensity – n (trains/h): n = λv where λ is a flux density, trains/km. At the maximum schedule, the intensity of train traffic (n) will be equal to the available carrying capacity (N), for example, in an hour. By designating this time t h , we get: N=
th th = λv ⇒ I = I λv
The resulting ratio shows the dependence: the denser the flow of trains (i.e., the more there are on the line), the smaller the train interval (Ih) at constant speed. If we fix the number of trains on the line, then at a higher speed the interval between trains will be less, that is, trains run more often. The synchronization of train movement allows avoiding the negative impact on the inter-train interval of high density and speed, which, with the traditional system of interval regulation, lead to an increase in the interval and, accordingly, to a decrease in carrying capacity. From the condition N = n, the density of the train flow is determined: λ=
th , lb + lt
where lb , l t are the length of the braking distance and the train, respectively.
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Substituting the longest stopping distance in the above formula, it is possible to calculate the maximum number of trains that pass the section per unit of time. Rhythmic movement of trains is possible with the use of modern systems of interval regulation, allowing to achieve optimal speed of train movement with a minimum of acceleration and deceleration. In the absence of such a system, the rhythm of the line depends on the ability of the locomotive drivers to drive the train. In both cases, the synchronous movement of trains is influenced by the state of technical equipment and short-term random bursts of passenger traffic. Throughput of individual lines and directions on all modes of transport is limited by the most difficult section with the lowest throughput of all the sections of the path that make up this line or direction. The throughput of transport hubs on all types of transport (railway stations, sea and river ports) is determined by the carrying capacity of the narrowest link in their economy. As a rule, these are transfer fronts and means. The capacity of the following passenger devices is calculated: platforms and apron tracks; tracks and equipment for handling passenger cars. For example, throughput of a passenger platform (with its apron tracks) in trains is calculated as follows: npl =
th Ppl − tpl tpt
where Ppl is a number of apron tracks at the platform; t pl defines the total time of occupation of apron tracks during the billing period by operations related to the passage of trains of other categories and shunting movements; t pt shows the duration of the apron track occupation by a passenger train. The basis of urban mainstream transport is an intermodal transport system, which is a systemic association of various modes of transport, carrying out specialized types of transport using special types of rolling stock and infrastructure, as well as the appropriately equipped transfer hubs, focused on an integrated nature and high-quality of services provided. This condition is considered to be a modern characteristic of a smart city [6]. In turn, the intermodal transport system in passenger traffic differs in the following features: 1. Implementation of the “door-to-door” and “just-in-time” principles, providing for the provision of a single complex of transport and other services throughout the passenger’s route. 2. Passenger-friendly organization of transport chains’ interaction on the movement route, primarily due to the optimal coupling of various transport types. 3. High quality and comprehensive nature of services (increased speed, regularity, safety and uninterrupted traffic) and, as a result, predictability of travel time with a high level of accompanying service (uniform processing of through travel documents for the entire route, developed system of information services for passengers, additional service for the arrangement at transfer hubs and arrival points, etc.). 4. Wide application of new methods of organizing and managing traffic flows based on modern methods of logistics, modeling and optimization of traffic flows, marketing, information technologies.
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The main components of an intermodal transport system are: infrastructure, transfer hubs and terminals, rolling stock, transportation process control system, surrounding service. A promising and progressive thesis of the development of transport systems was proposed by P.G. Atayev: in terms of operational characteristics, in most cases, the basic component can be a railway transport complex [7]. In the world, this thesis has become decisive in the development of urban agglomerations [8–10]. The systematic basis for the work of transport is the schedule of the rolling stock movement. On the railway, the schedules are classified by type, i.e., the relative position of trains on the stretch (for the period of the schedule) or section (configuration). The period of the schedule or its configuration determines the throughput, and hence the carrying capacity of the railway line. The above-mentioned features of the passenger flows’ formation of urban main transport, entering outside the city limits into suburban areas, explain certain requirements for the train traffic organization: development of a variant train schedule; 2) the need to divide the suburban railway section into zones and the arrangement of zone stations for the suburban trains’ turnover, which within the city carry out the load of one of the types of urban transport. Such systems are common all over the world [8]. The organization of suburban traffic of all types of passenger traffic is known to require the closest combination of the interests of the railway, the carrier and passengers. Depending on the size and nature of passenger traffic, as well as on the technical equipment of the site, they are used non-zonal and zonal graphs of various types. Nonparallel graph is practically only zonal. It is used with significant passenger traffic. Pendulum motion is usually organized on railway diameters, that is, on the lines that pass through the central areas of the city. At the same time, the head railway station of the through type serves two or more suburban sections, converging to it. Suburban trains, arriving from one section, pass to the next without sludge or turnover in the central part of the city. Trains turnover is carried out at the zone stations. At the same time, trains can stop more often within the city limits, therefore, their speed is lower than on the outer city sections. It is important to emphasize that during pendulum movement there is no need to maintain or develop technical parks in the city center for parking, equipping suburban trains, it is more expedient to take them out to zone stations. In fact, suburban trains are becoming a means of transport for suburban-urban transport. The most effective is zonal traffic, organized according to the principle of the more zones, the less costs of train-km and train-hours, as well as less cost of pass-hours associated with stops (criterion - the time spent by a passenger on travel and waiting for a train). However, from a certain moment, the use of some of the stations as zone stations becomes unsuitable for the passenger, since it increases the trip duration. In this case, a non-parallel schedule is introduced. With a non-parallel schedule, the travel time to the far zone is reduced, but the waiting time increases for passengers in both the far and near zones. A theoretically possible solution is to abandon the rigid division into zones by using flexible criteria for assigning turnover stations. The analysis shows that choosing from all stations where there is a possibility of commuter train turnover, it is possible to choose
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those that would suit both the carrier and would not significantly affect the passenger’s preferences. Together with the rejection of the rigid division into zones, it is advisable to introduce a mechanism for modeling the schedule of commuter trains, comparing for this the time spent by passengers on a trip in parallel (T p ) and non-parallel (T np ) charts. The technique for such a comparison is well known. For example, for the case of dividing a suburban section into two zones and uniform train departure 1 1 I1 I2 l I2 I2 l 1 2 + + + + + Tp = tp + tp = v 4 4 v v 4 1 l I1 l1 I2 I2 1 2 + + Tnp = tnp + tnp = + + v 2 vrs v 2 2 , t 2 show the time spent on a trip in 1 or 2 zones in parallel and nonwhere tp1 , tp2 , tnp np parallel schedules (min), l 1 , l 2 define the length of 1 and 2 zones (km), I 1 , I 2 define the interval between trains assigned to 1 or 2 zones (min), v, vrs show the speed, taking into account the time spent at stopping points, and not taking them into account, (km/min). The condition for choosing a chart type is formulated as follows:
• if T p ≥ T np , then a non-parallel schedule is beneficial for the passenger, • if T p < T np , then vice versa. When expanding parentheses and excluding identical members, non-identical are parts 1 1 1 compared. In the case of two zones and uniform train departures, this is l v − vrs 1 2 and I − I 4. Expressing speeds in terms of time and distance, and intervals I 1 , I 2 through the passenger flows A1 and A2 , the condition for choosing the type of chart is reduced to the form. • if 1.5s ≥ 15a A11 − A12 , then a non-parallel schedule is beneficial for the passenger, • if 1.5s < 15a A11 − A12 , then vice versa. where s is a number of stops within 1 zone, a is a number of seats in a commuter train. The relationship between the length of the zones, the number of stops within the zone, the intervals between trains and their speed, as well as the number of seats in trains, allows using the property of the zone graph variability. By regulating the trains movement size through the passenger flows and the capacity of the trains, it is possible to select a schedule configuration close to the combination of the interests of the infrastructure owner, the carrier and the passenger, creating the conditions for attracting additional demand.
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3 Conclusions The article formulates the reasons for the need to improve the established methodology for organizing suburban-urban passenger traffic and proposes the means of solving the new problems created by modern requirements to ensure transport links between urban and suburban areas. The expediency of using these means is confirmed by the results of the calculations for regulating the zones’ lengths, the number of stops within the zone, the intervals between trains and their speed, the calculation formulas are given in the article. The waiting time for transport should not exceed the travel time. Rail transport provides a framework for the transport system, which is important for the development of suburban-urban communications and improving the life quality standards in cities. The need for their development is explained by an increase in the share of the urban population in the logic of mankind urbanization.
References 1. Fomin, E.V., Zeer, V.A., Arefieva, E.S., Golub, N.V.: Ensuring priority for public urban passenger transport on urban streets and road network. Russ. Autom. Highway Ind. J. 17(3), 390–399 (2020). (In Russian), https://doi.org/10.26518/2071-7296-2020-17-3-390-399 2. Newman, P., Kenworthy, J.: Greening Urban Transportation. State of the World 2007. W.W. Norton & Company, New York (2007) 3. Vuchic, V.R.: Urban Transit System and Technology, p. 624 Wiley, Hoboken (2007). ISBN: 978-0-471-75823-5 4. Glotz-Richter, M., Koch, H.: Electrification of public transport in cities (horizon 2020 eliptic project). Transp. Res. Proc. 14, 2614–2619 (2016). https://doi.org/10.1016/j.trpro.2016. 05.416 5. Ataev, P.G.: Foreign research experience of the non-street passenger transport. Izv. Saratov Univ. (N. S.), Ser. Earth Sci. 20(2), 94–97 (2020). https://doi.org/10.18500/1819-7663-202020-2-94-97 6. Jenks, M., Burgess, R.: Compact Cities: Sustainable Urban Forms For Developing Countries. Spon Press, London (2000). https://doi.org/10.4324/9780203478622 7. Pojani, D., Stead, D.: Sustainable urban transport in the developing world: beyond megacities. Sustainability 7(6), 7784–7805 (2015). https://doi.org/10.3390/su7067784 8. Pojani, D., Stead, D.: Policy design for sustainable urban transport in the global south. Policy Des. Pract. 1(2), 90–102 (2018). https://doi.org/10.1080/25741292.2018.1454291 9. Curtis, C., Renne, J., Bertolini, L.: Transit-Oriented Development: Making it Happen, p. 312. Routledge, London (2009). https://doi.org/10.4324/9781315550008 10. Marquet, O., Márquez, S., Nieuwenhuijsen, M.J.: Small cities, big needs: urban transport planning in cities of developing countries. J. Transp. Health 19, 100944 (2020). https://doi. org/10.1016/j.jth.2020.100944
Determination of the Simulation Method of Technical Equipment and Technological Support for Non-public Tracks Artem Sugorovsky(B) Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia
Abstract. This article considers the issues of determining the technical equipment and technological support of non-public tracks, using the example of the station “M”. The analysis of the technical and operational characteristics of the station and the planned freight traffic was made. The characteristic of technical means and devices providing the basic technological operations of the station “M” is presented. Substantiation of development of railway infrastructure of stations with the use of simulation modeling method has been proposed enabling to take into account rather detailed technology of station operation and to investigate the functioning process of station transport service system by varying the main characteristic of devices - number of tracks, loading facilities of the station and shunting locomotives. As a result of processing empirical data using the application program package Statistics (Statistica), theoretical probability distribution curves for the occupancy duration of the station shunting area track, its sample mean, standard deviation and coefficient of variation were obtained. The irregularity coefficient of freight operation at station “M” was determined to use it in the model, the loading of all major devices of the station in question was calculated and delays in waiting for service were determined. In the course of various experiments with the model of transport system functioning, the necessary for mastering the prospective work volumes were determined: track development and the number of shunting locomotives. Determination of the necessary development of the railway infrastructure of other non-public tracks can be carried out in the proposed order. Keywords: Railway track · Track development · Railway station · Simulation modeling · Reconstruction
1 Introduction As a result of increase in extraction volumes of minerals on the tracks of non-accessible facilities, infrastructural constraints may arise: insufficient track development of the railway station, technical equipment, number of shunting locomotives, then there is a task to find the most rational solution to ensure shipment of finished goods, taking into account the need for shunting works. The definition order of technical equipment and © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 692–700, 2022. https://doi.org/10.1007/978-3-030-96380-4_75
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technological maintenance of not public use tracks is considered by the example of station “M” where the ore-dressing and processing enterprise is located, the decision of a problem is executed by the simulation method, which has well recommended itself for the various purposes [1–7]. First of all, to solve the task, it is necessary to analyze the technical and operational characteristics of the station and the freight flow planned for transportation. Technical and Operational Characteristics of the Station “M” Station “M” is cargo station by the character of its functioning, mainly by the loading industrial station, by means of which the finished product of the plant is sent to consumers to the external network of railroads. The main operations performed at the station are as follows: – receiving empty and loaded transmissions from the stations of Russian Railway Company (RZD); – sorting empty wagons in accordance with the requirements of sending to different consumers; – preparing wagons for loading; – supply of wagons to the loading and unloading points; – loading of finished products; – freight unloading, allowing the functioning of the plant; – formation of loaded routes to the Russian Railway Company (RZD) network; – transfer of loaded routes and groups of empty wagons from unloading to the Russian Railway Company (RZD) network. The characteristics of technical means and devices, that ensure the performance of the main technological operations in the shunting area of the station “M”, are given in Table 1. The following wagons are supplied to station “M”: empty wagons for loading, loaded wagons Table 1. Characteristics of technical means and devices that ensure the performance of the main technological operations in the shunting area of station “M”. Name of technical means and devices
Location
Purpose
Electronic wagon scales
Railway tracks 1, 2, 4, Weighing wagons 5
Load capacity 200t
Metering devices (crane KZH561)
Intertrack space 1–2 railway tracks
Wagon loading dosage
Load capacity 25t
Metering devices (crane KDE-253)
Intertrack space 4–5 railway tracks
Wagon loading dosage
Load capacity 25t
Wagon tipper
Railway track 17
Unloading wagons with clay, fluxes
-
Loading hoppers – 2 pcs
Railway tracks 1, 2, 4, Pellets loading 5
Capacity of each hopper 700 tons, capacity - 2000 tons/hour
Loading hopper
Railway track 11t
Capacity - 80 m3
Concentrate loading
Throughput or productivity
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for unloading and double operations. As a rule, the supply is carried out in combined transfer trains (loaded and empty wagons) by notification with an interval between the supplies of 2 h. Loaded wagons, technically suitable and marked on arrival at the station “M” for dual operations for a particular type of freight, after their unloading inspected and prepared for loading in commercial terms. Loading and unloading of wagons is carried out around the clock. Supply wagons for bunkers is made by wagons forward of the odd-numbered station throat. Loading can be carried out simultaneously on two loading hoppers (1, 2), but only on one of the tracks of each loading hopper. Only one wagon is loaded and weighed at a time. The average loading time of one car is 3.5 min. The cleaning duration of the hopper from the freight and loading with the new freight is 45 min. Loaded wagons are weighed on strain gauge scales located in front of the wagon tipper. Front of simultaneous staging is 9 wagons; simultaneous unloading is 1 wagon. Supply of wagons to the wagon tipper is performed by wagons forward on the side of the dead-end. The car pusher with a platform or shunting locomotive (with two backup cars) approaches the cars from the dead-end. Before unloading of loaded wagons their weighing on strain gauge scales located in front of the wagon tipper in motion. In wintertime, a heat-generator unit is used for warming up the wagons with freezing freight. After warming up the wagon for 5–20 min, the wagon is placed for unloading and the next wagon is warmed up. Heating hopper capacity is 3 wagons. Warming up front - 1 wagon. The formation and dispatch of loaded transfer trains (routes), as well as individual groups of wagons that are not suitable for loading or loaded with other goods, is carried out from the receiving-railway station “M”. Forecast Volume of Work At the station “M” there is a loading and unloading facility with the volume of 450 wagons per day (8 trains). In 2021, the plan is to increase the shipment of finished goods and reach the level of 620 wagons per day (11 trains). Shipment of freight submitted for transportation is mostly carried out by route and group shipments. Routing accounts for 95% of the total volume of transported freight. Empty and loaded wagons arrive at the consignee’s address to a greater extent in multigroup trains when they are formed on the territory of the Russian Federation. In recent years, the structure of empty rolling stock arriving to the plant has changed. Currently, car traffic volume is primarily formed at port and marshalling stations of the Oktyabrskaya Railway. Despite the fact that the prospective size of shipment of finished products does not exceed the design capacity of the mill, taking into account the trend in recent years, when the volume of sorting work with empty cars increases, it is necessary to determine the technical equipment and technological support required for the development of prospective loading of finished products. As well as in connection with the changes in the market of finished goods, for the increased shunting operation on the disbanding of empty wagons, that is reasonable to conduct by simulation modeling, taking into account the detailed technology of the station, including shunting movements [8, 9].
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2 Materials and Methods Method of simulation modeling has been applied in the present paper. Simulation modeling makes it possible to study the functioning process of the transport service system at the “M” station by varying the main unit characteristic - the number of channels: railway tracks, station loading facilities and shunting locomotives. Simulation model was designed using special software complex “Aurora” developed at “Lengiprotrans” design institute by Y.A. Bobrov, chief specialist in the traffic management and economic calculations, and V.A. Loseva, principal software engineer. The model includes a sufficiently detailed technology of station operation, as important for the possibility of taking into account the risks of changing the order of service, logistics and enterprise competitiveness [10–17]. At the same time, the filling of loading hoppers 1 and 2, the odd neck, the receiving-and-departure tracks of station “M”, as well as the marshalling tracks of the shunting district, the occupation of the connecting track with the station of the Russian Railway Company (RZD) and the loading of the station shunting locomotives operation are calculated. The object models include the following categories and devices: Categories: – empty routes; – assembled trains. Units: – – – – – – – – – – – – – – – – – –
station shunting locomotives; draw track of the projected shunting area; draw track 2T; draw tracks M5 and M3; wagon tipper 1; wagon tipper; receiving and dispatching track 16; receiving and dispatching track 15; tracks 4p and 5p in front of the loading hopper; tracks 1p and 2p in front of the loading hopper; receiving and dispatching track 3; receiving and dispatching track 6; receiving and dispatching track 7; receiving and dispatching track 8; receiving and dispatching track 9; odd neck of station “M”; wagon tipper 2; connecting track between the Russian Railway Company (RZD) station and the station “M”; – connecting track to the shunting area; – tracks of the shunting area;
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– sorting tracks of the shunting area (projected). Table 2 shows the duration of operations and shunting movements included in the model. Table 2. Duration of operations and shunting movements included in the operation model of the transport system at the station “M”. No. Name of operation
Duration of operation, min
1
Reception of the combined train from the station on the way of the station “M”, located in the shunting area
10
2
Disbanding of the combined train on the profiled turnout track
72
3
Disbanding of the combined train on the gravity hump
50
4
Accumulation of a wagon group on the tracks of the shunting area
Simulated in the program
5
Transfer of a group of loaded and empty wagons from the 12 shunting area tracks to the receiving and dispatching tracks of the station
6
Supply of the loaded wagon group to the wagon tipper
9
7
Transfer of the empty wagon group from the wagon tipper to the shunting area track for disassembly
12
8
Disbanding of a wagon group arrived after unloading at the 9 wagon tipper, from the team track
9
Disbanding of a wagon group arrived after unloading at the 3 wagon tipper during the construction of the gravity hump
The actual occupation times of tracks and devices can be used to determine the necessary and sufficient technical and technological support of the railway station required for its stable operation. Setting the duration range of the track occupation allows to avoid errors of not taking into account the maximum time of the track occupation, and at the same time there is no redundancy. The theoretical curves of the probability distribution for the occupation time of the station shunting area tracks (Fig. 1), the sample mean - 67 min, the standard deviation - 14 min and the coefficient of variation – 0.21 (the sample is homogeneous) were obtained as a result of processing the empirical data using the application program package Statistica, developed by StatSoft.
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Fig. 1. The results for the approximation of the empirical distribution about the duration of track occupation at the shunting area of the station “M.“
Therefore, the occupation time of the shunting area tracks equal to 67 min with a deviation from the average value of 14 min can be introduced into the simulation model of the railway station infrastructure operation. Table 3 shows reportable loading volumes at station “M” by month. Table 3. Reported loading volumes at “M” station by month. Month
Total
1
2
3
4
5
6
7
8
9
10
11
12
925
824
967
996
907
866
1028
899
854
973
934
978
11149
According to Table 2, the irregularity coefficient of freight operation of the station was determined for use in the model: Umax , kirr = Ui /12 where Umax is the maximum volume of loading for the year; Ui is a loading volume for the i-th month; 12 is a number of months. Therefore: kirr = 1.1.
(1)
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3 Results As a result of various experiments with the “M” station transport system model, it was found that in order to develop the potential train traffic, it is necessary to build 6 tracks of the shunting area. Figure 2 shows a graph of changes in the downtime of trains waiting for service for 30 contiguous days.
Simple trains, train-hours
80 70 60 50
Average value
40 30 20 10 0 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 Day of the month
Fig. 2. Diagram of the changes in the downtime for trains in the waiting to be served for 30 contiguous days.
The graph demonstrates that at the maximum work size (11 trains with recycling), the transport system of the station “M” works quite stably: the total delays before the units fluctuate in both directions from the average values, but there is no increase in these delays [18].
4 Results Analysis As a result of performing various experiments with the simulation model of the station “M”, it was found that for its stable operation at the given volume of work will require the construction of 6 new tracks. The developed simulation model allows answering many questions related to the station operation, that can be done with an additional series of experiments.
5 Conclusions Therefore, the article proposes a procedure for determining the technical equipment and technological support of non-public tracks, using the station “M” as an example. Determination of the necessary development of railway infrastructure of other nonuse tracks can be carried out with the above procedure.
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References 1. Benin, A., Guzijan-Dilber, M., Diachenko, L., Semenov, A.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S Web Conf. 157, 06018 (2020). https://doi.org/10.1051/e3sconf/202015706018 2. Maznev, A.S., Kiselev, I.G., Ivanov, I.A., Kiselev, A.A.: A simulation model of a servo system of a regenerative-resistor braking of a DC electric train. Russ. Electr. Eng. 89(10), 592–597 (2018). https://doi.org/10.3103/S1068371218100061 3. Nikitin, V.V., Sychugov, A.N., Rolle, I.A., Vikulov, I.P.: Calculations of the parameters and simulation of the operation of nonlinear surge arresters for AC rolling stock. Russ. Electr. Eng. 91(2), 87–92 (2020). https://doi.org/10.3103/S1068371220020078 4. Perminov, N., Perminov, A.: Simulation of strain-stress behavior of a tunnel collector in the combined anthropogenic effects conditions. IOP Conf. Ser. Mater. Sci. Eng. 456(1), 012083 (2018). https://doi.org/10.1088/1757-899X/456/1/012083 5. Zhuravleva, N., Guliy, I., Shavshukov, V.: Simulation modeling of changes in demand for rail transportation. IOP Conf. Ser. Earth Environ. Sci. 403(1), 012230 (2019). https://doi.org/10. 1088/1755-1315/403/1/012230 6. Perminov, N.: Unsteady interaction simulation of a large RC shell with heterogeneous soil milieu for a gradually increasing caisson structure. IOP Conf. Ser. Mater. Sci. Eng. 456(1), 012059 (2018). https://doi.org/10.1088/1757-899X/456/1/012059 7. Zaitsev, A.A., Rolle, I.A., Evstaf’eva, M.V., Sychugov, A.N., Telichenko, S.A.: Determination of the energy indices of alternating current electric rolling stock using computer simulation. Russ. Electr. Eng. 89(10), 612–616 (2018). https://doi.org/10.3103/S1068371218100115 8. Sugorovsky, A.V.: Development of the railway infrastructure of the stations in connection with the implementation of the investment project for the creation of the northern latitudinal passage. Proc. St. Petersburg Univ. Railway Transp. 16(4), 602–610 (2019). https://doi.org/ 10.20295/1815-5884-2019-4-602-610 9. Groshev, G.M., Sugorovsky, A.V., Sugorovsky, A.N.: The rationale for applying simulation modelling of the effectiveness of supervisory regulation in the area. Transp. Syst. Technol. 2(2), 106–109 (2016). (In Russian), https://doi.org/10.17816/transsyst2018041094-104 10. Fan, Q., Jin, Y., Wang, W., Yan, X.: A performance-driven multi-algorithm selection strategy for energy consumption optimization of sea-rail intermodal transportation. Swarm Evol. Comput. 44, 1–17 (2018). https://doi.org/10.1016/S2210650218300701 11. Caramuta, C., Giacomini, C., Longo, G., Montrone, T., Poloni, C., Ricco, L.: Integration of BPMN modeling and multi-actor AHP-aided evaluation to improve port rail operations. Transp. Res. Procedia 52, 139–146 (2021). https://doi.org/10.1016/S2352146521000296 12. Zhang, Q., Wang, W., Peng, Y., Guo, Z.: Impact of rail transport services on port competition based on a spatial duopoly model. Ocean Coast. Manag. 148, 113–130 (2017). https://doi. org/10.1016/S0964569116304148 13. Ferrari, P.: Some necessary conditions for the success of innovations in rail freight transport. Transp. Res. Part A Policy Pract. 118, 747–758 (2018). https://doi.org/10.1016/S09658564 18307286 14. Kurtulu¸s, E., Çetin, I.B.: Analysis of modal shift potential towards intermodal transportation in short-distance inland container transport. Transp. Policy 89, 24–37 (2020). https://doi.org/ 10.1016/S0967070X19300022 15. Prata, J., Arsenio, E.: Assessing intermodal freight transport scenarios bringing the perspective of key stakeholders. Transp. Res. Procedia 25, 900–915 (2017). https://doi.org/10.1016/S23 5214651730772X 16. Adler, N., Brudner, A., Proost, S.: A review of transport market modeling using game-theoretic principles. Eur. J. Oper. Res. 291(3), 808–829 (2021). https://doi.org/10.1016/S03772217203 09668
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Interaction of Intensive and Low-Density Lines: Management Approach and Models Konstantin Kovalev(B)
and Alexey Novichikhin
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia [email protected]
Abstract. A complex problem of effective functioning and development of the methodology for managing transportation on low-density railway lines when interacting with intensive highways is considered. The formulation of the complex problem and the study of theoretical provisions have been completed. The problem of the low-density railway lines functioning, their interaction with intensive and projected (modernized) lines has been solved. The principles of interaction of intense and low-density lines were developed, on the basis of which a generalized conceptual scheme of interaction of intense, low-density and projected lines was built. For a comprehensive assessment of quantitative indicators, technical, technological and economic indicators are identified, on the basis of which the target function of the system state is presented. A cognitive map, taking into account the value of the factor at the previous time of the change in the values of the factors-causes and external influence in an impulse form, has been developed. The function of the factors’ values at the moment of time, taking into account the impulse action on the vertices corresponding to the reciprocal value of the station class and having the reciprocal value of the line class, is presented. Scenarios for the functioning development of the low-density lines have been developed. Keywords: Complex approach · Traffic management · Intensive lines · Low-density lines · Crossing capacity · Railway transport · Cognitive modeling
1 Introduction Effective interaction of intensive and low-density lines allows increasing the performance of the railway transport system, increasing the competitiveness, importance and attractiveness of intermodal, multimodal and other types of transportation, including those that are not in high demand at present [1–8]. To implement this problem, it is necessary to develop scientific and theoretical foundations for managing transportation processes in the interaction of intensive and low-density lines using methods of structural synthesis and cognitive modeling. These methods give the most complete description of an object and a subject of the research, as well as the relationship between them [9–15]. Structural synthesis is based on the integration of elements at the stages of development and making control decisions, while ensuring the interaction of railway lines, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 701–709, 2022. https://doi.org/10.1007/978-3-030-96380-4_76
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as well as accounting and aggregation of their distinctive features, including the quantitative and qualitative levels. Based on the goal of meeting the needs of the population and production in transportation, three components of the structural synthesis necessary to solve the problem of increasing the transportation process efficiency have been identified. The solution to the described problems is achieved with the help of the developed algorithms, procedures and synergistic effect of various mathematical methods that improve the interaction indicators of the functioning railway lines.
2 Materials and Methods Conceptual Diagram of the Interaction of Intense, Low-Density and Projected Lines and an Enlarged Cognitive Map There is a tendency to dividing lines according to the mass operation and priority use on intensive lines, which ensure the movement of large sizes of car flows and enter international transport corridors, adjoin ports and other large transmission transport lines in modern technical, technological and economic conditions on the railway transport. Currently, most of the topical scientific research is aimed at increasing the capacity of the railway transport infrastructure precisely on intensive lines, which in turn negatively affects the development of approaches to transport management on low-density lines [16–20]. For the efficient functioning of the transport system, an integrated synergeticindicator approach to management is proposed, aimed at eliminating uncertainties and changing the structure of traffic flows. The approach is based on the principles suggested by the authors: – Principle 1. Coordination of indicator management in the intensive and low-density lines’ interaction. – Principle 2. Monitoring the functioning and transition to another category of intensive and low-density areas. – Principle 3. Decomposition and integration of the management system elements and transport infrastructure to ensure a synergistic development effect. – Principle 4. The use of a dynamic sliding horizon when planning the interaction processes of intense and low-density lines. – Principle 5. Ensuring the normative balance of the carrying and crossing capacity of the transport network without significantly increasing its length. – Principle 6. Stability of the low-traffic railway lines’ functioning to external negative influences. – Principle 7. Attracting government subsidies and investment for infrastructure development and incentivizing customers to travel on low-density lines. Intensive directions often experience difficulties in the movement of traffic flows associated with uneven traffic and technical malfunctions. It is possible to partially reduce the unevenness of traffic due to the crossing capacity reserves of low-density
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lines. For the effective use of low-density lines, their classification is distinguished into transit, dead-end and the areas adjacent to the border. On the basis of the principles, a generalized conceptual interaction diagram of intensive, low-active and projected lines has been developed, presented in Fig. 1. Including three categories of railway lines (A, B, C), system input elements xn(t), system state equation Z(t) and output factors yn(t).
Fig. 1. Generalized conceptual interaction diagram of intense, inactive and projected lines, where A – intense lines; B – low-density lines; C – projected (modernized lines). Input factors: x 1 (t) – uneven traffic flows; x 2 (t) – population demand for transportation; x 3 (t) – the need of enterprises, customers and cargo owners for transportation. Outgoing factors: y1 (t) – efficient functioning of the transport system; y2 (t) – satisfaction of the population in transportation; y3 (t) – realized transportation. Qij – interaction between lines. Z(t) – the system state.
The conceptual scheme gives an opportunity to create a system for the distribution of traffic flows between intensive and low-density lines. The toolkit for determining the indicators of the transport system and management mechanisms allow the development of effective solutions and operating scenarios to improve the transport system efficiency. On the basis of the developed principles and a generalized conceptual scheme of the interaction of intense, inactive and projected lines, the interaction process was detailed using a mathematical model. Model 1. Quantitative and qualitative indicators of the transport system operation are determined as the interaction characteristics of the of intensive, projected and lowdensity lines. For a comprehensive assessment of quantitative indicators, the following parameters are highlighted: 1. Freight density on the site, million tkm gross/km per year: Q = 365(Q1 · n1 + Q2 · n2 ) · a, where, Q1 , Q2 is the mass of freight and passenger trains, respectively, t; n1 , n2 define the number of freight and passenger trains, pcs.; α is a motion unevenness coefficient; 2. The number of wagons with local operations at the considered polygon of intensive and low-density lines’ interaction: nm = nh1 + nv1 + nh2 + nv2 ,
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where, nh1 , nh2 are the number of loaded and unloaded wagons on the attached to the low-density intensive line; nv2 , nv2 are the number of loaded and unloaded wagons on a low-density line. Fulfillment of the plan for working with local wagons is the main source of income for small lines. Due to the supply and cleaning of cars, maintenance of non-public tracks, income from the operation of low-powered lines is added. 3. Reserve throughput of low-density lines Npt , in pairs of trains per day: Npt =
N (1400 − t)α T
,
where, N is a realized bandwidth; t is a technological window duration; α is a reliability factor of technical devices; T is a block off railway haul schedule period. 4. Resource intensity of low-density lines Pm : Pm =
Z m
here, Z shows the operating costs of low-density lines;m is the mass of transported goods on low-density lines. Sustainability of the transport system MF(x) is proposed to establish the changes in traffic flows using fuzzy sets and writing a triangular form of assigning a membership function. Considering the control model, the transport system is static, and the input and output flows are dynamic. Thus, the membership function M is determined by the numerical values of the previously calculated indicators according to the formula: ⎧ Pm − x ⎪ ⎪ ⎪ 1 − P − Q , Q ≤ x ≤ Pm ⎪ ⎪ m ⎨ x MF(x) = 1 − − Pm , P ≤ x ≤ N t m ⎪ p ⎪ Npt − Pm ⎪ ⎪ ⎪ ⎩ 0, in other cases x wherein, Q is the traffic density on the site; Pm defines the resource intensity of lowdensity lines; Npt is the reserve capacity of low-density lines; x is the function value MF(x) at the point. The system state Z(t) is a function Fc the set of properties of its elements, which can be represented by the expression: Z(t) = Fc(Q, nm , Npt , Pm , MF(x)). It should be noted that the reduced traffic density and technical speed are taken on intensive lines as significant parameters, in low-density lines - the size of traffic and ton-kilometers of work, on new lines - the reduced traffic density, net discounted income and operating costs.
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Model 2. On the basis of the quantitative parameters’ systematic analysis of the process of interaction between intense and low-density lines, a cognitive model for assessing difficult-to-calculate qualitative parameters has been developed. The map uses conditionally independent factors, which are not influenced by other factors of the system and can only change under external influence, as well as the factors, the change in values of which is caused by internal factors and external influences. The map Ki-m is set by many factors V = {V 1,…,Vn} and many X I direct causal influences of factors. Direct causal influence can be associated with different parameters of variables, which can have different interpretations. In the considered map model, the influence is assessed in accordance with the influence weight (positive or negative), in particular, the weight of the influence of the factor i on factor j, aij ∈[−1;1]. Cognitive map model Ki-m is determined by the function f Ki-m , which specifies the change in the mixed factor x i cards at the moment (t + 1) taking into account the value of the factor at the previous time, the change in the values of the factors-causes and external influence in the form of an impulse at t = 0, as: xt (t + 1) = xi (t) + aij xj t − xj (t − 1) + gi (t) j∈Ii
where, xi (t) is the initial state of the cognitive system at a point in time t; aij xj t − xj (t − 1) is the weight of mutual influence between factors aij , increment j∈Ii
of momentum to factor xj during t; gi (t) indicates external control action. Enlarged cognitive map of the low-density and intensive railway lines’ interaction, Ki-m is shown in Fig. 1. Map elements have the following designations V1 – interaction of intense and lowdensity lines; V2 – tariff distance of transportation; V3 – freight turnover; V4 – loading/unloading; V5 – line class; V6 – transportation management; V7 – throughput; V8 – freight intensity; V9 – fluctuations in traffic; V10 – density of the transport network. The cognitive map model can be exposed to an external impulse influence at any moment of time, a function of the factors’ values at the moment of time (t + 1) will look like: vi (t + 1) = vi (t) + pi0 (t + 1) +
n
sig(uj , ui )pj (t)
j=1
where, vi (t) is the initial state of the cognitive system; pi0 (t + 1) is the moment of an external impulse action introduction; n sig(uj , ui )pj (t) –is an impulse action on tops uj corresponding to the reciprocal j=1
of the station class and ui the line class inverse (Fig. 2). On the basis of expert assessments, the interrelationships of the influences of factors have been developed, and on the basis of expert assessments, vesta of connections in the range [−1; 1] are given. The result of solving this complex problem is a reasonable redistribution and attraction of new traffic flows between intensive and low-density lines. The largest traffic sizes can be realized with the cyclical operation of the transport process
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Fig. 2. Enlarged cognitive map (Ki-m) effective interaction of low-traffic and intensive railway lines.
with the same traffic sizes and the absence of non-standard situations. Unevenness leads to the division of railway lines into classes and categories, depending on transportation nature.
3 Results A model of a generalized conceptual scheme for the interaction of intensive, low-density and projected lines has been developed, as well as an enlarged cognitive map of the effective interaction of low-active and intensive railway lines, Ki-m . The models give an idea of the structure and constituent elements of an interaction process between intense and low-density lines, which have a complex relationship of quantitative and qualitative indicators that mutually influence each other.
4 Results Analysis The direction of further research is the development on the basis of an enlarged cognitive map of the interaction of inactive and intensive railway lines, and its detailing for each constituent element, taking into account their characteristics and weights of the links of indicators. There are several well-established scenarios for the lines’ operation, among them: 1. 2. 3. 4.
Increased traffic intensity on low-density lines (C1 ); Line preservation (C2 ); Transfer of the line to third-party organizations for use (C3 ); Complete line dismantling (C4 );
It is necessary to develop alternative scenarios for the functioning of low-density lines, these include:
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1. Tourist route of the line. Organization of year-round tourist trips to the sights located next to a low-density railway line (C5 ); 2. Transition from a railway line to an automobile line. Technologically, it does not require large expenditures for earthworks, since there is already a line with suitable slopes. In road transport, higher values of the vertical and horizontal angles of the route turn are allowed. To do this, it is necessary to remove a part of the track superstructure, fill up the ballast prism to the required number of traffic lanes, roadsides and asphalt-laying work (C6 ); 3. Extension of a dead-end railway line to the nearest junction and transition from a dead-end track to a transit one, which will redistribute excess car traffic on intensive routes (C7 ); 4. Using the infrastructure of low-performing lines for the excess carriage park layover (C8 ). Three vertices of the cognitive map are selected as parameters V3, V4, V9, which have a significant effect on the interaction of intense and low-density lines (Fig. 1) (Table 1). Table 1. Map of complex development area.
Tops V3
V4
V9
Scripts С1 С2 С3 С4 С5 С6 С7 С8
4
1 2 3
Four complex development directions are considered when solving difficulties associated with low traffic sizes on a low-density line (curve 1), low passenger traffic (curve 2), low profitability of a low-density line (curve 3) and low interconnection with intensive lines (curve 4). Complex directions of development are aimed at establishing a trajectory for increasing the operation efficiency of low-density lines and their profitability. It should be noted that the top V3 have the same development scenarios for curve 2 and 3, and the top V4 for curves 1 and 4, which requires additional research depending on the specific operating conditions.
5 Conclusions On the basis of the developed principles, the elements of interaction of intensive, lowdensity and projected lines were established, which served as the basis for a generalized
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conceptual scheme, which made it possible to create a control system for traffic flows between intense and low-density lines. The processes of lines’ interaction are detailed using a mathematical model based on a set of indicators and a generalized expression of the system state is presented. The infrastructure of railway transport is low-dynamic and does not keep pace with changes in freight flows, which leads to the low-active lines’ occurrence. Modern technical and economic aspects of the low-density railway lines’ operation are aimed at reducing the cost of organizing the transportation process. This allows the use of lowdensity lines as a testing ground for testing modern technical solutions with the further possibility of their application on intensive railway lines.
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Analysis of Traffic Accidents and Development of Means to Improve Railway Transport Safety Rasul Akhtyamov(B)
and Tamila Titova
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia
Abstract. The article provides an analysis of violations in train and shunting operations, which can lead to emergency situations with transported hazardous materials. Analysis of statistical data on accidents in railway transport showed that when transporting hazardous materials of various classes, the main reason for the release of a hazardous substance into the environment is mechanical damage to the integrity of a railway tank as a result of a train derailment. To improve railway transport safety, a system to improve the reliability of monitoring the derailing of a rolling stock car has been developed. At the same time, continuous monitoring of the position and timely detection of the rolling stock cars’ derailment from the track during movement is carried out. On the basis of the calculations, it was found that when creating an additional load on the axle of the car wheelset in the form of a device for monitoring the rolling stock car derailing from the rail fixed on the side frame of the bogie, the stresses in the sections under consideration do not exceed the normative permissible values. The use of the proposed device makes it possible to fully automate the process of monitoring the rolling stock car derailing and provides the possibility of continuous monitoring of the car wheel pair state on the track. Keywords: Railways · Safety · Security · Derailment control · Hazard analysis · Device · Stability · Loads · Safety justification · Hazardous substances
1 Introduction Railway transport in the Russian Federation is an integral part of a unified transport system, designed, in cooperation with the organizations of other types of transport, to timely and efficiently meet the needs of the state in transportation, to assist in creating conditions for the economy development and ensure the economic space unity on the territory of the Russian Federation [1–6]. The purpose of this work is to consider the main types of emergency situations associated with accidents in railway transport and to develop means to improve railway transport safety.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 710–718, 2022. https://doi.org/10.1007/978-3-030-96380-4_77
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2 Materials and Methods Problems in train and shunting operations can lead to emergency situations with transported hazardous materials. Out of the number of emergencies, almost half (49%) were admitted by the track management workers, a third (31%) - by the carriage economy employees, 7% - by the locomotive economy, 2% - by the transportation facilities, 11% - by all other railway facilities [7–9]. The main causes of accidents in railway transport are: 1. Aging, wear and tear, deviations from the standards of maintenance and admissible faults. 2. Violations in commercial and cargo work: lack of proper control over the correct preparation, marking and acceptance of goods for transportation, their loading and fastening, registration of shipping documents. 3. Violations in train and shunting operations. 4. Crushes of trains with vehicles at level crossings: vehicle drivers’ discipline lacks (up to 99%); cases of rejects in the work of moving attendants. 5. Other permissible defects in work, accidents and crashes that can lead or lead to coming-offs and crushes, derailments and overturning of rolling stock or containers with their damage, depressurization, the formation of cracks in welded seams and ruptures of the reservoir tank’ clothing, etc. The rolling stock derailing leads to mechanical damage to the car, and, consequently, injuries the people in it or is the cause of HM venting, which increases the negative consequences of such incidents. Depending on the HM class the consequences of a railway carriage derailment can be of different nature [10]. Analysis of statistical data on accidents in railway transport showed that during the transportation of HM of different classes the main reason for HM discharge into the environment is mechanical damage to the integrity of the railway tank as a result of the train derailment [11–15]. In this regard, it is advisable to develop means of railway signaling and blocking designed to control the rolling stock cars derailing from the track.
3 Results A device for controlling the descent and drawing of rolling stock parts is known from the literature. The device is installed on a sleeper in front of a station or an artificial structure and consists of sensors, conductive and jumper strips, control devices and cables of central locking means. If the size is violated or the wheelset of the rolling stock is derailed, the metal frame is destroyed and the sensors are triggered. The device is designed for automatic detection and stop of a train in the presence of descended wheelsets or hanging parts that go beyond the gauge bottom. A significant drawback of this device is its impossibility of the rolling stock cars’ constant monitoring. The problem is solved by the fact that the mobile device for monitoring the derailment of the rolling stock car, consisting of a warning system and a contact-type derailment
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control sensor, contains a frame with a complete wheelset and a box unit, is fixed to the side frame of the rolling stock car bogie and has an autonomous power source. The device for monitoring the rolling stock car derailment consists of a frame fixed on a wheelset using box units, a descent control sensor and a power supply unit installed on a frame. The proposed device is fixed to the side frame of a bogie car when using the screw device, made in such a way that no contacts are formed with the wheelset of the car. The descent control sensor is placed in a trunk, attached to the frame. The wheelsets of the device and the car are connected with a rail track, which creates an electric closed loop, or circuit (utility model patent No. 122953 2012 “Mobile device for monitoring the derailment of a rolling stock car”). The wheelset is the most loaded structural element that cannot be made with an excessive safety margin; therefore, high requirements are imposed on its reliability. The use of the proposed device undoubtedly creates additional loads primarily on the wheelset axle of the car. In this regard, to assess the safety of using the proposed device, it is necessary to calculate the wheelsets’ axle strength. The wheelset axle operates in the mode of alternating deformations, the number of cycles during the service life is large, and the loading is of a probabilistic nature. It was found that the mechanical properties of the material change over time. The scheme for calculating the wheelset axle is shown in Fig. 1.
Fig. 1. Design diagram of the wheelset axle for strength. P – vertical force; H - horizontal force; Pl – left vertical force; Pr – right vertical force; N1 – vertical reaction of the rails for the left wheel; N2 – vertical reaction of the rails for the right wheel; l1 – shoulder to the Sect. 1–1; S – center to wheel distance; b2 – distance from center to body support
As the main criterion for assessing the strength according to this calculation method, the value of the permissible safety factor for the axle fatigue strength is taken as an additional assessment criterion, the permissible stress values in three design sections. The weight of the device itself is taken as the maximum possible load on the wheelset axle of the car from the device for controlling the rolling stock derailing. In this regard, the static axle load from the weight of the car model 15–149 and the weight of the proposed device (P0 ) is equal to 19.95 tons. Accordingly, the vertical and horizontal
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forces are determined by the formulas: P = 1.25 × P0
(1)
H = 0.5 × P0
(2)
Diameters of the axis of the brand RU1 and RU1SH, used in calculations, permissible stresses, as well as the name of the material are given in Table 1. Table 1. Characteristics of the wheelset axle. Name
Section 1–1 (neck of axle)
Section 2–2 (wheel seat)
Section 3–3 (middle part)
Axle diameter, mm
130
194
172
Permissible stress, MPa
120
165
155
Material
Steel (structural, carbon, high-quality)
The stress determination in the section is based on the use of the formula: σi =
Mi , t · s/m2 Wi
(3)
where Mi is a moment in the i-th section, t · m; Wi is an axial moment of resistance, m3 . The moment in the Sect. 1–1 is determined by the formula: Mi = P1 ·
l1 ,t·m 2
(4)
where Pl is left vertical force, H li is an arm up to Sect. 1–1, m, equals to 0.176 m. The left vertical force is: P1 =
H·h 1.25 · P0 + ,t 2 2 · b2
where h is the distance from the middle to the Sect. 1–1 is equal to 1.45 m; b2 is the distance from the middle to the body support is 1.018 m. Thus, the left vertical force and moment in the Sect. 1–1 are equal: P1 =
1.25 · 19.95 0.5 · 19.95 · 1.45 + = 19.57 t 2 2 · 1.018 Mi = 19.57 ·
0.176 = 1.72 t · m 2
(5)
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The axial moment of resistance of the Sect. 1–1 is determined by the formula: W1 = 0.1 · d31 , m3
(6)
where d1 is the section diameter 1–1 equal to 0.13 m. W1 = 0.1 · 0.133 = 2.197 · 10−4 m3 Thus, the stress in the Sect. 1–1 is: σi =
1.72 = 0.783.104 t · s/m2 = 78.3 MPa 2.197 · 10−4
According to Table 1, the permissible stress in the axle neck is 120 MPa, therefore, the strength properties in the Sect. 1–1 are observed. The calculation of the stress in the Sect. 2–2 is carried out according to formula 3, however, the moment in the Sect. 2–2 is determined by the formula: M2 = P1 · l2 + H · r, ts
(7)
where l2 is an arm to the Sect. 2–2, m; r is the radius of the wheel 0.475 m. Accordingly, the moment in the Sect. 2–2 is: M2 = 19.57 · 0.456 + 9.75 · 0.475 = 0.09 ts Thus, with the axial moment of resistance of the Sect. 2–2 equal to 7.3 · 10−4 m3 the stress in the Sect. 2–2 is: σi =
9.09 = 1.25 · 104 t · s/m2 = 125 MPa 7.3 · 10−4
According to Table 1, the permissible stress in the axle seat is 160 MPa; therefore, the strength properties in the Sect. 2–2 are observed. The calculation of the stress in the Sect. 3–3 is carried out according to Formula 3, however, the moment in the Sect. 3–3 is determined by the formula: M3 = P1 · b2 + H · r − N1 · S, t · s
(8)
where S is the distance from the middle to the wheel 0.79 m; N1 defines vertical reaction of the rails for the left wheel, t · cm, determined by the formula: N1 =
H · (h + r) 1.25 · P0 + ,t 2 2·S
(9)
The safety factor is calculated by the formula: Ky = ε ·
Pv ≥ 1.15 Pb
(10)
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where ε is a coefficient determined by the formula: ε = (tgβ − μ)/(1 + μ · tgβ)
(11)
where μ is a coefficient of friction (equal to 0.4); β is an inclination angle of the wheel flange generatrix to the horizontal axis (equal to 60°); Pb is horizontal force of dynamic pressure of the wheel on the rail top, H; Pv is a vertical component of the force arising when the wheel runs on the rail top, H (Fig. 2).
Fig. 2. Design scheme of wheel stability against derailment. Pv = P1 = P2 – vertical component of the force arising when the wheel runs on the rail top; Pb – horizontal force of the wheel dynamic pressure on the rail top; Q1 , Q2 – wheelset loads; Fp , F2 – components of effort; μ – coefficient of friction; β – inclination angle of the wheel flange generatrix to the horizontal axis
The loads acting on the wheelset are determined by the formulas: Q1 = Q1st −Q1vd −Q1bd , kN
(12)
Q2 = Q2st −Q2vd + Q2bd , kN
(13)
where Q1st and Q2st define the static load caused by the weight of the device - 9.08 kN; Q1vd and Q2vd define the vertical dynamics load, kN; Q1bd and Q2bd define the lateral load, kN. The static load acting on the wheelset is determined by the formula: Q1vd = Q2vd = Qst · Kvd , kN
(14)
Q1bd = Q2bd = Qst · Kbd , kN
(15)
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where kvd , kbd - the static load acting on the wheelset is determined by the formula Q1vd = Q2vd = 9.08 · 0.4 = 3.63 kN Q1bd = Q2bd = 9.08 · 0.2 = 1.82 kN Accordingly, the loads acting on the wheelset are equal: Q1 = 9.08 −3.63−1.82 = 3.63 kN Q2 = 9.08−3.63 + 1.82 = 7.27 kN Let us compose the sum of the moments relative to the point 1: M1 = 0 : Q2 · (2 · S + a2 )−P2 · 2 · S + Gkp · S − Q1 · a1 − Fram · r = 0 Accordingly, strength P2 is equal to: P2 =
Q2 · (2 · S + a2 ) + Gkp · S − Q1 · a1 − Fram · r ,H 2·S
(16)
where a1 , a2 are equal respectively to 0.243 and 0.775 m; Fram – frame force, taken equal to 6 kN; 2S is the distance between the device wheelsets equal to 1.555 m; r is the radius of the wheel in the rolling circle equal to 0.3 m. P2 =
7.27 · (1.555 + 0.775) + 1.5 · 0.777 − 3.63 · 0.243 − 6 · 0.3 = 9.24 kN 1.555
Let us compose the sum of the moments relative to the point 2: M2 = 0 : Q2 · a2 −Gkp · S−Q1 · (2 · S + a1 )− Fram · r + P1 · 2 · S + = 0 Accordingly, strength P2 is equal to: P1 = P1 =
Q1 · (2 · S + a2 ) + Gkp · S − Q2 · a2 + Fram · r ,H 2·S
(17)
3.63 · (1.555 + 0.243) + 1.6 · 0.777 − 7.27 · 0.775 + 6 · 0.3 = 3.16 kN 1.555
Let us compose the sum of the forces’ projections on the vertical axis Y: FY = 0 :
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Pb = Fram − F2 = Fram − P2 · μ
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(18)
Pb = 6 − 9.24 · 0.4 = 2.3 kN Thus, the safety factor is: Ky
3.16 tg60−0.4 · = 1.56 ≥ 1.15 1 + 0.4 · tg60 2.3
(19)
The calculated safety factor is greater than the normative one, on the basis of which it can be concluded that the wheel stability of the device for controlling the derailing of the rolling stock car when moving on rails is ensured.
4 Results Analysis The proposed device works as follows. Monitoring the condition and detecting the derailment of the rolling stock car is carried out by creating a closed electrical circuit. When the car moves along a rail track, an alternating current is generated in the power unit, which is converted into direct current. When the car derails, the circuit A breaks and the electric current flows through the unit and circuit B, where the descent control sensor is installed. The radio signaling device is triggered and the signal is transmitted to the rolling stock driver, and/or to the station attendant, and/or to the floor stationary station for receiving and transmitting the signal.
5 Conclusions As a result of the analysis of the causes of accidents in railway transport, the need to develop the means to improve railway transport safety was identified. A device for monitoring the derailing of a rolling stock car has been developed and patented, as well as the calculations of the load on a wheelset of a car created by a device for monitoring the position and identification of a car derailing as well as the calculation of the wheelset stability of a device for monitoring derailing of a rolling stock. The use of the proposed device makes it possible to fully automate the process of monitoring the rolling stock car derailment and provides the possibility of continuous monitoring of the car wheel pair state on the track, which prevents the rolling stock derailment and the transport emergency occurrence.
References 1. Petrova, T., Chistyakov, E., Sorvacheva, Y.: Assessment of the operational safety of roads and transport structures with use of the fracture. Mechan Meth. Transp. Res. Proc. 20, 505–510 (2017)
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2. Gerasimenko, P.V., Khodakovskiy, V.A.: Numerical algorithm for investigating the stressstrain state of cylindrical shells of railway tanks. Vestnik St. Petersburg Univ. Math. 52, 207–213 (2019). https://doi.org/10.1134/S1063454119020067 3. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49 4. Nasyrova, E., Elizaryev, A., Aksenov, S., Baiduk, Y., Kamaeva, E., Akhtyamov, R.: Geoenvironmental assessment of urban water bodies. E3S Web Conf. 110, 02045 (2019). https:// doi.org/10.1051/e3sconf/201911002045 5. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Accident at river-crossing underwater oil pipeline. MATEC Web Conf. 239, 7 (2018). https://doi.org/10.1051/matecconf/201823 906003 6. Markov, D.S., Nasedkin, O.A., Manakov, A.D., et al.: Method for assessing probabilistic reliability estimation and safety of railway automation systems redundant structures. In: IEEE East-West Design and Test Symposium, EWDTS 2020 - Proceedings, p. 9224925 (2020) 7. Klekovkina, M., Gorshkov, V., Lialinov, A.: Development of methods for evaluating the impact of stress-strain state uniformity of composite pavements on road safety. Transp. Res. Proc. 20, 301–304 (2017) 8. Sakharova, A., Baidarashvili, M., Petriaev, A.: Transportation structures and constructions with geoecoprotective properties. Proc. Eng. 189, 569–575 (2017) 9. Serebryakov, D.V., Lebedeva, V.G., Govorov, V.V.: Transport interchanges design features in seismically dangerous and densely built-up areas. Proc. Eng. 189, 716–720 (2017) 10. Pokrovskaya, O., Kurenkov, P., Khmelev, I., Goncharenko, S.: Evolutionary and functional development of transport nodes. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012033 (2020) 11. Dymkin, G.Y., Kurkov, A.V., Smorodinskii, Y.G., Shevelev, A.V.: On the sensitivity of eddy current testing of parts of railway rolling stock. Rus. J. Nondestr. Test 55(8), 610–616 (2019). https://doi.org/10.1134/S1061830919080059 12. Grachev, V.V., Grishchenko, A.V., Kruchek, V.A., et al.: An intelligent wheelset spinning detection system in a direct current traction drive. Russ. Elect. Eng. 90, 675–681 (2019). https://doi.org/10.3103/S1068371219100043 13. Kim, K.K., Ivanov, S.N., Gorbunov, A.V., et al.: An automatic electromechanical drive for carriage doors. Rus. Elec. Eng. 90, 669–674 (2019). https://doi.org/10.3103/S10683712191 00067 14. Burkov, A.T., Blazhko, L.S., Ivanov, I.A.: Industrial technologies, mobility, and energy efficiency of electric traction of rail transport. Rus. Elect. Eng. 87, 244–250 (2016). https://doi. org/10.3103/S1068371216050059 15. Kovkin, A.N., Kostrominov, A.M., Efimenko, Y.I.: Electronic control of electric motors in railway automation systems. Rus. Elec. Eng. 87, 289–291 (2016). https://doi.org/10.3103/ S1068371216050096
Chinese Experience in the Formation of Transport-Information Clusters on a Digital Basis Tatiana Kosheleva1(B)
, Tatiana Ksenofontova2
, and Wang Yue3
1 St. Petersburg University of Civil Aviation, Pilotov Street, 38, 196210 St. Petersburg, Russia 2 Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9,
190031 St. Petersburg, Russia 3 Lanzhou University, South Tianshui Road, 222, 730000 Lanzhou, People’s Republic of China
Abstract. The article analyzes problems arising in the development of enterprises in the economy of China, the experience of its pre-COVID development, and examples of usage of the «Smart town» system in the formation of logistics oping several variants of the transport-information cluster, namely, regional, resource, crowdsourcing, crowdlending and crowdfunding business models involving small and medium enterprises, a possibility of presenting the considered business models of transport-information cluster modifications as a system of multi-level and variously filled transport matrices justified. In addition, the authors consider quality characteristics of rail services with the example of state standards for quality in the rail service industry of the People’s Republic of China. An attempt is made to develop and propose for practical implementation a system of qualitative and quantitative criteria as the first stage in creating the service model based on consumer satisfaction and transport service quality assessment models aimed at increasing in the total volume of rail freight in China and the quality level of transport services provided for cargo owners. In order to improve the methodological approach to the process of improving the effectiveness of innovation forms in the transport industry, the article briefly reviewed the risks characteristic of the specified process, namely: the regulatory risk that regional authorities formally fit the process of creating innovation in clusters in the transport sector; Institutional risk of instability of the regulatory framework or inaccessibility of public services; The market risk of the fact that due to the low level of competition, the low marketing activity of counterparties, an innovative cluster development strategy in the transport industry will not be implemented. Keywords: Transport infrastructure · «Smart town» System · Transport information cluster · Quality of services · Rating system
1 Introduction The necessity of formation in Russia of a national innovational business-to-science interaction system was mentioned in the speech of the President of the Russian Academy © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 719–725, 2022. https://doi.org/10.1007/978-3-030-96380-4_78
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of Science A. Sergeev during the General meeting of the members of RAS in April 2021. The system is to stimulate active participation of businesses in the scientific and technology development of the country, which first of all implies balance, interaction and inclusion in the national digital innovation system, in addition to science and business, of the processes of formation of new directions for optimizing information flows with developing diversified modifications of logistics iterations of the transport-information cluster [1]. The information subsystem of the transport-information cluster is to be based on the technologies improving productivity, speed, precision and breadth of information collected, stored, distributed and analyzed within the framework of formation of the transport-information cluster on a fundamentally different digital basis. This involves 5G, IoT, industrial internet, artificial intelligence, cloud calculations, blockchaining, data processing centers and network infrastructure of internet communication systems including arrangement of the network form of the transport-information cluster on the digital basis.
2 Materials and Methods The research method is determined based on various existing transport service quality assessment procedures and expert theories within the country and abroad against a background of impetuous development of the market economy in China [2]. The research validity and reliability is due to the involved general scientific methods of analysis including: studying the assessment procedure methodology, analysis and generalization of the domestic and foreign experience and materials, usage of particular definitions and abstraction concerning transport services, especially in the field of economics and population, comparative data analysis, reports and legal acts issued by the Ministry of the Railroads of China and the National Bureau for Statistics, as well as reference materials and research according to various quality assessment procedure models for transport services. The problem of formation of a unified information system implying control over interaction of all participants of a multi-modal cargo transportation is solved by creating information centers (IC) at various hierarchy levels. The merger infrastructure is to apply the Internet, big data technologies, artificial intelligence and other technologies intended for supporting transformation and modernization of the traditional transport infrastructure in the framework of development of diversified modifications of logistics iterations and formation of the transport information cluster on a fundamentally new digital basis [3]. This can include building of intercity high speed railroads and intra-city railway systems, charge stations for electric cars (EVs) and ultrahigh voltage (UHV) electric power lines connected with formation of not only suburban but also intra-city air transport routes.
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A possibility of door-to-door delivery is also provided to the customers of transportlogistics services in the case of multi-modal transportation implemented by several transport means. Interaction of the subjects - participants of multi-modal transportation within the transport-logistics system is formed within the framework of the concept of transport development in the economic cooperation zones and the concept of international transport corridor development t, which imply complex development of all the transport means, including the development of transport -logistics and information transportation infrastructure: creation of regional transport logistics interaction centers for the subjects of the transport service market [4]. Within the framework of approaches to formation of a new platform for building logistics multimodal transport chains, it is necessary to consider the Chinese experience in formation of the «Smart town» strategy development.
3 Results In 2020, the volume of container traffic in the China - Europe - China communication increased sharply by 57.6% compared to the first half-year of 2019. The average number of trains per day also continued to increase, albeit more slowly: in the first half-year of 2020, this index increased by 37.66% compared to the similar period of 2019 up to 10.6. It should benotedthatinMay2020,arecordnumberoftrainsfromChinawaslaunched—500trains. The system for assessing the quality of railway transport services should proceed from the real needs of the cargo owners and attract cargo owners through such elements of services such as cargo premises, personnel, transportation conditions and operational processes, and encourage them to choose rail transportation [5]. Internal management of freight traffic can evaluate the quality of freight traffic and propose corrective measures to increase the level of freight traffic and attract more demand for rail transportation. The key role in such an impressive increment was played by the restrictive measures due to which railroads “pulled over” some traffic flows, with the account of such inherent advantages of this means of transportation as speed (compared to maritime transport) and lower delivery cost (compared to the air one). The last but not the least is strategic commitment to the development of Eurasian traffic corridors by the governments of the Eurasian countries and companies already involved in the activities in this direction. [6, 7]. Service quality for rail freight traffic can be assessed from certain points of view [8] (see Fig. 1), namely: service provider’s assessment, service client’s assessment (consumer-oriented service quality assessment) and third party’s service quality assessment.
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Service quality assessment
Assessment of quality of transport services by client
Service quality management system
Action plan for service quality improvement events
System of indices (measurability of quality
Assessment of service quality by provider (internal assessment)
Service quality management system
Action plan for service quality improvement
Methodological support - customer service guide
Тhird party's service quality assessment (external assessment)
Monitoring of the index system (measurability)
Getting necessary information
Monitoring, improving quality of service
Fig. 1. Prospects for improvement of service quality for rail freight with the introduction of the three-tiered assessment system.
Therefore, we included the block for service quality assessment by client in the general monitoring of service quality assessment for rail freight. Assessment of service quality by a client, that is, from the point of view of the market and clients’ preferences, is a basic assessment for formation of the integral index of service quality. As we see in Fig. 1, the algorithm of client’s assessment consists of three parts, namely: client’s assessment of the service quality control system, client’s satisfaction with the action plan for service quality improvement and system of indices used in the survey [9].
4 Discussion Let us offer a number of principles for freight transport quality assessment in accordance with the process relevant just for the rail freight [10]: • Combination of general and partial requirements. Freight owners have requirements for all the aspects of service quality for freight, however, subject to the situation, some of them will be especially important for particular freight owners: for example, freight safety, if the freight might be damaged or complete safety will be ensured, if the freight arrives just in time (with the account of not too fast a speed of the rail
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traffic, there is a probability to go beyond the agreed delivery dates; in this case the freight owner will no choose rail transportation). • A combination of qualitative and quantitative quality indices for freight traffic services. The qualitative method contributes to freight owners’ general understanding and confidence in receiving high-quality freight services, while the quantitative index is an effective indicator for comparing quality of transport services at various freight stations and terminals, as well as for assessing and developing actions for freight service quality improvement. • A combination of subjective and objective factors. Assessment of freight service quality does not only imply subjective feelings of the freight owners, it also refers to various technical indices for freight. Combination of the subjecting and the objective contributes to scientific and extended assessment of freight services. Among the main variants of arranging ways of optimization of information flows and development of modifications of logistics structures of the repetitive process of input and output data processing, and arrangement of the elements of the infrastructure of the transport-information cluster, one should consider regional, resource, crowdsourcing, crowdlending, crowdfunding business models (we could consider other models too, but so far we will stick to the above models) [11, 12].
5 Conclusion According to the authors’ opinion, formation of the infrastructural regional model implies formation of the elements of resource provision for developing logistics structure modifications integrating all the elements of the infrastructural support in a single resource base and allocating a part of own free resources in a collective fund for entrepreneurial support for arranging the transport-information cluster on a contractual and mutually beneficial basis, this based on a single digital platform for managing the regional association of small and medium entrepreneurial structures for transport. The authors suppose, that formation of the resource information business model for arranging the transport-information cluster implies collective creation and usage of a single information and payment system within the framework of development of a diversified modification of the transport-information cluster logistics, which will allow small and medium entrepreneurial structures to obtain operational information about temporarily consolidated resources on the entire territory of the country or region, which could be used on a temporary basis for a particular payment [13]. In the authors’ opinion, formation of the logistics business model for structuring the transport-information cluster implies creation and application of a single technological approach using a single information platform for arranging already functioning transport corridors and route chains, providing full involvement of the available capacities in response to consumers’ demands. Formation of the crowdsourcing business model can be determined by delegating various tasks to small and medium enterpreneurial structures in arranging the transportinformation cluster, where the potential members are ready to solve financial problems of the entrepreneurial structures on a mutually beneficial basis remotely or by means
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of a single information platform, using the knowledge and skills of both the subjects of small and medium entrepreneurship and their employees, and obtaining as a result son called “synergy knowledge-based effect” due to combination of various forms of knowledge and information. The proposed business models of modifications of the transport-information cluster can be presented in the format of a system of multi-level and variously filled transport matrices associated by the single logistics platform at the level of a settlement district, several districts or a region, making up a spacial transport fragment of a country transport cluster. This is applicable for the forecast period of the scientific-technological development of a country towards digital transformation of main, secondary and supporting transport flows. One of the instruments of stimulating business to active participation in the scientifictechnological development of the country is already being used, namely in the first quarter of 2021, the volume of financial support for the Corporation of small and medium entrepreneurship within the national guarantee system has increased by 38% compared to the index of the previous year, and made 123.5 billion rubles, the volume of issued guarantees and securities increasing from 30.1 billion rubles to 44 billion rubles compared to 2020 [14, 15]. Besides, the Corporation’s subsidiary - the Bank of small and medium entrepreneurship - almost doubled the amount of direct loans issued for the subjects of small and medium entrepreneurship – 15.2 billion rubles, according to the results of the first quarter of 2021 against 8 billion rubles for the similar period in 2020. The volume of financial support rendered by the Bank of small and medium entrepreneurship increased from 35.8 billion rubles to 43.3 billion. Thus, the authors propose a direction for forming up one of the information flow optimization methods with development diversified modifications of logistics iterations of the transport-information cluster in the forecast period of scientific and technological development of the country in the digital transformation format of the main, secondary and supporting traffic flows, as well as basic variants for developing modifications of logistics structures of the repetitive input and output data processing, justifying their necessity, and arrangement of the elements of the transport-information cluster infrastructure including regional, resource, crowdsourcing, crowdlending and crowdfunding business models involving small and medium entrepreneurial structures. For the process of providing transport services, we use customer assessment to establish a functional system of quality ty indicators; For the results of the services, we establish a system of technical indicators of the quality of services and, finally, the level of transport services is estimated in two aspects in order to continuously improve the quality of railway freight and the efficiency of transport corridors.
References 1. Selyutina, L., Pesotskaya, E., Chernykh, A.: Principles and basic provisions for a system for assessing the ecological potential of the modern ecosystem. IOP Conf. Ser. Mater. Sci. Eng. 962, 042029 (2020). https://doi.org/10.1088/1757-899X/962/4/042029 2. Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser. Mater. Sci. Eng. 687, 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002
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3. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. MATEC Web Conf. 224, 02011 (2018). https://doi.org/10.1051/matecconf/201822402011 4. Selyutina, L., Maleeva, T., Frolova, N.: Acceleration of regional housing development in Russia on the basis of industrial housing construction modernization. E3S Web Conf. 97, 06003 (2019). https://doi.org/10.1051/e3sconf/20199706003 5. Maleeva, T.V., Selyutina, L.G.: Analysis and evaluation of financial resources of social housing construction in city. Mater. Sci. Forum 931, 1118–1121 (2018). https://doi.org/10.4028/ www.scientific.net/MSF.931.1118 6. Bezdudnaya, A.G., Ksenofontova, T.Y., Rastova, Y.I., et al.: On the issue of the perspective directions of the science-driven production development in Russia. J. Soc. Sci. Res. Sp. Is. 3, 76-80(2018). https://doi.org/10.32861/jssr.spi3.76.80 7. Bezdudnaya, A.G., Treyman, M.G., Ksenofontova, T.Y., et al.: Enhancing the environmental safety of the region by introducing innovative methods for recycling of production biowaste. Inter. J. Innov. Techn. Explor. Eng. 9(1), 3902–3908 (2019). https://doi.org/10.35940/ijitee. A4987.119119 8. Chepachenko, N.V., Leontiev, A.A., Uraev, G.A., Polovnikova, N.A.: Features of the factor models for the corporate cost management purposes in construction. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042075 (2020). https://doi.org/10.1088/1757-899X/913/4/042075 9. Yudenko, M.N., Chepachenko, N.V., Polovnikova, N.A., Nikolikhina, S.A.: Innovative materials in construction and their role in improving the organizations efficiency. IOP Conf. Ser. Mater. Sci. Eng. 698(7), 077024 (2019). https://doi.org/10.1088/1757-899X/698/7/077024 10. Ksenofontova, T.Y., Smirnov, R.V., Kadyrova, O.V., et al.: Practical application of methodologies and mechanisms of formation of regional innovation development strategies. Int. J. Recent Technol. Eng. 8(2), 4302–4305 (2019). https://doi.org/10.35940/ijrte.B2821.078219 11. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 12. Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 13. Pesotskaya, E., Selyutina, L., Egorova, L.: Actual aspects of modeling method application in organization of construction management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044005 (2019). https://doi.org/10.1088/1757-899X/687/4/044005 14. Bachurinskaya, I.A., Vasileva, N.V., Yudenko, M.N., Nikolikhina, S.A.: “Green” technologies in housing: the experience of Russia. IOP Conf. Ser. Mater. Sci. Eng. 913(4), 042071 (2020). https://doi.org/10.1088/1757-899X/913/4/042071 15. Titova, T., Akhtyamov, R., Nasyrova, E., Elizaryev, A.: Methodical approaches for durability assessment of engineering structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 473–478. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_49
Field of Excitation of the Linear Induction Motor with a Chain Stator Winding Konstantin I. Kim
and Konstantin K. Kim(B)
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia
Abstract. The chain circuit of connection of coils of the stator winding is considered. The phase shift of a current in the coils is created with the help of capacitors between the coils and common bus of a winding. By presenting a winding as a chain of T-figurative two-port networks, we found an equivalent impedance of winding coils and the parameters of these two-port networks in the ideal idling mode by the calculation of a field in an active zone of an air motor gap with account of the final length of the magnetic core. The pulse field effects on the redistribution of inductive resistances and attenuation of coils. After replacement of each two-port network by the equivalent piece of a line with the distributed parameters, for this non-uniform line of the transfer simulating ideally a distributed stator winding, we found the current distribution along the length without the account of attenuation under condition of a constancy of wave resistance and absence of reflections from the line ends. We defined the distribution of a magnetic induction in the motor gap. We showed that it is possible to improve structure of the gap field by the changing of the distribution of the line current load. To receive the stator characteristics close to ideal, we must completely to eliminate a pulsing flux of a gap. In this case, there is a complete compensation of the consumption of magnetizing power. Keywords: Magnetic levitation transport · Chain scheme · Stator winding · Excitation field · Two-port network
1 Introduction We consider the method of creation of a running magnetic excitation field in the linear induction motor when the coil currents determined by a real part of the equation in = I˙m eiωt ,
(1)
where I˙m = Im e−iαxn , Im is the amplitude of a current through the active conductor of the coil; xn = n − 1 2 tz is the coordinate of a slot in which there is a conductor (Fig. 1); α = π/τ, n = 1, 2, 3 . . . ; τ is the stator pole division; n is the number of a slot; tz is thestator tooth division. It is achieved by the connection of the winding coils of an each inductor under the chain scheme (Fig. 2). The winding having m coils on double pole division, is equivalent m-phase winding. The coils are carried out with a diametrical step [1–14]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 726–734, 2022. https://doi.org/10.1007/978-3-030-96380-4_79
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Fig. 1. The calculation model of magnetic system of the linear induction motor.
Fig. 2. The scheme of the connection and stacking of the winding coils.
2 Methods To define the distribution of a current through the winding we present it as the chain of two-port networks and to put to each of them an equivalent piece of a long line. Let’s find out previously the question about the parameters of such a two-port network in an ideal idling mode of the induction motor. Let the current distribution in the winding active conductors corresponds to the Eq. (1). Let the inductors have not wound sides at edges of an active zone in the limits Y < x < 0, 2pτ < x < 2pτ + Y . These sides represent a settlement equivalent of magnetic conductivity of all not wound surfaces of the real inductors (end faces and backs of the stators). Through these surfaces the part of a magnetic flux of the motor is closed passing the working area of an air gap 0 ≤ x ≤ 2pτ. We shall define the distribution of a magnetic field in the motor gap using the Ampere’s law, rot B = μ0 j; B = rot A; div A = 0 at the following assumptions:
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1. The inductor winding currents are placed for limits of a calculation air gap of magnetic system δ and these currents are concentrated in a thin layer on the boundary surfaces of the gap with linear density. Its basic wave with considering (1) is defined in a zone 0 ≤ x ≤ 2pτ as follows: j(x, t) = jm ei(ωt−αx) , where jm = mIm Wkp /τ; sin 1 αbn m = τ/tz ; kp = 1 /2 ; bn is the width of a slot; W is the number of active /2αbn conductors in a slot; 2. The size of system along an axis y is not limited; 3. The magnetic permeability of cores of the inductors μ is indefinitely great. ∂Bz ∂A x At these assumptions we have By = 0; jy = ∂B ∂z − ∂x ; Ax = Az = 0; Bx = − ∂z ; ∂A Bz = ∂x ; A = Ay the equation for vector potential of a field in an active zone (0 ≤ x ≤ 2pτ, −δ/2 < z < δ/2) is reduced to the following:
∂ 2A ∂ 2A + 2 = 0, ∂x2 ∂z under boundary conditions Then we will get Bz =
∂A ∂z
(2)
δ = μ0 j at z = 2δ ; − ∂A ∂z = μ0 j at z = − 2 .
2μ0 mIm Wkp ∂A 2μ0 jm = −iBm ei(ωt−αx) + C1 , where Bm = = . ∂x αδ πδ
(3)
The hole magnetic flux of the motor should be closed within the limits of the zone −Y ≤ x ≤ 2pτ + Y . At rather small size of endsides this condition we can write as 2pτ+Y follows Bz dx = 0. −Y
Let’s substitute Eq. (5) here and execute integration. We find C1 =
iBm sin αY iωt e . α pτ + Y
(4)
Thus, the magnetic induction within an active zone at the absence of compensating devices will be defined by the equation Bz = −iBm ei(ωt−αx) +
iBm sin αY iωt e . α pτ + Y
(5)
λb sin αY b For Y τ we have α(pτ+Y ) → 1+λb = kc , where λb = Y /pτ. Let’s consider that the coils are winded-up clockwise. We shall define the flux leakage of the any coil having coordinates of the sides xn the left side) and xn + τ (the right side) per unit of width of the inductor as integral
ψn1 =
bn /2
xn −ε W d ε ∫ B(x)dx. xn +τ+ε −bn /2 bn
∫
The index “1” designates magnitudes calculated per unit of the inductor width.
(6)
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From (5) and (6) we receive ψn1 = (2/π)Bm Wkp τei(ωt−αxn ) − ikc Bm W τeiωt , where sin αY kc = α(pτ+Y ). The electromotive force in the coil appropriate to thisflux leakage is equal en1 = 1 ∂ψ − n = E˙ m eiωt , where E˙ m = −ωBm W τkp kc + i 2 e−iαxn . ∂t
kp
π
The coil impedance caused by the magnetic flux of an air gap is complex value:
ωBW τkp kc kc E˙ m 2 + Zδ1 = − · = cos αxn + i − sin αxn . Im kp π kp I m
The imaginary part of this impedance defines the coil inductance
2 Bm 1 π kc Mn1 = Jm Zδ1 = W τkp 1 + sin αxn . ω π Im 2 kp
(7)
The real part of the impedance is the active resistance determining additional losses in the coil under action of a pulsing field: ωkc Bm W τ Rδ1 = Re Zδ 1 = cos αxn . I
(8)
The formulas (7) and (8) should be invariant to replacement xn on xn ± τ within the limits of segments 2kτ ≤ x ≤ (2k + 1)τ; k = 0, 1, 2, 3, . . . , Therefore instead of (7) and (8) it is necessary to write down
π kc 2 Bm |sin αxn | , (9) Mn1 = W τkp 1 + π Im 2 kp Rδ1 =
ωkc Bm W τ f (xn ), Im
Zδ = Rδ + iωMn = iωMn (1 − in , )
(10) (11)
where f (xn ) = cosαxn for 2kτ ≤ x ≤ (2k + 1)τ; k = 0, 1, 2, 3, . . . Then the attenuation which is brought into the coil by a pulsing field, is equal n =
f (xn ) Rδ π kc . = ωMn 2 kp 1 + 1 2π kc /kp |sin αxn |
Decomposing |sinαxn | in a Fourier series and being limited first two members of this decomposition, we may write down Mn1 ≈ M01 (1 − d0 cos2αxn )
(12)
2 2 c instead of (9). WhereM01 = π2 μ0δm Wkp τ 1 + kkpc , d0 = 23 kc k+k . p The coils located symmetrically rather middle of each double pole division, have the greatest inductance. As we can see from (9) — (11) the harmful influence of a pulsing
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field consists in examined system that it brings in heterogeneity to the distribution of the inductance of coils along the motor length and essentially redistributes their attenuation. Let’s present a winding as a chain of T-figurative two-port networks consisting of the series elements Z1 = Z2 = Z/2 and parallel elements Z3 = 1/Yc , where Z = Zs + Zδ = r + Rδ + iω(σM0 + Mn ), Yc = g + iωCn , r is the active resistance of the coil, σ is the factor of dispersion, g is an active component of conductivity between clips of the capacitor Cn in Fig. 2. The parameters of such two-port network are equal: A = D = 1 + ZYc /2; C = Yc ; B = Z + Yc (Z/2)2 . By accepting the length of an equivalent piece of a long line l = tz and believing Z = Z0 t z , Yc = Y0 t z , where Z0 , Y0 are real parameters of one cell of a winding per unit of the length along an axis x, we find the wave resistance of the line piece (13) W0 = B/C = Z0 /Y0 + (Z0 /2)2 tz 2 and the parameter γtz (γ is the factor of distribution of a we): 2 2 √ 1 1 Z0 Y0 t 2 1 + Z Y t + t Z Y + γt −1 0 0 z 0 0 z z 2 2 e z BC 1+A = . √ −γt = −1 2 1−A BC ez 1 1 2 2 1 + 2Z0 Y0 tz − tz Z0 Y0 + 2Z0 Y0 tz
(14)
For the linear motors with the size of the pole division τ ≥ 1 m there are Re{γtz } 1, π Jm{γtz } ∼ m 1, therefore we may believe 1 + γtz + 1 2(γtz )2 eγtz ≈ . (15) e−γtz 1 − γtz + 1 2(γtz )2 Comparing (14) and (15), we find approximately 2 γ ≈ Z0 Y0 + 1 2Z0 Y0 tz2 .
(16)
In a limiting case of the small tz it is possible to neglect members containing tz 2 in (13) and (16) and then we shall receive parameters of the line simulating ideally a distributed winding: (17) W0 = Z0 /Y0 , γ = Z0 Y0 . As the Eq. (12) gives meanings Mn 1 for any xn . We find the law of changing linear inductance along the length of such line as
d0 σM0 + M0 M0 cos 2αx . = L0 = (1 + σ) 1 − tz tz 1+σ At these assumptions the Eq. (17) as follows W0 = L0 /C 0 1 − i0 ; γ = ±iω L0 C0 1 − i0 ,
(18)
Field of Excitation of the Linear Induction Motor
where
−1 d0 Rδ0 4 0 = ≈ d0 2sin2αx + 5 sin 4αx 1 − , cos 2αx ωL0 1+σ
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(19)
here Rδ0 = Rδ /tz . We decompose function f (x) the determined formula (10) in Fourier series with the period τ and use first two members of its decomposition in (19). If we represent the instant values of a current and voltage as u = U˙ m eiωt , i = I˙m eiωt the equations for complex amplitudes of a current and the voltage in a non-uniform line are written in the following form: 1 dZ0 dU˙ m d 2 I˙m 1 dY0 dI˙m d 2 U˙ m − Z0 Y0 U˙ 0 = 0, − Z0 Y0 I˙0 = 0. − − 2 2 dx Z0 dx dx dx Y0 dx dx As the initial rough approximate suffices we shall consider a problem about the current distribution in a non-uniform line by admitting that 0 1 in Eqs. (18). We take into account only the influence of a pulsing field on size of inductance Mn and no taken into account the brought active resistance Rδ . Let the change of linear capacitance along line √ length is determined by a condition of a constancy of wave resistance W0 = L0 /C0 = const. I.e. C0 = Ctzn = Ck d0 tz 1 − 1+σ cos 2αx . It corresponds to distribution of capacitances in the real motor d0 winding by the ratio Cn = Ck 1 − 1+σ cos2αxn , where Cn is the capacitance connected to the coil from the coordinate left party xn , Ck is the capacitance connected to the coils, the coordinates of their sides are defined by the conditions cos2αxn , i.e. xn = 1 4kτ. The common capacitance per a pair of poles in the scheme of the winding in Fig. 2 mCk does not differ almost from total capacitance of capacitors (in account per a pair of poles) required to compensate magnetizing power in the multiphase motor at the same volume of working gap at the identical number of active conductors in a slot. At W0 = const the formulas for complex amplitudes of direct waves of a current and the voltage in the line get a kind d0 d0 · 2i αx− 2(1+σ) sin 2αx −i αx− 2(1+σ) sin 2αx dx + C3 e , U = ∫ C1 Z0 e m
d0 d0 · 2i αx− 2(1+σ) sin 2αx −i αx− 2(1+σ) sin 2αx dx + C4 e , I = ∫ C2 Y0 e
m
C1 = −
π K · K · ω δ(x − l), C2 = − δ(x − l), α = M0 Ck (1 + σ) = . U I x=l x=l Z0 (l) Y0 (l) tz t
0 where K = ZZcc −W +W0 is the factor of reflection of a wave at x = l; Zc is the matching resistance connected by the end of a line; δ(x − l) is the delta-function in the point x = l.
3 Results If the line beginning is connected to the buses of infinite power with the voltage U0 and the matching resistance Zc = W0 is connected to the line end (x = l), it will be
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C1 = 0; C2 = 0. If the reflections are absent the complex amplitudes of a current and the voltage look like −i U˙ m = C3 e
d
0 αx− 2(1+σ ) sin 2αx
−i , I˙m = C4 e
d
0 αx− 2(1+σ ) sin 2αx
, U˙ m = W0 I˙m .
At x = 0 we have C3 = U0 ; C4 = U0 /W0 = I0 . Let’s analyze the real equation of an instant current U0 d0 iωt ˙ sin 2αx . i = Re Im e = cos ωt − αx − W0 2(1 + σ)
(20)
The factor of a phase of the current wave periodically changes along the motor length about average value α = π/τ. The degree of distortion of the form of a wave at its motion is defined by the parameter d0 /2(1 + σ). If we don’t take into account the attenuation, the presence of the magnetic shunt of an air gap does not change the current amplitude. The distribution of a current along the length constructed in Fig. 3 by the formula (20) for d0 /(1 + σ) = 0, 1 doesn’t differ from sine wave more than on 5%.
Fig. 3. The graphs of the spatial distribution of the current in the ideally distributed winding for different time points at d0 /(1 + σ) = 0.1 (it corresponds to Y /pτ ≈ 0.177, p = 1, σ ∼ 0, kp = 1): 1−ωt = 0; 2−ωt = 45◦ ; 3−ωt = 90◦ . The dashed line shows the sinusoidal current distribution for comparison.
The formula (20) gives the law of the current distribution in one active conductor along the length of the ideally distributed winding. At transition to a winding with the multi-turn coils it is necessary that the total current of the line simulating ideally a distributed winding, was equaled to the total current I of the winding with the lumped x coils in account per the one active conductor, i. e. i(x)dx = WkI p tz ≈ n1 in tz ,) since 0
the coils are located along an axis x with the interval tz . From here the linear current density in the winding is equal j(x, t) =
kp W d x kp W dI ∫ i(x)dx = = i(x). dx tz dx 0 tz
(21)
Field of Excitation of the Linear Induction Motor
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With the account tz = τ/m, Im = U0 /W0 from (20) and (21) we shall receive d0 sin 2αx , (22) j(x, t) = jm cos ωt − αx − 2(1 + σ) where jm = mIm Wkp /τ. d0
In the complex form: j(x, t) = jm ei(ωt−αx) ei 2(1+σ) sin 2αx , d0 d0 cos 2αx ei(ωt−αx) − iBm ei(ωt+αx) + C2 B = −iBm 1 − 6(1 + σ) 6(1 + σ) (at(d0 /2(1 + σ) 1)). The constant C2 , determining a pulsing field is calculated similarly (4) and has value d0 d0 sin 3αY iBm sin αY iωt 1+ e − . C2 = α pτ + Y 12(1 + σ) 18(1 + σ) sin αY The final real equation for an induction accepts a kind d0 d0 cos 2αx sin(ωt − αx) + Bm sin(ωt + αx) B = Bm 1 − 6(1 + σ) 6(1 + σ)
d0 2 sin 3αY Bm sin αY 1+ 1− sin ωt. (23) − α pτ + Y 12(1 + σ) 3 sin αY The law of change of amplitude of the running component of an induction along the length coincides with the dependence of inductance on length (12). If we take into account the back running wave, the resulting distribution of a running component along the length for d0 /(1 + σ) = 0.1 differs from the sine wave no more than on 1%, i. e. it is less than the distribution of the current density (22). The pulsing field component in the gap (23) can have a little bit smaller size in comparison with (4). So, if Y τ, then sin3αY /sinαY ≈ 3 then d0 iBm sin αY iωt 1− e . C2 ≈ α pτ + Y 12(1 + σ)
4 Conclusion At the chain stator scheme we may improve a little the field structure in a gap changing the distribution of lines of the current loading by the winding adjustment. To approach the characteristics of the stator with such a winding to ideal ones, it is necessary completely to delete a pulsing flux of a gap. This flux is the reason of heterogeneity of active and inductive resistances of the coils. This can be done to use the methods similar with known for linear electrical motors. The important advantage of the considered system of excitation is the complete indemnification of consumption magnetizing power from the outside, as the piece of a line having the length multiple integer of half-waves, is the resonant system.
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References 1. Flankl, M., Wellerdieck, T., Tüysüz, A., Kolar, J.W.: Scaling laws for electrodynamic suspension in high-speed transportation. IET Electr. Power Appl. 12(3), 357–364 (2017). https:// doi.org/10.1049/iet-epa.2017.0480 2. Chin, J.C., Gray, J.S., Jones, S.M., Berton, J.J.: Open-source conceptual sizing models for the hyperloop passenger pod. In: 56th AIAA/ASCE/AHS/ASC Structures, Structural Dynamics, and Materials Conference (2015). https://doi.org/10.2514/6.2015-1587 3. Opgenoord, M.M., Caplan, P.: On the aerodynamic design of the hyperloop concept. In: 35th AIAA Applied Aerodynamics Conference (2017). https://doi.org/10.2514/6.2017-3740 4. Janzen, R.: Trans pod ultra-high-speed tube transportation: dynamics of vehicles and infrastructure. Proc. Eng. 199, 8–17 (2017). https://doi.org/10.1016/j.proeng.2017.09.142 5. Janzen, R.: TransPod ultra-high-speed tube transportation: dynamics of vehicles and infrastructure. Procedia Eng. 199, 8–17 (2017). https://doi.org/10.1016/j.proeng.2017.09.142 6. Beach, A.E.: The pneumatic tunnel under broadway. NY. Sci. Am. 22(10), 154–156 (1870). https://doi.org/10.1038/scientificamerican03051870-154 7. Oettershagen, P., Melzer, A., Mantel, T.: Perpetual flight with a small solar-powered UAV: Flight results, performance analysis and model validation. In: 2016 IEEE Aerospace Conference (2016). https://doi.org/10.1109/AERO.2016.7500855 8. Evstaf’ev, A.M., Nikitin, V.V., Telichenko, S.A.: Energy converters for hybrid traction power systems used in electric transport. Russ. Electr. Eng. 91, 77–81 (2020) https://doi.org/10. 3103/S1068371220020042 9. Nikitin, V.V., Sychugov, A.N., Rolle, I.A.: Calculations of the parameters and simulation of the operation of nonlinear surge arresters for ac rolling stock. Russ. Electr. Eng. 91, 87–92 (2020). https://doi.org/10.3103/S1068371220020078 10. Kim, K.K., Ivanov, S.N., Gorbunov, A.V.: An Automatic electromechanical drive for carriage doors. Russ. Electr. Eng. 90, 669–674 (2019). https://doi.org/10.3103/S1068371219100067 11. Valinsky, O.S., Evstaf’ev, A.M., Nikitin, V.V.: The effectiveness of energy exchange processes in traction electric drives with onboard capacitive energy storages. Russ. Electr. Eng. 89, 566–570(2018). https://doi.org/10.3103/S1068371218100103 12. Baiko, A.V., Nikitin, V.V., Sereda, E.G.: Hydrogen energy sources with current inverters in ship AC power plants. Russ. Electr. Eng. 88, 355–360 (2017). https://doi.org/10.3103/S10683 71217060037 13. Baiko, A.V., Nikitin, V.V., Sereda, E.G.: Autonomous power systems with synchronous generators and hydrogen energy sources. Russ. Electr. Eng. 86, 479–484 (2015). https://doi.org/ 10.3103/S1068371215080027 14. Kim, K.K., Kim, K.I.: Suspension system of hyper loop. Transp. Syst. Technol. 3(2), 9–10 (2017). https://doi.org/10.17816/transsyst2017329-10
Production of Reinforced Concrete Driven Piles Using Epoxy Resins for Use in Aggressive Soil Conditions Talal Awwad1(B)
, Duman Dyussembinov2
, and Rauan Lukpanov2
1 Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9,
190031 St. Petersburg, Russia 2 L.N. Gumilyov Eurasian National University, Satpaev Street, 2,
010008 Nur-Sultan, Kazakhstan
Abstract. The article presents the results of a study of concrete used for the production of driven piles, arranged in aggressive soil conditions. The technical solution was achieved by including polymer components in the concrete composition that improve the hydrophobic properties of concrete. A significant effect of the use of the additive is achieved when the technological regime of pile production is changed by the inclusion of heat-moisture treatment (HMT) in production. This makes it possible to use the maximum resource of the additive (according to the curing time of the polymer and concrete), significantly improving the physical and mechanical characteristics of the pile. For comparison, laboratory tests of prototypes were carried out with and without additives, with and without heat-moisture treatment. Laboratory investigations included the effect of the additive and production technology on the change in strength characteristics, water absorption capacity, frost resistance of concrete, and its resistance to aggressive environments. The results of laboratory measurements showed high values of the compared characteristics of samples with additives relative to traditional samples without additives. An additional effect is a reduction in construction time due to a reduction in the production time of piles by using HMT. The results of the study confirmed the effectiveness of using the additive in combination with heatmoisture treatment, therefore, the proposed concrete composition and production technology can be recommended for the manufacture of piles in aggressive soil conditions. Keywords: Piles · Aggressive soil conditions · Epoxy · Concrete · Additive · Frost resistance · Water absorption
1 Introduction Pile foundations are one of the most popular types of foundations on construction sites in Nur-Sultan and other sites in Kazakhstan [1]. The feasibility of using a pile foundation is explained by the need to provide high-rise buildings and structures with a good bearing capacity [2]. Today there are many technologies for pile foundations [3–5]. Each of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 735–744, 2022. https://doi.org/10.1007/978-3-030-96380-4_80
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the technologies and types of pile foundations has its advantages, disadvantages, and limitations [6]. In this paper, issues related to improving the quality of piles used in aggressive soil conditions will be considered. The pile improvement approach is more related to materials science than geotechnical engineering. Today, there are many geotechnical solutions to improve the working conditions of piles in saline soils, in particular in the southern region of Kazakhstan [7]. Methods of silicatization or polymerization of near-pile soil are widely known. The methods are based on the technology of injection, replacement, or ramming of foundation elements into the soil [8–10]. The technologies have efficiency, but are technologically complex in implementation, have some uncertainty for quality control (for example, the distribution of the solution by the injection or ramming method). Another disadvantage may be a decrease in strength characteristics along the lateral surface when it comes to pile foundations [11]. Many decisions have been made to resolve this issue. The main technological solution in terms of materials science is the use of additives. The use of additives to concrete to improve physical and mechanical characteristics is widely used in building materials science. Additives are used depending on to the construction conditions [12–14]. For example, antifreeze additives are used if the temperature regime of hydration is disturbed from 5 to 250 °C [15]. The use of additives prevents the natural crystallization of water at low temperatures, maintaining the required hydration conditions. Also, additives for improving water resistance (used in hydraulic engineering and not only) contribute to the production of high-density concrete with the maximum exclusion of micro and macropores [16–18]. Additives for improving the water absorption capacity are based on the hydrophobization of concrete, reducing its wettability indicators. Additives for improving the strength characteristics can be based on the addition of strong inert aggregates or additional fiber-fiber materials to the concrete composition, as well as chemical reagents, plasticizers, and super-plasticizers, that have a complex effect on improving the properties of concrete, improving its frost resistance and water permeability. A technological solution for the issue of the resistance of concrete to aggressive environments can be the use of plasticizing additives, modifiers, and watersoluble polymers [19]. The use of plasticizers mainly affects the increase in strength, while the increase in resistance to aggressive environments improves, but not to a significant extent. The use of water-soluble polymers in the composition of concrete reduces water absorption and increases frost resistance, but resistance to aggressive environments remains insufficient. This phenomenon is explained by the fact that in the process of cement hydration, the polymer, being distributed evenly in a thin layer over the concrete structure cannot resist the growth of crystals. The purpose of this research is to find a solution to improve pile performance in an aggressive environment in terms of concrete production technology. There is a high potential of using water-insoluble polymers, but the main limiting factor is the need in a control of the uniformity of its distribution over the structure of concrete (due to insolubility). Another limiting factor is its rapid polymerization, which can hinder the natural hydration process.
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2 Research Method The main task of this study was to obtain polymer concrete with a uniformly distributed water-insoluble polymer, without prejudice to the construction and technical properties. To solve this task a set of laboratory tests was carried out: – – – –
assessment of concrete strength characteristics; assessment of water absorption capacity; evaluation of frost resistance; assessment of resistance to aggressive environments. For the production of polymer concrete, the following composition was used (Table 1). Table 1. Polymer concrete composition.
Cement kg
Quartz sand kg
Marble hips 2–4 mm, kg
Polymer ED 16 with hardener, kg
KOH kg
Water l
Water-insoluble pigment kg
400
800
1000
5 kg epoxy resin, and 1.25 kg hardener
1
180
0.5
The polymer binder was ED 16 (epoxy-resin). To visualize the distribution of the polymer over the concrete structure, we used a water-insoluble yellow pigment (for coloring the polymer), which does not react to water. For visualization of coarse and fine aggregates, marble chips and quartz sand were used, which also have distinctive color shades. The composition of the control sample is presented in Table 2. An epoxy resin was combined with a pigment and heated in a water bath at a temperature of 85 °C. Then it was mixed with potassium hydroxide dissolved in water in a ratio of 1:1. Then the resulting mixture was thoroughly mixed and a hardener was added just before the addition to the concrete solution. In parallel, a concrete mixture was prepared: for better alignment with the polymer, the water temperature was 50 °C. After that, the resulting mixture was thoroughly mixed and molded. Table 2. The composition of the control sample. Cement Quartz sand Marble chips 2–4 mm, Water kg kg kg l 400
800
1000
180
A series of experiments are carried out for strength on an automatic press of the CONTROLS (Pilot) 500 KN. Strength from each series was determined as the arithmetic
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average for the tested samples, Fig. 1A. The tests were carried out on 18 samples, 9 of each series. When testing for frost resistance, the samples were placed in a container with water on mesh racks of an automatic climatic chamber 10 D1429/A CONTROLS, Fig. 1B. The freezing time was 4 h at a temperature of minus 18 °C; the thawing time was 2 h at a temperature of + 18 °C, with a humidity of 95%. The main criterion for evaluating the material for frost resistance was a visual inspection of the sample surface (cracks, chips), as well as the weight loss. A total of 12 samples of each series were tested.
Fig. 1. Laboratory tests.
To determine the water absorption of concrete, the samples were weighed on a verified calibrated balance with an inaccuracy of 0.1% and then placed in a container with water, (Fig. 1 C). The water level in the container was 60 mm higher than the sample level, and the water temperature was 21 °C. The samples were weighed every 24 h until a constant weight was reached. Determination of water absorption by weight was carried out according to the formula: W_M = (m_s − m_d)/m_s ∗ 100 Where, Wm – water absorption in weight percent, %; ms– a mass of the dry sample, g. md– a mass of the water-saturated sample, g.
(1)
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739
Tests for the resistance of concrete to aggressive media were carried out in a solution of HSO4 , dissolved in water pH3. The tests were carried out for 2 samples of each series, Fig. 1D. All tests and measurements were carried out for cubic specimens aged more than 28 days, with dimensions of 100 × 100 × 100 mm.
3 Results and Discussion Figure 2 shows the results of testing the compressive strength of concrete Cubes for polymer concrete and traditional (clean) concrete of similar composition. The results indicate a rapid increase in the strength of concrete within three days, after that the rapid increase in strength stopped. Polymer-concrete
Clean concrete
30 23
Strength, MPa
25
25
26
21
21
19
20 15 10
20
19
17 12
50 0 0
5
10
15
20
25
30
Time, days Fig. 2. The results of testing the compressive strength of concrete cubes.
This process is caused by the fact that epoxy resin in a complex with KOH becomes water-soluble (since potassium hydroxide is a strong alkali), however, after contact with a cement binder, a strong alkali changes its chemical structure, reacting with Al2O3 to become 2Al (OH) 3, which contributes to an increase in the speed of concrete hardening. However, the results of strength indicators, which are lower than the control at the age of 28 days by 19.3%, are not entirely satisfying. The results of cube strength after heat-moisture treatment (HMT) of the samples on the 28th day are presented in Table 3. Table 3. Strength characteristics of polymer concrete after HMT. Temperature, °C
Time of HMT, hours
60 70
compressive strength of concrete, MPa Control sample
Sample with ED 16
3+9+3
26
33
3+9+3
27
35
Note: from the beginning to the maximum value of 3 h, the maximum temperature is exposed for 9 h, the temperature decrease occurs within 3 h.
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Experiments confirm the assumption that after polymerization the polymer blocks the process of polymer concrete hydration. The studies carried out determined that the polymerization process takes place within three days. The results showed that the compressive strength of the samples with the polymer at the temperature of HMT 60 °C, and 70 °C is more than the compressive strength of the control sample by 27% and 31%, respectively. Thus, polymer concrete based on water-insoluble polymers with a uniform distribution over the structure of concrete slows down the hydration process after the completion of the polymerization process. Results of water absorption and frost resistance of polymer concrete are presented in Table 4. Figure 3 shows graphs of weight loss versus freezing cycles. Table 4. Water absorption and frost resistance of polymer concrete and control sample. Sample no
Composition
Water absorption in weight percent,%
Frost resistance F
At normal conditions 1
Control sample
5.5
150
2
Sample with ED 16
2.6
250
3
Control sample
5
200
4
Sample with ED 16
1.3
300
Loss of weight, %
At HMT
50 45 40 35 30 25 20 15 10 5 0 100
Sample 1 (Standard)
Sample 2 (ED-16)
Sample 3 (Standard)
Sample 4 (ED-16)
150
200 250 Cycles number, %
300
350
Fig. 3. Weight loss versus freezing cycles.
The results of the studies carried out confirm the uniform distribution of the polymer component over the structure of concrete, since water absorption decreases and, as a result, frost resistance increases. Reduction of water absorption is 52.8%, and frost resistance 66.7%. The percentage of the polymer is 0.016% of the mass of cement, can be
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evenly distributed over the structure of concrete and to provide bulk hydrophobization. the water absorption of polymer concrete is 74% less than the control sample, while frost resistance increased by 76.5%. To determine the resistance of polymer concrete to aggressive environments, samples of control and polymer concrete at the age of 28 days were placed in an aggressive environment of HSO4 dissolved in water up to reach pH3. Table 5 shows the results of this study. Table 5. Resistance of polymer concrete to aggressive environments. Composition
Compressive strength of concrete, MPa 28 days
90 days
180 days
270 days
360 days
Control sample
26
23
15
8
–
Sample with ED 16
21
22
22
20
17
Control sample
28
25
20
13
6
Sample with ED 16
35
34
32
30
27
At normal conditions
At HMT
The results have shown the resistance of polymer concrete to aggressive environments. Even without HMT (low initial strength), after holding the polymer concrete in an aggressive environment, the samples showed a relatively small decrease in strength: after 360 days, it was 19.1%, while the control sample was destroyed and was not subject to testing. Tests of polymer concrete with HMT showed good results: the loss of strength of the control sample after 360 days was 78.6%, while the loss of strength of polymer concrete samples after 360 days was 15%. Control samples with HMT, in contrast to conventional control samples, retained the integrity of the structure, although they lost very much in strength. Thus, the samples after HMT acquire the maximum potential of the cement, and with the combined use of a water-insoluble polymer, the concrete acquires a strong concrete structure covered with a polymer as shown in Fig. 4. Here we can see a uniform distribution of the polymer that envelops the structure, providing insulation from moisture ingress, thereby reducing the water absorption of concrete, and providing resistance to aggressive environments. The polymer coats the surface of the micropores creates an additional framework for the cement binder, thereby increasing the strength.
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Fig. 4. The structure of polymer concrete: 1) White marble chips 2) Yellow polymer. 3) Gray cement sand.
4 Conclusions To increase strength and water absorption (due to polymerization of micropores and skeleton structure), and as a consequence of frost resistance and resistance to aggressive environments, a polymer concrete composition was proposed for the production of prefabricated driven piles with the addition of epoxy resin. Experiments have confirmed the effectiveness of using a polymer component in the composition of concrete. The results of polymer concrete showed the following regularities relative to standard concrete samples: increase in strength, depending on the processing temperature, from 27 to 31%; the decrease in water absorption is 74%; increase in frost resistance up to 76.5%; increase in resistance to aggressive environments up to 78.6%. The effectiveness of using heat-moisture treatment in the production of polymer concretes based on water-insoluble polymers has been concerned. Even though the process of cement and polymer curing is practically the same, the process of polymerization of epoxy resin with potassium hydroxide takes from two to three days, depending on the amount of the reagent. The heat-moisture treatment has a beneficial effect both with the use of polymer in the composition of concrete and without. With HMT, the cement binder is much more active and in the process of hydration uses its potential to the maximum, as evidenced by the integral structure of concrete samples after holding them in an aggressive environment for 360 days.
References 1. Zhusupbekov, A.Z., Enkebaev, S.B., Lukpanov, R.E., Tulebekova, A.S.: Analysis of the settlement of pile foundations under soil conditions of Astana. Soil Mech. Found. Eng. 49(3), 99–104 (2012). https://doi.org/10.1007/s11204-012-9174-8 2. Lukpanov, R.E.: Comparison of results of series pile load test in accordance with ASTM and Kazakhstan standards. Japan. Geotechn. Soc. Special Pub. 2(37), 1323–1326 (2016). https:// doi.org/10.3208/jgssp.KAZ-05 3. Lukpanov, R.E., Awwad, T., Orazova, D.K., Tsigulyov, D.V.: Geotechnical research and design of wind power plant. In: Choudhury, D., El-Zahaby, K.M., Idriss, I. (eds.) GeoMEast
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2018. SCI, pp. 220–227. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-019204_19 Kudryavtsev, S., et al.: Numerical simulation of the work of a low-settlement embankment on a pile foundation in the process of permafrost soil thawing. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 73–82. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0454-9_9 Belash, T.A., Mitrofanova, M.N.: Pile Foundations for Areas with a Joint Manifestation of Permafrost and High Seismic Activity. IOP Conf. Series: Mater. Sci. Eng. 463, 022076 (2018). https://doi.org/10.1088/1757-899X/463/2/022076 Lukpanov, R.E., Tsigulyov, D.V., Yenkebayev, S.B., Askarov, D.T.: Influence of blow energy of the hammer on the bearing capacity of piles during dynamic testing. In: Paper presented at the Challenges and Innovations in Geotechnics - Proceedings of the 8th Asian Young Geotechnical Engineers Conference, pp. 71–74 (2016) Awwad, T., Yenkebayev, S.B., Tsigulyov, D.V., Lukpanov, R.E.: Analysis of driven pile bearing capacity results by static and dynamic load tests. In: El-Naggar, H., Abdel-Rahman, K., Fellenius, B., Shehata, H. (eds.) GeoMEast 2018. SCI, pp. 77–84. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-01902-0_8 Sychova, A., Kamenev, Y., Svatovskaya, L., Avseenko, A.: The method of producing nonautoclaved foam concrete based on polymers for the construction of various road structures in cold regions. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 469–477. Springer, Singapore (2020). https://doi.org/ 10.1007/978-981-15-0454-9_49 Kolos, A., Alpysova, V., Osipov, G., Levit, I.: The effect of different additives on the swelling process of heavy clays. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 295–306. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0454-9_31 Abu-Khasan, M., Solovyova, V., Solovyov, D.: High-strength Concrete with new organic mineral complex admixture. MATEC Web Conf. 193 (2018). https://doi.org/10.1051/matecc onf/201819303019 Perminov, N., Perminov, A.: Geotechnical and geoecological fundamentals of the sustainable life cycle of unique long-operated underground structures of water disposal systems in difficult soil conditions. Geotechn. Fundamentals Appl. Constr. New Mater. Struct. Technol. Calcul. 231–234 (2019) Awwad, T., Kodsi, S.A., Shashkin, A.: Negative skin friction distribution on a single pile numerical analysis. In: El-Naggar, H., Abdel-Rahman, K., Fellenius, B., Shehata, H. (eds.) GeoMEast 2018. SCI, pp. 36–48. Springer, Cham (2019). https://doi.org/10.1007/978-3-03001902-0_4 Svatovskaya, L., Urov, O., Kabanov, A.: Geoecoprotective Technology of Transport Construction using Silica Sol absorption method. Procedia Eng. 189, 454–458 (2017). https://doi. org/10.1016/j.proeng.2017.05.073 Matveeva, L., Belentsov, Y.: Supramolecular structure of polymer binders and composites: Targeted control based on the hierarchy. IOP Conf. Ser. Earth Environ. Sci. 90, 012104 (2017). https://doi.org/10.1088/1755-1315/90/1/012104 Awwad, T., Gruzin, V., Kim, V.: Sustainable reconstruction in conditions of dense urban development. In: Weng, M.-C., Lee, J., Liu, Y. (eds.) GeoChina 2018. SCI, pp. 13–23. Springer, Cham (2019). https://doi.org/10.1007/978-3-319-95750-0_2 Alkadi, S.A., Fedorova, N.V., Osovskyh, O.E.: Analysis of reinforced concrete space frame deformation with composite sections elements. IOP Conf. Ser. Mater. Sci. Eng. 456, 012033 (2018). https://doi.org/10.1088/1757-899X/456/1/012033
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17. Solovyev, G.V., Vatchnadze, K.I.: Improving of performance characteristics during mechanical stabilization of quarry haul roads with stiff polymeric tensar triax hexagonal geogrid. Procedia Eng. 189, 666–672 (2017). https://doi.org/10.1016/j.proeng.2017.05.106 18. Solovieva, V., Stepanova, I., Soloviev, D., Yorshikov, N.: Increasing the level of properties of composite materials for civil engineering geoconstruction with the use of new generation additives. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 2. LNCE, vol. 50, pp. 387–393. Springer, Singapore (2020). https://doi.org/10.1007/ 978-981-15-0454-9_40 19. Zimakova, G., Solonina, V., Zelig, M., Orlov, V.: Effective silicate concretes properties using components of ultrafine range. IOP Conf. Ser. Mater. Sci. Eng. 463, 022098 (2018). https:// doi.org/10.1088/1757-899X/463/2/022098
Main Resistance to Freight Traffic, Defined by Taking into Account the Spatial Vibrations of the Cars Yulia Chernysheva(B)
and Anatoly Gorskiy
Emperor Alexander I St. Petersburg State Transport University, Moskovsky Pr., 9, 190031 Saint Petersburg, Russia {vvh,toe}@pgups.ru
Abstract. The movement of a freight train along the unevenness of the railway was investigated with the presence of various retreats by deviations and standardized degrees in stationary modes. An expression is proposed for calculating the component of the main resistance to movement, which depends on the spatial vibrations of the cars. In the MATLAB Simulink system the movement of a freight train was simulated, consisting of 56 gondola cars of 12–132 model in a fully loaded state on bogies of 18–100 model in a new and worn condition. The resistance dependences to oscillatory motion of such cars on the speed of the train are obtained. It is noted that the main contribution to the resistance to the oscillatory movement of the cars in the train is due to the creep forces. The most intense “surge” of the main resistance to the movement of the train is observed for wagons with worn-out bogies on the way with the presence of deviations of III-IV degrees at a speed of 70 km/h. The obtained dependencies will allow to study the movement of a freight train with a locomotive at the head over uneven railways tracks under the action of tangential forces of traction motors of a locomotive of limited power in dynamic modes for various types of locomotives and modes of train driving. Keywords: Sommerfeld-Kononenko effect · Resonance · Railway irregularities · Tracks · Spatial vibrations · Freight car · Main resistance to movement
1 Introduction The energy efficiency of the transportation process is increased in various ways [1–5]. The direction associated with the development and implementation of automatic train driving systems, providing energy-efficient control, does not require significant investment and is implemented through the application of the theory of train traction. The traction calculation generally accepted on the railways, based on solving the differential equations of train motion, does not take into account the different effects of spatial oscillations of cars on the main resistance to movement. In the pre-resonant mode of oscillations, the main resistance to motion increases with increase in speed, and in the over-resonant mode it decreases [6]. In the resonant mode of oscillations, a characteristic surge of the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 745–753, 2022. https://doi.org/10.1007/978-3-030-96380-4_81
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main resistance to movement at the resonant speed is observed. As a result, according to the rigidity of the characteristics of the locomotive (imperfect source of energy), an area of unstable modes of motion appears [6]. Investigation of the Kononenko-Sommerfeld effect [6–9] in the interaction of a locomotive and a train moving along irregularities of rail track has distinctive features. On the one hand, the vertical oscillations of the sprung mass of the car affect the friction forces of the wheels on the rails, longitudinal components of which have a direct influence on the resistance to the movement of the train. This leads to a combination of models of vertical and transverse train dynamics, which is reflected in the machine time consumption. On the other hand, modern locomotives with semiconductor traction converters and a microprocessor-based automatic control system make it possible to realize an absolutely soft characteristic of the energy source when accelerating the train, and an absolutely rigid characteristic when maintaining a given speed. The choice of the rigidity of the characteristics of the energy source is determined by the automatic control system and the train driving mode, which is set by the driver [10]. During the movement of the train along the section, the traction force of the locomotive can vary from 0 to 1.5·F ∞ [11], and the rigidity of the F (V ) characteristic can vary from absolutely soft to absolutely rigid. The latter leads to cases when resonance appearance in the natural modes of vibration of the cars in the train is reflected only in the power takeoff from the traction motors without the appearance of unstable modes of movement and without a sudden change in the speed of the train. The appearance of unstable modes depends on the mode of vibration of the cars (resonant or nonresonant) and the characteristics F (V ). Therefore, before studying the effect of resonance phenomena on the movement of the train, it is necessary to determine the main resistance to the movement of the train, taking into account the resistance to the oscillatory movement of the cars (W osl ) in the stationary mode, when the speed of the train is constant V 0 .
2 Methodology The averaged values of the resistance to the oscillatory movement of cars in the train, referred to the train mass in tons, are proposed to be calculated by computer simulation of the train movement on railway irregularities according to the expression:
wosl0
1 V0 = N 4q0 L
L/V 0
Wosl (t)dt,
(1)
0
where L - irregularity length of railway track, measured by the track-testing car; q0 – axe load of the car, t; Wosl = −
2 N
⎛
⎝ cz Znij + F z nij
n=1 i,j=1 2 N y x Fnijk ψni − Fnijk , + n=1 i,j,k=1
∂ znij − (−1)j bθni ∂x
⎞
y ∂ ynij + hθni ⎠ + cy Ynij + Fnij ∂x
(2)
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747
where cz , cy - vertical and horizontal stiffness of the springs of the spring group; Z nij , Y nij - compression and shear of the spring group of the n-th car of the i-th bogie of the j-th side; yni , ψ ni - lateral motion and wobbling of the i-th bogie of the n-th car; F z nij , F y nij - projections of the friction force in the nij-th friction wedge-type shock absorber on the z and y axes respectively; F x nijk , F y nijk - the force of the longitudinal and transverse creep in the contact zone of the nijk-th wheel and rail, taking into account the nonlinear effect associated with limiting adhesion [12]; 2b - transverse distance between the centers of the spring group; h - the height of the center of mass of the loaded/empty car body in relation to the level of the thrust bearing. The coordinate of the center of gravity of the bogie zni and the angle of roll of the bogie while rolling motion θ ni are equal respectively the momentary average value of the vertical displacement of the centers of gravity of the wheel sets and the momentary average value of the angles of roll during rolling motion of the wheels ets under the bogie, i.e. 2 2
y 1 z j+1 k+1 zni = −4 ηnijk + (−1) n yni + (−1) lb ψni − ηnijk = − 41
2
j,k=1
j,k=1
y z ηnijk − (−1)j+1 nηnijk
;
j,k=1
⎤ ⎡ ⎡ ⎤ y 2 2 n yni + (−1)k+1 lb ψni − ηy 2 (−1)j+1 ηz ηz nijk 1⎣ 4nyni ⎦ nijk − nηnijk j+1 nijk ⎦ = −1⎣ θni = − (−1) + − , 2 2s 2s 2 2s 2s j,k=1
j,k=1
j,k=1
where ηz nijk , ηy nijk - vertical and horizontal irregularities of the of rail lengths under the wheel of the k-th wheelset of the i-th bogie of the j-th side of the n-th car; 2lb –wheelbase; 2s –track width. The above expressions are obtained under the assumptions: – the locomotive pulls a train of N-cars, in which the cars have ten degrees of freedom; vibrations of a locomotive are not considered, only its mass and the moment of inertia of rotating parts are taken into account; – the connection between the cars is carried out by automatic couplings with hinges at the ends, so that the influence of longitudinal forces on vertical displacements can be neglected, and the oscillations of each car are independent, and the longitudinal displacements of all cars are equal (x = x n = x ni = x nik ; n is the number of the car, i is the number of the bogie, k is the number of the wheel set); – the railway track is absolutely rigid in the vertical plane and inertia-free elastic in the horizontal plane; – in the horizontal direction between the wheels and the rails there act pseudosliding forces, and when choosing a gap between the flange and the rail, interaction forces arise that depend on the magnitude of the rail deflection.
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Equations (2) were obtained using the Lagrange equations for the following generalized coordinates: – – – – – – – – –
q1 = z1 bouncing of the 1st car body; q2 = ϕ 1 haloping of the 1st car body; q3 = y1 lateral motion of the 1st car body; q4 = θ 1 rolling motion of the 1st car body; q5 = ψ 1 wobbling of the 1st car body; q6 = y11 , q7 = ψ 11 lateral motion and wobbling of the first bogie of the 1st car; q8 = y12 , q9 = ψ 12 lateral motion and wobbling of the second bogie of the 1st car; q10 = z2 bouncing of the body of the 2nd car; q9×N+1 = x longitudinal movement of the train.
Equations describing the spatial vibrations of the cars in the train [13] with 9N + 1 were obtained in a similar way, since the longitudinal movement of the train along the x axis is the same for all N cars in the train and for the locomotive. Irregularities in the railway track in the plan and in the profile under the nijk-th wheel were taken to be equal to the digital numerical realizations of the vertical and horizontal irregularities of the rail lines taken from full-scale railway lines, selected as examples (track 1, track 2, track 3), Fig. 1.
a) in profile
b) in plan
Fig. 1. Numerical realizations of rail line irregularities. Right rail; left rail.
The deviations in track width, level and subsidence for tracks 1 and 2 do not exceed the 2-nd degree. Section of the railway track No. 3 (numerical implementation of VNIIZHT according to Scientific and Technical Guidelines (NTR) 19.5.002.R 2007) with the presence of deviations of the III-IV degrees is considered to be unsatisfactory.
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In the MATLAB Simulink system, the movement of a freight train in stationary modes was simulated. The train consisted of 56 cars of model 12–132 with a full load (q0 = 23.5 t) in new and worn-out state of bogies of model 18–100. The wear of the wedges was modeled by a decrease in the coefficient of friction between the friction wedge and the side frame by 25% (in the new state, 0.89), which corresponds to the wear of the parts of the friction system of the bogies being in service. The rolling of a wheel tire and undercut of the flange of the run-in profile was selected according to the full-scale measurements of the geometry of the wheel set profiles presented in [3, 14]. The increase in the tire conicity of the worn-out profile of the wheel was defined at an interval determined by the lateral motion of the wheel set in a rail gauge width of 1.52 m (Table 1). Table 1. Geometric parameters of the wheel profile and mathematical model. Wheel profile
Tyre wear
Flange worn sharp
Tyre conicity
The gap between the wheel flange and the working edge of the rail head
GOST 10791
0 mm
0 mm
0.05
6 mm
Run-in
5 mm
1.5 mm
0.079
7.5 mm
Moderately worn-out
1.4 mm
5 mm
0.064
11 mm
Two options of wheel wear are considered: 1st option (run-in) - the wheel tire is more worn out (which influences more on the increase of conicity) and the flange is less worn out; 2-nd option (moderately worn-out) - the wheel flange is more worn out (which influences more on the gap between the wheel flange and the rail) and the wheel tire is less worn out. Tread wear affects the contact area and contact stresses between the wheel and the rail [15]. The latter was taken into account according to the studies of the influence of wheel wear on the creep coefficients given in [16].
3 Results Based on the results of computer simulation according to the expression (1), the average values of resistance to oscillatory movement of cars in a train for various sections of the railway track were determined (Fig. 2). Figure 2 shows the results of calculations for track No. 3 with the values of digital realizations of irregularities, reduced by 50% from the original digital realizations. The latter made it possible to assess the influence of the state of the track on the value of resistance to the oscillatory movement of cars in the train. The main contribution to the resistance to the oscillatory movement of the cars in the train is made by the creep forces (Fig. 3).
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а) Track No. 1
c) Track No. 3 (the level of values of digital realizations of irregularities reduced by 50%)
b) Track No. 2
d) Track No. 3
Fig. 2. Dependence of the resistance to oscillatory movement of cars in the train, reduced to the weight of the train in tons (N/t), on the speed (km/h).—bogie carriage in a new state; — bogie carriage in a worn-out condition (option 1); bogie carriage in a worn-out condition (option 2).
The most intense “surge” of resistance to the oscillatory movement of cars in the train is observed on track No. 3 with the second variant of wheel profile wear at a speed of 70 km/h. For this case, the resistivity constant of the train w0 // (V 0 ), was calculated, consisting of fully loaded cars of model 12–132 in a worn out state on bogies of model 18–100 (Fig. 4). The remaining components of the main resistance to movement were preliminarily determined - friction of axle journals in bearings, rolling friction of wheels on rails, energy dissipation in the track structure - according to the methodology described by Astakhov P. N. and aerodynamic resistance [3].
Main Resistance to Freight Traffic, Defined by Taking into Account
а) Track No. 1
b) Track No. 2
c) Track No.3 (the level of values of digital realizations of irregularities reduced by 50%)
d) Track No.3
751
Fig. 3. Dependence of the components of resistance to the oscillatory movement of cars in a train, reduced to the mass of the train in tons (N/t), on the train speed (km/h). Wedge system: bogie carriage in a new state; - option 1; - option 2. Creep forces: - bogie carriage in a new state; - option 1; - option 2;
Fig. 4. Results of determining of the main resistance dependence to movement of a train consisting of cars of model 12–132 with a full load in a worn-out state of bogies of model 18–100, referred to the weight of the train in tons (N/t), on the speed of movement (km/h).
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4 Discussion of Results The component of the resistance to the oscillatory motion of the car (2), which depends on the transverse component of the creep forces, at small angles of rotation of the bogies has the second order of smallness, therefore, its influence can be neglected. Then, for small creeps, when the linear theory is valid, expression (2) without taking into account the forces in the wedge system for the n-th carriage will take the form: Wosl = −
2 N n=1 i,j,k=1
x = Fnijk
2 N n=1 i,j,k=1
(−1)j f33
sψ˙ n n y yni + (−1)k+1 lb ψni − ηnijk + V0 r
2 N n y y = f33 ηni2k − ηni1k . r n=1 i,k=1
As you can see, the value of the resistance to the oscillatory movement of the cars in the train is influenced by: the creep coefficient (f33), the radius of the wheel (r), the conicity (n) and the difference between the irregularities of the left and right rail lines in the plan. Consequently, for small creeps, the average value of the resistance to the oscillatory movement of the cars in the train wosc0 remains constant over the entire range of variation of the movement speeds. This is observed for new cars moving along tracks in good state (tracks 1 and 2). The deviation of wosc0 from a constant value is caused by intense lateral vibrations of the bogie by limiting the total force of the creep according to the adhesion conditions, which is observed in bogies in a worn-out state (option 2) with wheel sets, in which the flange undercut corresponds to a moderately worn one (5 mm), regardless of the state of the track.
5 Conclusion The obtained dependence of the main resistance to the movement of the train, with consideration to the spatial vibrations of the cars, makes it possible to determine the power of the oscillatory system. This is necessary to determine the conditions under which the Sommerfeld-Kononenko effect appears (the output power of a non-ideal energy source (locomotive) is commensurate with the power consumed by the oscillatory system (train)). In modern locomotives, depending on the number of sections, the power is one and a half or more times greater than the power consumed by the oscillating system at a speed of 70 km/h. In this case, disruptions of the speed values of the freight train (the Sommerfeld-Kononenko effect) will not be observed. However, the power of the traction rolling stock, determined by the traction characteristic, is limited by the driver by setting the task for the maximum speed and traction force. In order to clarify the traction calculations, which will make it possible to select the energy-optimal mode of train movement, it is possible to supplement the developed simulation model that describes the movement of the train along irregularities in track,
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a model of a traction electric drive and an automatic speed/traction control system of a locomotive.
References 1. Burkov, A.T., Evstaf’ev, A.M., Maznev, A.S.: Modern locomotive traction drive control systems. Russ. Electr. Eng. 90(10), 692–695 (2019). https://doi.org/10.3103/S10683712191 0002X 2. Marikin, A.N., Miroshchenko, V.A., Nikitin, V.V., Tret’yakov, A.V.: A controlled device for reactive-power compensation for electrified alternating-current railroads. Russ. Electr. Eng. 88(10), 639–642 (2017). https://doi.org/10.3103/S1068371217100091 3. Boronenko, Y.P., Komarova, A.N., Romen, Y.S.: Energy efficiency of freight wagons and influence of their oscillations on rolling resistance. In: The Dynamics of Vehicles on Roads and Tracks - Proceedings of the 24th Symposium of the International Association for Vehicle System Dynamics, pp. 1491–1498 (2015). https://doi.org/10.1201/b21185-157 4. Rahimov, R., Ruzmetov, Y.: Analysis of the state and prospects of the development of the freight wagon fleet of the Republic of Uzbekistan. Non-ferrous Metals 44, 7–11 https://doi. org/10.17580/nfm.2018.01.02 5. Ushkalov, V.F., Mokrii, T.F., Malysheva, I.Y., Lapina, L.G., Pasichnyk, S.S., Bezrukavyi, N.V.: Wheel wear reduction on 1520 mm gauge railways in Russian. Teh. Meh 3, 20–29 (2018). https://doi.org/10.15407/itm2018.03.082 6. Blekhman, I., Kremer, E.: Vertical-longitudinal dynamics of vehicle on road with unevenness. Procedia Eng. 199, 3278–3283 (2017). https://doi.org/10.1016/j.proeng.2017.09.361 7. Ganiev, R., Krasnopolskaya, T.: Scientific heritage of V.O. Kononenko: SommerfeldKononenko effect. Problemy mashinostroeniia i nadezhnosti mashin 5, 3–15 (2018). https:// doi.org/10.31857/S023571190001552-8 8. Alifov, A.A., Farzaliev, M.G.: On the calculation by the method of linearization of the interaction of parametric and self-oscillations at delay and limited excitation. Vestn. Tomsk. Gos. Univ. Mat. Mekh 68, 41–5 (2020). https://doi.org/10.17223/19988621/68/4 9. Wedig, W.V.: Jump phenomena in road-vehicle dynamics. Int. J. Dynam. Control 4(2), 213– 220 (2015). https://doi.org/10.1007/s40435-015-0182-1 10. Yurkevich, V.D., Zinoviev, G.S., Gordeev, A.A.: Dc motor speed control for electric locomotive equipped by multi-level DC-DC converter. In: International Conference and Seminar of Young Specialists on Micro/Nanotechnologies and Electron Devices, pp. 358–364(2012). https://doi.org/10.1109/EDM.2012.6310256 11. Domanov, K.: Innovative doubly-fed freight electric locomotive 2EV120 “Knyaz’ Vladimir”. MATEC Web Conf. 239, 01001 (2018). https://doi.org/10.1051/matecconf/201823901001 12. Garg, V.K., Dukkipati, R.V.: Rolling Stock Dynamics, pp. 103–134. New York, Academic Press (1984). https://doi.org/10.1016/B978-0-12-275950-5.50009-2 13. Chernysheva, Y.V., Dubinsky, V.A.: Influence of spatial oscillations of freight cars on the movement of the train and the expenditure of energy resources. In: Proceedings of Emperor Alexander 1st. Petersburg Transport University, vol. 2, pp. 233–243 (2020). https://doi.org/ 10.20295/1815-588X-2020-2-233-243 14. Orlova, A.M., Savushkin, R.A., Fedorova, V.I.: Development of an improved wheel profile for a freight car. Theoretical justification. VNIIZHT Scient. J. 77(5), 269–279 (2018). https:// doi.org/10.21780/2223-9731-2018-77-5-269-279 15. Vorobev, A.A., Konogray, O.A., Krutko, A.A., Malakhov, I.I.: A study of the contact of the wheel with the rail for various conditions of freight car. J. Phys: Conf. Ser. 1441, 012127 (2020). https://doi.org/10.1088/1742-6596/1441/1/012127 16. Ushkalov, V.F.: Solution of some direct and inverse problems of railway vehicle dynamics. Veh. Syst. Dyn. 20, 638–652 (2007). https://doi.org/10.1080/00423119208969428
Consideration of Risk Factors for the Implementation of a Temporary Bridge Construction Project and Estimation of the Average NPV by the Monte Carlo Method Ulia Golikova(B)
, Ekaterina Kazaku , and Svetlana Voronova
Emperor Alexander I St. Petersburg State Transport University, Moskovsky Pr., 9, 190031 Saint Petersburg, Russia
Abstract. Investment is one of the most important factors in economic growth. The purpose of investments in the form of capital investments is new construction, reconstruction, technological re-equipment, renewal of worn-out production assets. The complexity of making investment decisions is due to both of the novelty and uncertainty of investment objects, the possibility of material losses during the implementation of investment projects, and the variety of possible sources of financing. The multivariance of investment decisions requires the implementation of a justification of the effectiveness of investment projects, the purpose of which is to find out to what extent technical, technological, marketing, financial and economic decisions correspond to the interests of the investor. The study examines the practice of applying the Monte Carlo method in order to assess the risk of a temporary bridge construction project and estimate the average NPV value. The expediency of applying the method of simulation modeling in the analysis of risks of projects for the construction of temporary bridges is substantiated, first of all, due to a rather high degree of their uncertainty. Keywords: Investment · Construction · Investment project · Risk · Uncertainty · Random variable · Project life cycle · Modeling · Monte Carlo method · Net present value (NPV)
1 Introduction The construction industry is becoming increasingly important in the Russian economy. According to the strategy for the development of the construction industry until 2030, the goal of all its tasks is to develop a competitive construction industry based on competencies and focused on ensuring the comfort and safety of citizens. The main principles of the strategy relevant to the researched topic should be attributed to: – digitalization: expanding the use of information modeling technologies at all stages of the life cycle of a capital construction facility,
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 754–761, 2022. https://doi.org/10.1007/978-3-030-96380-4_82
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– reliable statistics: decision-making based on the main parameters of activities in the construction industry, which are reliable and mostly automatically collected, allowing you to build predictive models. Only reliable data will make it possible to form adequate cash flow models corresponding to the stages of development of an investment project. In addition, modern digital formats, tools and models should be used that provide the most accurate estimates of investment performance, taking into account the risk and uncertainty of the project parameters. Currently simulation methods allow to provide more accurate realizations of cash flow models within the framework of the factors under study and also to perform a larger number of scenarios [1–7]. This method should include the Monte Carlo method. The purpose of the study is to justify the effectiveness of the Monte Carlo method when taking into account the risk factors for the construction of a temporary bridge and assessing the average value of the net present value (NPV). Research Objectives: 1. Analyze the essence of simulation modeling using the Monte Carlo method, identifying the advantages of its use for evaluating projects related to road construction. 2. Determine the list of risk factors for the implementation of the temporary bridge construction project. 3. Conduct a numerical experiment confirming the validity of the application of the method and estimate the average value of NPV. The practical value of this work lies in the possibility of using the Monte Carlo simulation method when preparing a feasibility study and determining budgets for the construction of temporary bridges [1–7].
2 Materials and Methods The main purpose of evaluating an investment project is to collect and present information necessary to justify the feasibility of implementing the project. The traditional criterion for determining the financial performance of enterprises, assessing the value of companies and choosing investment projects is the indicator of the net present value (NPV). But this indicator is that it does not take into account the likelihood of future events, that is, the associated risks. In this connection, for a comprehensive assessment of an investment project, a quantitative assessment of the risk is required associated with changes in events that entail a change in the main indicators of the project [1–7]. This study will focus on the assessment of the commercial viability of projects, which includes: financial assessment based on accounting data (statement of financial results, balance sheet, and cash flow statement), economic assessment of investment efficiency using static (NI, PP) and dynamic methods (NPV, IRR, DPP and others).
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In the course of the research, methods of description, comparison, generalization, analysis and synthesis of the above were used, as well as methods of measurement and formalization. Particular attention was paid to the use of the Monte Carlo method. As part of the study, the Monte Carlo simulation method was implemented on the basis of Microsoft Excel (Monte Carlo S. Varyukhin add-on), as well as using the AltInvest software product. It must be said that in fact the Alt-Invest program was created on the basis of Excel and is the most advanced program among its kind. Its advantage lies in the fact that this program is constantly updated taking into account modern market requirements. A big plus is the possibility of using the Alt-Invest program to draw up business plans provided for obtaining the status of residents of TASED (Territory of advanced socio-economic development), special economic zones and technology parks sent to the Industrial Development Fund and other funds. Also of great importance is the ability to purchase software products of various functions. For example, in Alt-Invest Summ, you can add several projects at the same time and summarize their indicators [8, 9]. Developers focus on large buyers, so the program sales package starts from 5 jobs. The cost of such a program package of the Alt-Invest Summ version at the end of 2020 amounted to 165 thousand RUR (Russian rubles). Outwardly, Alt-Invest looks the same as other Excel-based models, with sheets for inputting initial data and outputting the resulting reports, indicators, charts and graphs. We took the following information as the initial data of the numerical experiment: – it is necessary to assess the commercial efficiency of the construction of a temporary bridge, erected for three years for the period of reconstruction of the large bridge crossing; – the estimated cost of the construction of the temporary bridge is 200 million RUR (Russian rubles); – the projected temporary bridge is supposed to be operated on a commercial basis. In this case, the estimated income from the collection of tolls, according to the calculations performed, is: in the first year of its operation – 120, in the second – 145, in the third - 160 million RUR (Russian rubles). Inflation is expected to grow at an annual rate of 6% over the useful life under consideration. To account for discounting, the following rates of return on capital are set: the rate for equity capital - 12%, for borrowed capital - 15%. A risk factor is understood as a potentially possible adverse change in any parameter or in certain conditions for the implementation of the project under consideration. Determination of such changes is the most difficult in the procedure for modeling risk factors for road projects, since at present there are no systematized data on their possible boundaries. In this regard, when solving this problem, only an expert approach can be used. An essential prerequisite for its application in this case is, in fact, the very existence of the baseline scenario of the conditions for the implementation of the project, developed on the basis of a moderately pessimistic assessment of its parameters. It is logical to assume that since such a scenario exists, then obviously the designers assume and, therefore, can establish and extreme estimates of each parameter of the road project: optimistic and pessimistic. In this methodology, it is advisable to proceed from the following expert
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ratios of the extreme (limiting) estimates of the parameters of the construction of a temporary bridge in comparison with the moderately pessimistic one: the optimistic assessment differs from the moderately pessimistic by 40% in the direction of favorable conditions for the project implementation, and the pessimistic assessment differs from the moderately pessimistic by 30% towards unfavorable conditions for its implementation. The simulation method (the Monte Carlo method) provides for the construction of a probabilistic model of the integral effect from the risk factors of the investment project that determine its value. The values of the risk factors for each simulation experiment are randomly selected based on the generation of random numbers within the specified limits of their variation. The results of all simulation experiments are combined into one sample and analyzed using statistical methods in order to obtain the probability distribution of the integral effect and assess the degree of riskiness of the project. The expediency of using the simulation method in analyzing the risks of projects for the construction of temporary bridges is due, first of all, to a rather high degree of their uncertainty. In addition, this method has a number of other advantages, since when using it [8, 9]: 1. the degree of correlations between different risk factors is checked, 2. the interval uncertainty of their main parameters inherent in the projects under consideration is taken into account, since the resulting indicators and, in particular, the value of the integral effect are modeled in a given range of possible changes in risk factors, 3. the probabilistic uncertainty inherent in individual risk factors is taken into account by selecting a statistical or expert way of the probabilistic law of their distribution, 4. a high representativeness of the modeling results is ensured, which is achieved by “playing” an arbitrarily large number of random scenarios of the conditions for the implementation of road projects. It seems expedient to carry out simulation modeling of risk factors for road projects in the following sequence. First, for each risk factor, which is a random variable, the type of distribution is established. When solving this problem, one should proceed from the hypothesis put forward by many specialists about the normal distribution of the main key economic variables in simulation models. Then, using a random number generator and using a computer model, simulation experiments are carried out, each of which is a random scenario for the implementation of the project. There should be enough such scenarios to ensure sufficient representativeness of their sample in relation to possible combinations of risk factors. To ensure this representativeness, at least 200 experiments are required. In the process of conducting simulation modeling, the analysis of correlations between risk factors is carried out. Its task is to confirm the hypothesis put forward about the independence of the probability distribution of the main parameters of the road project and, therefore, about the legitimacy of using the normal distribution law of their values [8, 9].
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3 Analysis of the Results On the basis of practical results, it was proved that the use of such a handy and accessible tool as the “Monte Carlo Simulation” add-on provides the following possibilities: implementation of the collection and processing of information in the MS Excel book in statistical modeling using the Monte Carlo method; issuing the result in numerical and graphical form on a separate sheet of the Excel workbook; the ability to use the most common random number generators [10–15]. During our study, to estimate the average NPV (net present value) by the Monte Carlo method, 3 uncertainties are taken into account: the average traffic volume in 2021, 2022, 2023 (January). With the help of special programs (Alt-Invest, Microsoft Excel) or add-ons (the Add-in in Excel “Pseudo-random number sensor”, S. E.Varyukhin was adopted), we take into account not deterministic values in the cash flow model, but set it by the normal distribution function. Table 1 shows the main parameters of the normal distribution of traffic intensity for January 2021, 2022, 2023. Table 1. Parameters of the normal distribution of traffic intensity. Target cell (“sales” – traffic volume)
Distribution parameters (vehicles per month)
January 2021
= fmc_Normal (44720;100)
January 2022
= fmc_Normal (46040;100)
January 2023
= fmc_Normal (47420;100)
Modeling with a pseudo-random number generator, the net present value NPV 100.000 times, the results are presented graphically in the form of a probability density (Fig. 1).
0.7% 0.6% 0.5% 0.4% 0.3% 0.2% 0.1% 0.0% 74800 74867.5 74935 75002.5 75070 75137.5 75205 75272.5 75340 75407.5 75475 75542.5 75610 75677.5 75745 75812.5 75880 75947.5 76015 76082.5 76150 76217.5 76285 76352.5 76420 76487.5 76555 76622.5 76690 76757.5 76825 76892.5 76960 77027.5 77095 77162.5 77230 77297.5 77365 77432.5 77500
Probability, %
0.8%
Net present value (NPV), thousand rubles
Fig. 1. Probability density of NPV distribution.
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Next, let’s move on to assessing the effectiveness of the investment project as a whole for the road organization, taking into account borrowed funds and without taking into account borrowed funds (Table 2). The calculation of deterministic indicators of the efficiency of the investment project as a whole for the road organization was carried out using the Alt-Invest program without taking into account borrowed funds and taking into account borrowed funds. As the initial data, the values of the traffic intensity and the amount of the toll on the temporary bridge, as well as the amount of investments required for the construction of the bridge, were set. Based on this information, a model of cash flows of costs and benefits is built. Figure 2 shows a graphical interpretation of the research results obtained using the Excel add-in. 100% 90%
Distribution function (NPV)
80%
Expected value (NPV)
Probability, %
70% 60% 50% 40% 30%
Deterministic estimation of NPV in general (NPV) Deterministic valuation for a company (NPV) Distribution function for the company (NPV))
20% 10% 0% 58000 60000 62000 64000 66000 68000 70000 72000 74000 76000 Net present value (NPV), thousand rubles
Fig. 2. The NPV distribution function in comparison with the deterministic estimate for the project as a whole and for the road company, taking into account the loan.
To take into account the influence of borrowed funds on the efficiency of the project, it was supposed to take a loan from a commercial bank, which, after agreeing on the project with this bank, can be provided on the following conditions: 1. loan term - 3 years, 2. the real interest rate on the loan - 14%, 3. conditions for repayment of the loan - in equal installments within three years.
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Table 2. Indicators of the effectiveness of investment project (IP) as a whole for the road organization. Performance indicators
Non-leveraged value
Leveraged value
Unit measure
Net present value, NPV
76 680
59 873
Thouand RUR
Internal rate of return, IRR
39.9%
51.8%
%
Discounted payback period, PBP
2.3
2.2
Years
Simple payback period
2.0
1.9
Years
Modified IRR, MIRR
24.2%
25.3%
%
Rate of return of discounted costs (PI)
1.4
1.4
Times
The results of the study are presented in Table 3. Table 3. Assessment results. Method’s name
Result
NPV value, thousand RUR
Deviation, thousand RUR
Error dp = (1/(100000ˆ0.5))*Expected value, thousand RUR
For the project as a whole Deterministic estimate
Point value
76680
–
–
The Monte Carlo method
Distribution function
76101
305
241
For a participant, taking into account borrowed funds Deterministic estimate
Point value
59873
–
–
The Monte Carlo method
Distribution function
59356
310
188
Thus, as a result of the study, the simulation method (the Monte Carlo method) made it possible to build a probabilistic model of the integral effect from the risk factors of the investment project that determine its value.
References 1. Benin, A., Konkov, A., Kavkazskiy, V., Novikov, A., Vatin, N.: Evaluation of deformations of foundation pit structures and surrounding buildings during the construction of the second scene of the state academic mariinsky theatre in Saint-petersburg considering stage-by-stage nature of construction process. Procedia Eng. 165, 1483–1489 (2016). https://doi.org/10.1016/ j.proeng.2016.11.883
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2. Benin, A., Nesterova, O., Uzdin, A., Prokopovich, S., Rutman, Y., Guan, Y.: On estimating the reduction factor of bridge piers. E3S Web Conf. 157, 06012 (2020). https://doi.org/10. 1051/e3sconf/202015706012 3. Chizhov, S., Pismak, A., Antonyuk, A.: The stability of the wall of the main beam of the movable bridge (application of SP method). E3S Web Conf. 157, 06014 (2020). https://doi. org/10.1051/e3sconf/202015706014 4. Diachenko, L., Benin, A.: Justification of the bridge span vertical stiffness on high-speed railways. E3S Web Conf. 135, 03065 (2019). https://doi.org/10.1051/e3sconf/201913503065 5. Diachenko, L., Benin, A., Diachenko, A.: Research of interaction of the “train-bridge” system with bridge deck resonant vibrations. MATEC Web Conf. 239, 05002 (2018). https://doi.org/ 10.1051/matecconf/201823905002 6. Golikova, U.A., Voronova, S.P., Narkevskaya, T.V., Shaikina, L.K.: The construction materials actual cost accounting issues in terms of the estimated and regulatory framework reforming. IOP Conf. Ser. Mater. Sci. Eng. 698(7), 077032 (2019). https://doi.org/10.1088/1757-899X/ 698/7/077032 7. Diachenko, L., Benin, A., Diachenko, A.: Design of dynamic parameters for simple beam bridges on high-speed railways. IOP Conf. Ser. Mater. Sci. Eng. 463, 022048 (2018). https:// doi.org/10.1088/1757-899X/463/2/022048 8. Kazaku, E.V., Zvereva, E.V., Tsarionova, J.V.: The transport construction investment project effectiveness assessment by Monte Carlo method. IOP Conf. Ser. Mater. Sci. Eng. 913(5), 052006 (2020). https://doi.org/10.1088/1757-899X/913/5/052006 9. Kolankov, S.V., Voronova, S.P., Golikova, U.A.: Development of methods of assessing the land market value. Mater. Sci. Forum 931, 1137–1141 (2018). https://doi.org/10.4028/www. scientific.net/MSF.931.1137 10. Ledyaev, A., Kavkazskiy, V., Grafov, D., Soloviev, D., Benin, A.: An assessment of the sewer tunnel stress-strain behavior during the reconstruction of an object of cultural heritage. E3S Web Conf. 157, 02008 (2020). https://doi.org/10.1051/e3sconf/202015702008 11. Maleeva, T., Selyutina, L., Frolova, N.: Use of modern technology of information modeling in capital construction object life cycle management. IOP Conf. Ser. Mater. Sci. Eng. 687(4), 044002 (2019). https://doi.org/10.1088/1757-899X/687/4/044002 12. Pesotskaya, E.V., Selyutina, L.G., Egorova, O.A.: Application of the engineering forecasting method in managing the competitiveness of a construction company. IOP Conf. Ser. Mater. Sci. Eng. 698(7), 077029 (2019). https://doi.org/10.1088/1757-899X/698/7/077029 13. Selyutina, L., Pesotskaya, E., Rybnov, E., Sitdikov, S.: Risks accounting when building a management system for innovative and investment processes in construction. E3S Web Conf. 217, 11010 (2020). https://doi.org/10.1051/e3sconf/202021711010 14. Shestakova, E., Malshchukova, N., Chizhov, S.: Building information modeling concept in bridge construction. E3S Web Conf. 157, 06019 (2020). https://doi.org/10.1051/e3sconf/202 015706019 15. Shavshukov, V.M., Zhuravleva, N.A.: Global economy: new risks and leadership problems. Int. J. Finan. Stud. 8(1), 7 (2020)
Comprehensive Operations Planning and Estimates of Unplanned Costs from Rail Freight Traffic Evgenia Maksimova(B)
and Nataliya Klycheva
Russian University of Transport (RUT (MIIT), Obraztsova Street, 9, 127994 Moscow, Russia
Abstract. Recently, there has been an increasing interest in comprehensive core business revenue management and rail freight planning. In the existing economic situation, companies of the transport and logistics sector find it increasingly difficult to remain customer-oriented and to restrain the growing tariffs for their services. An effective management of production business processes is impossible without using innovative methods for making management decisions. This paper provides a description of certain issues in operational planning of transportation operations and revenue management. Based on the analysis of production process operations as part of the transportation process management in railway transport, the problems of developing and implementing effective management decision support systems, we have proposed a production planning methodology and model for assessing the probability of risks of violating the time of delivering goods and empty cars when sending them along a circuitous route. The research results complement the methodological developments in a comprehensive approach that combines business processes and production resource management. They are in demand by the managers of transport companies, development and strategic planners, and analysts. Keywords: Risks · Delivery time · Circuitous route · Planning of production operations · Operational difficulties · Penalties
1 Introduction Transportation is an important sector of the national economy, which ensures the social and economic balance of all other industries. Freight transport is one of the most important activities both in terms of the significance of its share in the gross national product, and in its growing influence on the performance of all other economy sectors [1]. Several researchers assess the impact of the railway tariffs on the sustainable development of territories according to some indicators, such as the human development index [2], characterizing the population’s standard of living in different countries and regions. Over time, competition has developed to such an extent that the market and other modes of transport have started dominating the policy in the railway industry. For instance, in the Unites States, the Staggers Railroad Act 1980 (Staggers 1980) gave more freedom to railway companies, whereas competition started playing a significant regulatory role in respect © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 762–771, 2022. https://doi.org/10.1007/978-3-030-96380-4_83
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of tariffs set for the carriage of goods. In response to this market pressure, rail carriers had to review their business processes and pricing policies to remain competitive [3]. Surely, the pandemic has made its adjustments to the development of all economy sectors. The Organization for Economic Cooperation and Development warned that it would take many years for the world to recover from the coronavirus pandemic, and the economic shock already outweighs the financial crisis. Countries’ GDP is forecast to decrease from 15 to 34% due to quarantine. Countries with a high share of the mining industries, such as Saudi Arabia, are expected to be the least affected, whereas the hardest affected countries will be economies with a high proportion of tourism. In Russia, the fall may be 22–23%. Each month of complete quarantine “costs” about two percentage points of the GDP [4]. The 2020 crisis had a significant impact on rail transport in both freight and passenger traffic. The reason is that the transport system is a link between various sectors of the economy, providing support for the functioning of manufacturing companies, business activity, and the population’s standard of living. In the first half of 2020, there was a drop in freight turnover by 4.5% against the same period in 2019, which was aggravated by the shutdown of large production facilities worldwide and, as a result, an additional decrease in the exports of raw materials. Such a decrease in the performance of railway transport affected the interests of all stakeholders of the transportation process, including the government. In just 5 months of 2021, 1387.2 thousand shipments arrived at the destination station, of which 1327.7 thousand arrived on time. The reliability of delivery is 96.3%, with a decrease of 2.5% points by 2020. According to the statistical reports of JSC “Russian Railways”, the reliability of delivery of empty cars is 95.2% with a decrease by 3.2% points by 2020, the reliability of cargo delivery is 97.4 with a decrease by 1.8% points by 2020. In this regard, special attention is focused on improving the cargo delivery reliability and empty cars. The key factors to improve reliability are optimizing the production processes and reducing the costs of the core production activity; ensuring a well-coordinated interconnected planning of loading, its depth and clarity, based on the station resources in terms of processing capacity, cooperation of all stakeholders of the transportation process on the issues of selecting rational logistics patterns for the delivery of goods. The imbalance between transport demand and supply is reflected in the fact that, at any given time, there are railway stations with an excess of cars of a certain type, whereas some other stations show a lack of adequate rolling stock. As a result, vehicles must be moved empty (or additional accompanying goods must be found) to meet the demand for transport services. The movement of empty rolling stock has a direct impact on the company’s core production activities. The distribution of empty car traffic is a central component of the planning and operations of many transport companies, especially in the rail sector. Currently, several organizational and technical measures are being taken, aimed at fulfilling contractual obligations and ensuring timely delivery, and work is underway to reduce the risks of unreasonable claims for violating delivery times.
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2 Review of Studies Every day railway carriers have to make many operational decisions based on the current operational situation. The lack of reliable and timely information, a large number of process operations, and the complexity of their forecasting have limited introducing modern techniques and methods intended to create effective management decision support systems. Individual process operations as part of the transportation process management in railway transport have been widely studied in the literature on operations; the main results are presented in the following papers: [5–8]. A significant contribution to the research of the railway operations management was made by the authors of [9]; in their studies, they consider the problems of freight traffic routing, train movement planning, distribution of sorting operations between railway network stations. The paper suggests a heuristic method to minimize operational costs and delays. Haghani [10] studied the management of loaded and empty cars and train flows, as well as the model for distributing empty cars. The problem is presented as a multidimensional network in time and space, which leads to a large-scale mixed integer programming problem with a nonlinear objective function and linear constraints. In the last decade, the main focus has been on improving the transport system efficiency, taking into account the development and introduction of digital technology [11, 12]. Revenue management issues in planning rail traffic are of great importance today due to increasing competition. Armstrong and Meissner [13] have provided a broad overview of studies on rail revenue management for both freight and passenger traffic. For most companies, their access to a reliable transportation system is a key element when choosing a carrier. In turn, the carrier seeks to improve the reliability of delivery of goods and empty cars through better management of operational activities in combination with adequate demand management policies in order to maximize profits. The flexibility and adaptability of a transportation regulation method determines both the operating costs of the transportation process management and possible additional costs (risks) [14]. In their efforts to integrate revenue management and transportation planning, companies are more and more interested in integrated management tools, existing production resources, and decision support systems [15]. However, rail revenue management is mainly applied in the context of passenger traffic. In the field of rail freight, operations management has been reviewed by Harker and Hong [16]. There is a description of the pricing problem for providing schedule threads, where various companies compete for access to a convenient train schedule. Later papers [17, 18] studied the pricing procedure and planning of process operations in the management of intermodal transport services. Integrating the pricing procedure into the general decision-making process has become a trend in the provision of freight transport services. This is a market environment [19] where the use of a revenue management process is likely to be beneficial. Therefore, the analysis of a comprehensive approach that combines business processes and production resource management is an interesting research perspective in an effort to explore the relationship between operational planning and revenue generation from transportation activities.
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3 Materials and Research Methods Russia uses the railway infrastructure much more intensively than many countries; its specific cargo turnover is comparable only with the Chinese one and exceeds more than twice the American figures. The main ways to increase the traffic volume include an increase in infrastructure throughput capacity, a constant optimization of production processes to improve the reliability and speed of delivery of goods and empty cars, as well as reducing the transportation cost. The Long-Term Development Program of JSCo “RZD” until 2025, developed and approved in line the General Scheme for the Development of the Railway Network, sets a number of global tasks to improve the public infrastructure in the territory of the Russian Federation. An innovative and wellbalanced infrastructure development is the basis for a long-term effective social and economic development and growth of other sectors of the national economy. With the development of simulation techniques, many industries have streamlined their business processes by launching more efficient business management. However, the transportation process in railway transport consists of complex interconnected elements, such as planning, organizing, and movement of freight, car, and train flows; routing of loaded and empty cars; management of train and cargo operations; traction resource management; management and methods of operations at stations and railway junctions; organization of local activities on public and non-public railway tracks; technical regulation and dispatching management of operational activities, etc. Inconsistency of available resources with the required transportation of goods and empty cars, difficulties in describing the entire range of processes for individual process operations make it difficult to optimize business processes. The railway industry is characterized by clients with different levels of needs and capabilities, as well as different perceptions of the services offered (e.g., sensitivity to tariffs or delivery reliability) [20]. In addition, freight transport should adapt to new customer needs, political, social and economic conditions and trends. Rail transport offers the most flexibility in terms of throughput capacity utilization and delivery speed than other modes of transport. Transportation planning improves the service reliability from the customer’s point of view, but imposes new constraints on the carrier. As stated above, the transportation process management in railway transport is based on the planning of production operations. However, even a slight deviation from the adopted rational method for managing the transportation process can cause a significant chain reaction. As a result, there are severe operational difficulties, the consequences of which, in most cases, are extended in time and lead to significant financial losses for all stakeholders of the transportation process. Improper management of the transportation process creates the risks of reducing the freight car fleet management efficiency and an unproductive occupation of the throughput and processing capacities of the railway infrastructure, which, in turn, leads to violations of delivery times. This paper discusses the risk of violating the delivery time of goods and empty cars when cars are routed along a circuitous route in case of infrastructure restrictions. According to the Charter of the Railway Transport of the Russian Federation, “the fee for the carriage of goods is charged for the shortest distance over which the goods are transported, including in the case of an increase in the distance over which they
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are transported, for reasons depending on the infrastructure owner and the carrier.“ The movement of empty freight cars is carried out at the expense of the rolling stock owners; the amount of fee for such movement is determined in accordance with the amount of fee for transportation. The Rules for Calculating Delivery Times of Goods and Empty Freight Cars by Rail consider the delivery of goods to be completed on time, if the carrier ensured the unloading of goods on public tracks or the supply of cars on a non-public track for unloading; for empty cars, if a car has arrived at the station and can be supplied for loading before the expiration of the established period. For late delivery of goods or empty freight cars or containers not owned by the carrier, the carrier shall pay a penalty in the amount of 6% of the fee for the carriage of goods and empty freight cars, for every day of delay, but not more than 50% of the fee for transportation of such goods and empty freight car, unless it proves that the delay was due to force majeure circumstances. The estimated number of days of violating the delivery time can be determined using the following the formula: reg
act − Tdel Tdel = Tdel
where reg Tdel is the regulatory freight delivery time; act is the actual freight delivery time. Tdel According to the Rules for Calculating Delivery Times of Goods and Empty Freight Cars by Rail, the regulatory time for the delivery of goods and empty cars, except for the carriage of animals, shall be calculated on the basis of the standard period of 550 km per day, regardless of the transportation distance, and shall be determined using the following formula: reg
Tdel =
L + tadd + tk Vc
where L is the distance from departure station to destination station; Vc is the daily mileage of cars; tadd is the duration of additional operations along the route; tk is the time to complete operations related to arrival. The delivery times, calculated on the basis of the daily mileage provided for by the Rules, shall be increased by two days for operations related to the departure and arrival of goods and empty cars. The actual delivery time for goods and empty cars is determined using the following formula: act = tdep + tmov + tserv + tdest Tdel where tdep is the duration of stay at the departure station; tmov is the duration of the car travel;
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tserv is the duration of stay at service stations; tdest is the duration of stay at the destination station. dep
tdep = tacc + tsh + tdep where tacc is the duration of demurrage for accumulation; dep tsh is the duration of shunting operations at the departure station, hours (taken at the rate of 0.052 h per car); tdep is the duration of departure operations;
tmov =
Li Vseci
where Li is the distance of the ith section; Vseci is the section speed on the corresponding section, km/h. The calculations are based on the average section speed on the railway network. npr pr ttr + ttr tserv = where npr ttrpr is the duration of stay at service stations without processing; ttr is the duration of stay at service stations with processing; npr loc loc crew crew · tch + Kch · tch ttr = K M /CI · t M /CI + Kch loc , K crew are the numbers of service stations for maintenance (M)/commercial K M /CI , Kch ch inspection (CI), change of locomotives, and change of locomotive crews, respectively; loc , t crew are the duration of stay at service stations for M/CI, change of t M /CI , tch ch locomotives, and change of locomotive crews, respectively. According to average network data, the guaranteed travel section for cars is 1.500 km; the distance between locomotive change stations is 1.054 km; the distance between crew change stations is 350 km. Taking into account that M/CI and the change of the locomotive crew are performed at the locomotive change stations, the expression will be is follows: npr loc loc crew loc crew ttr = Kch · tch + (Kch − Kch ) · tch
pr
ttr = Kpr · tpr
where Kpr is the number of processing operations along the route from the departure station to the destination station (determined based on the average mileage of a transit car per processing operation); tpr is the duration of stay at a service station with processing. dest tdest = tarr + tsh
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where tarr is the duration of operations upon arrival. dest is the duration of shunting operations at the destination station. tsh
4 Analysis of Results Based on the described methodology, we have developed a model for assessing the probability of risks of violating the delivery time of goods and empty cars when they are routed along a circuitous route. When carrying out the analysis, we have taken as a basis the initial transportation distance and deviation from the same with a pitch of 50 km. The calculated indicators have been adopted on the basis of the JSCo “RZD” approved internal forms of statistical reporting. The calculation results are shown in Table 1 and Fig. 1. Table 1. Probability of violating the delivery time when sending them along a circuitous route. Circuitous route, km
50
100
150
200
Probability of 0 violating the delivery time, %
0
0
10.53 15.79 26.32 31.58 36.84 42.11 47.37
Probability of 0 violating the delivery time by 1 day, %
0
0
10.53 15.79 26.32 31.58 36.84 42.11 47.37
Probability of 0 violating the delivery time by 2 days, %
0
0
0
0
0
0
0
0
0
Circuitous route, km
600
650
700
750
800
850
900
950
1000
550
250
300
350
400
450
Probability of 47.37 47.37 52.63 63.16 68.42 78.95 84.21 94.74 100 violating the delivery time, %
500
100
Probability of 47.37 47.37 52.63 52.63 52.63 52.63 52.63 57.89 57.89 52.63 violating the delivery time by 1 day, % Probability of 0 violating the delivery time by 2 days, %
0
0
10.53 15.79 26.32 31.58 36.84 42.11 47.37
As you can see from the diagrams, the delivery time of goods and empty car is violated by one day, when cars deviate by more than 150 km from their original route; by two
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days, when they deviate by more 650 km from their original route. Since a deviation from the original route by more than 650 km is a rather rare occurrence, we can talk about the risk of payment by the carrier of a penalty in the amount of 6% of the fee for the freight transport services. Using the above methodology, we can determine the probability of violation by the carrier of its contractual obligations related to the timely delivery of goods and empty cars in other cases of deviations from the adopted transportation process management method (e.g., a temporary withdrawal of freight trains from traffic; violation of process standards for the performance of cargo operations and production process terms of the cars turnover; a change in the car addressing method; a decrease in the throughput and processing capacity of stations due to an increase in the processing of cars, etc.). Probabili ty of violating the delivery time, %
100 90 80
Probability, %
70
Probabili ty of violating the delivery time by 1 day, %
60 50 40 30 20 10
950
1000
900
800
850
750
650
700
600
550
450
500
400
350
250
300
200
150
50
100
0
Probabili ty of violating the delivery time by 2 days, %
Circuitous route, km
Fig. 1. Probability of violating the delivery time of goods and empty cars when sending them along a circuitous route.
5 Conclusion The well-balanced use of infrastructure resources is the foundation for a long-term effective social and economic development and growth in traffic volumes. The suggested methodology, that integrates operational planning and management of income from core production activities, can be used to assess unscheduled expenses of JSCo “RZD” and
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losses due to failure to meet its transportation obligations. We can solve this problem through risk management: a comprehensive and systemic combination of legislative, regulatory, and legal frameworks, through coordination and management aimed at the rational use of available resources in the management of production activities.
References 1. Crainic, T.G., Laporte, G.: Planning models for freight transportation. Eur. J. Oper. Res. 97(3), 409–438 (1996). https://doi.org/10.1016/S0377-2217(96)00298-6 2. Egorov, Y., Zhuravleva, N., Poliak, M.: The level of railway rates as a factor of sustainable development of territories. E3S Web Conf. 208, 04010 (2020). https://doi.org/10.1051/e3s conf/202020804010 3. Wilson, W.W., Burton, M.L.: Handbook of Transportation Engineering. In: The Economics of Railroad Operations: Resurgence of a Declining Industry M. Kutz, pp. 34.1–34.3. McGrawHill (2003) 4. OECD: Organisation for Economic Co-operation and Development. Economic outlook (2020). https://www.oecd.org/economic-outlook 5. Assad, A.A.: Models of rail transportation. Transp. Res. Part A 14(3), 205–220 (1980) 6. Haghani, A.E.: Rail freight transportation: A review of recent optimization models for train routing and empty car distribution. J. Adv. Transp. 21(2), 147–172 (1987) 7. Cordeau, J.-F., Toth, P., Vigo, D.: A survey of optimization models for train routing and scheduling. Transp. Sci. 32(4), 380–404 (1998) 8. Newman, A.M., Nozick, L.K., Yano, C.A.: Optimization in the rail industry. In: Pardalos, P.M., Resende, M.G.C. Handbook of Applied Optimization, pp. 704–719. Oxford University Press (2002) 9. Crainic, T.G., Rousseau, J.-M.: Multicommodity, multimode freight transportation: a general modeling and algorithmic framework for the service network design problem. Transp. Res. Part B 20(3), 225–242 (1986) 10. Haghani, A.E.: Formulation and solution of a combined train routing and makeup, and empty car distribution model. Transp. Res. Part B 23(6), 433–452 (1989) 11. Kripak, M.N., Palkina, E.S., Seliverstov, Y.A.: Analytical support for effective functioning of intelligent. IOP Conf. Ser: Mater. Sci. Eng. 709, 033065 (2020). https://doi.org/10.1088/ 1757-899X/709/3/033065 12. Sirina, N., Yushkova, S.: Polygon principles for integrative digital rail infrastructure management. Transp. Res. Proc. 54, 208–219 (2021). https://doi.org/10.1016/j.trpro.2021. 02.066 13. Armstrong, A., Meissner, J.: Railway Revenue Management: Overview and Models. Working Paper, Lancaster University Management School (2010) 14. Prokofieva, E.: Review of research in cargo transportation reliability. E3S Web Conf. 157, 05008 (2020). https://doi.org/10.1051/e3sconf/202015705008 15. McGill, G.J., van Ryzin, G.J.: Revenue management: research overview and prospects. Transp. Sci. 33(2), 233–256 (1999). https://doi.org/10.1287/trsc.33.2.233 16. Harker, P.T., Hong, S.: Pricing of track in railroad operations: an internal market approach. Transp. Res. Part B 28(3), 197–212 (1994) 17. Gorman, M.F.: Estimation of an implied price elasticity of demand through current pricing practices. Appl. Econ. 37(9), 1027–1035 (2005) 18. Tayur, L.L.S.: Medium-term pricing and operations planning in intermodal transportation. Transp. Sci. 39(1), 73–86 (2005)
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19. Talluri, K.T., van Ryzin, G.J.: The Theory and Practice of Revenue Management. Springer (2005). https://doi.org/10.1007/b139000 20. Crevier, B., Cordeau, J.-F., Savard, G.: Integrated operations planning and revenue management for rail freight transportation. Trans. Res. Part B: Methodol. 46(1), 100–119 (2012). https://doi.org/10.1016/j.trb.2011.09.002
Calculation of Bridge Shapes in Liquid Metal Contacts Victor Garbaruk(B)
, Vladimir Rodin , and Mikhail Shvarts
Emperor Alexander I St. Petersburg State Transport University, Moskovskiy Avenue, 9, 190031 St. Petersburg, Russia [email protected]
Abstract. The article is devoted to the development of a mathematical model describing the operation processes of sealed contacts reed relay - seal switches with the liquid metal contact. One of the most important stages of operation in such devices is a contact breaking, i.e. transformation and destruction of the liquid metal bridge. The paper considers such a process in the first approximation for a two-dimensional model under the assumption of liquid volume constancy. The solution of the equation for the equilibrium liquid surface in this case is determined by three parameters - boundary conditions and the constraint equation displaying the bridge volume constancy. Six different cases of liquid contact with electrodes are considered. For each case, the solution of the equation is given with respect to the liquid metal bridge formant at the corresponding boundary conditions. The application area of the solutions is indicated. The solutions are presented as systems of transcendental equations with respect to wetting angles of contacting surfaces or coordinates where the bridge boundaries touch the contact planes, the surface curvature and the bridge volume. Keywords: Commutation switches · Seal switch · Liquid-metal contact
1 Introduction The use of sealed contacts reed relay - seal switches and in particular, seal switches with a liquid metal contact allows to improve the technical characteristics and to simplify the design of commutation seal switches in a number of cases. Possible areas of application, advantages and disadvantages, comparison with unsealed contacts are presented in the works [1–5]. Although new composite coatings and materials [6] and microprocessor systems [7] are increasingly used in switching devices, seal switches are still used in railway automation systems. In the rail circuit scheme for instance the relay using a mercury wetted contact is successfully operated. Such a contact is used to increase the relay service life when commutation of significant currents. Empirical study of the seal contact involves certain difficulties due to the small volume of the contact liquid, the mercury use and the work cost. Mathematical description for formation and transformation of the liquid metal contact makes it possible to design equipment with given technical characteristics [8]. Significant theoretical studies are devoted to the mathematical description about the shape of a droplet lying on a solid perfectly smooth or rough surface [9, 10], © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 772–780, 2022. https://doi.org/10.1007/978-3-030-96380-4_84
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or a hanging droplet [11, 12]. Changes in the wetting angle at the boundary of different environments at different temperature regimes have been investigated in articles [13, 14].
2 Model of the Liquid Metal Bridge For seal switches with a liquid metal contact, it is important to describe the shape and transformation of the liquid metal bridge. The mercury bridge, which shape has a significant influence on the activation of the commutation element closes the electrical circuit. Considering that the volume of the interfacial liquid is maintained constant throughout the life cycle of a device, consider the two-dimensional problem of determining the shape of the liquid metal bridge. In the considered model (Fig. 1), the z-axis is directed vertically upwards and passes through the middle cross section of the electrodes; the x-axis is aligned with the end of the bottom electrode. The bridge generatix is shown by the equation of the equilibrium liquid surface, which in this case takes the form: z
ρg z = λ. + 3/2 σ 1 + (z )2
(1)
where ρ is a liquid density, g is a gravity acceleration, λ is a generatrix flexure of the bridge, σ is a capillarity constant (surface tension measure). dy dz = y, z = dy Assume b = ρg/σ, z = dx dx = dz y. Then
dy dz y
1 + y2
3 = −bz + λ
Or d (1 + y2 ) 3 = (−bz + λ)dz. 2 1 + y2 Integrating both parts of the equality and denoting f (z, λ, C1 ) =
bz 2 − λz + C1 , 2
(2)
we obtain the (1 + y2 )−1/2 = f (z), resulting in y2 = f 21(z) − 1. The solution of the equilibrium liquid surface equation is as follows: f (z, λ, C1 )dz + C2 . (3) x= 1 − (f (z, λ, C1 ))2
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z 2l
h
0
1
х 2r
Fig. 1. Liquid contact along the rib of the upper electrode.
Assuming that the wetting angle for the bridge is close to straight θ ≈ π2 and the distance z between the electrodes is small, it can be approximated that f 2 (z) 0.5) and the value of the outsourcing feasibility index I > 0.5. It is quite obvious that in this case, performing works on washing and steaming tanks on our own already provides both a high level of their quality and a high level of the company competitiveness. The most appropriate strategy would be an insourcing strategy. The fourth field corresponds to a situation in which work on washing and steaming tanks is performed on its own at a sufficiently quality high level (I > 0.5), however, the
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overall level of the company competitiveness is not high (K < 0.5). In this case, as well as in the second, it is necessary to compare two alternative options: outsourcing and insourcing, but the comparison is carried out in terms of competitiveness. The option of outsourcing the washing and steaming of tanks to outsourcing can be chosen if this does not lead to a decrease in the outsourcing expediency index and at the same time increases the competitiveness indicator in general. To assess the works on tanks’ washing and steaming, a system of normative indicators is being formed, which will allow determining the quality level of the services provided and the cost for the selected business process, both by the outsourcer and by the enterprise itself. The decision to outsource the washing and steaming of tanks is based on the calculation of the integral quality level of outsourcing / insourcing choice. At the first stage, a set of indicators to assess the quality and cost of performing works on washing and steaming tanks is formed. Further, two normative and actual values are determined for each quality indicator of the transferred function: Fmin n – the minimum acceptable value of the indicator for the satisfactory performance of works on tanks’ washing and steaming; – the maximum value of the indicator that meets the best standards for the Fmax n performance of the given work. Fact n – the actual value of the n-th indicator of the work performance quality. Next, it is necessary to calculate the actual level of work quality on washing and steaming tanks, by the internal division of the enterprise and by the outsourcer by determining the corresponding index for each indicator: Ik =
min Fact n − Fn , max Fn − Fmin n
(1)
where Ik is an index of change in the actual value of the indicator Fn compared to the standard value; Fnact is the actual value n-th indicator of the quality of the work under consideration. Using index indicators, the values of which are enclosed in the interval [0; 1] makes it possible to compare various qualitative characteristics of work and form an integral indicator of the feasibility level of outsourcing / insourcing. The integral indicator of the feasibility level is determined both for the outsourcer and for the company’s own division. It can take the values from 0 to 1. The value of the indicator, which is closer to one, corresponds to the most acceptable option for performing this work. If the selected number of indicators are compared without taking into account the importance of each of them for a particular company, then the assessment will be incomplete. For a more correct assessment of each parameter of the considered indicator, it is necessary to take into account the degree of its importance by calculating the weight coefficient. The integral indicator of the feasibility level of outsourcing/insourcing is calculated for each of two alternative options for performing the function: insourcing or outsourcing. The option for which the values of the integral index are greater is the most preferable for the organization.
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Next, it is necessary to draw the preliminary conclusions about the advisability of outsourcing the washing and steaming of tanks, taking into account the level of the company’s competitiveness. The final conclusions about the feasibility of outsourcing the washing and steaming of tanks should be made taking into account the economic effect determination from the use of outsourcing. The economic effect from the use of outsourcing is provided if the costs of the rolling stock operator associated with the transfer of works on washing and steaming of tanks to outsourcing are lower than the costs of performing these types of works on their own. When transferring work to outsourcing, the following condition must be met: Cout + Cliq < Ccom · β
(2)
where Cout defines the rolling stock operator costs for the outsourcer services’ payment; Cliq determines the rolling stock operator costs for staff reduction, production liquidation, etc.; Ccom defines the rolling stock operator costs for performing work on its own; β is a reduction factor characterizing the cost optimization of the rolling stock operator as a result of outsourcing.
3 Results The study of this article was the analysis of the ways to minimize the railway rolling stock operators costs, using the methodology for assessing the outsourcing effectiveness. The conditions for making a decision to use the strategy are described. A methodology for assessing the feasibility of transferring works on washing and steaming of tanks to outsourcing has been developed. The methodology for calculating the integral level of feasibility is based on a comparative assessment of the most significant characteristics of the business processes’ performance for two options: – execution of works on tanks’ washing and steaming by a division of the enterprise; – outsourcing of tanks’ cleaning and steaming. Evaluation of the feasibility of outsourcing the tank washing and steaming operations to organizations can be carried out according to the following algorithm (Fig. 4). An integral indicator of the outsourcing expediency level is derived, taking into account the weight coefficient calculation. A calculation formula for the effectiveness of outsourcing in mainline transport has been established.
Methodology for Assessing the Effectiveness of Outsourcing
1. Creating a set of indicators
851
to assess the quality and cost of work;
2. Determination of normative and actual values of indicators
3. Calculation of the actual level of quality of work performance
;
4. Calculation of the integral indicator of the feasibility of outsourcing/ insourcing;
5. Making a decision on choosing an outsourcing/insourcing strategy.
Fig. 4. The main stages of assessing the feasibility of transferring work to outsourcing.
4 Conclusions The events of recent months have shown that the production and transportation of oil and oil products is subject to serious fluctuations in demand, which is confirmed by statistical data. In this regard, it becomes urgent to search for the solutions to reduce the transport component in the price of oil and oil products. Cost minimization of the operator’s company is possible, including when using outsourcing in the production of auxiliary operations. The developed methodology for the integral indicator of outsourcing search will make it possible to assess the quality of services, the level of the company competitiveness and reduce the costs of the enterprise. Thus, the enterprise cost function minimization can be achieved.
References 1. Aslam, J., Saleem, A., Khan, N.T., Kim, Y.B.: Factors influencing blockchain adoption in supply chain management practices: a study based on the oil industry. J. Innov. Knowl. 6(2), 124–134 (2021). https://doi.org/10.1016/j.jik.2021.01.002 2. Abboud, A., Betz, M.R.: The local economic impacts of the oil and gas industry: boom, bust and resilience to shocks. Energy Econ. 99, 105285 (2021). https://doi.org/10.1016/j.eneco. 2021.105285 3. Veselov, V., Abu-Khasan, M., Egorov, V.: Innovative designs of wooden beams in conditions Far North. In: IOP Conference Series: Materials Science and Engineering, vol. 753 (2020). https://doi.org/10.1088/1757-899X/753/2/022024 4. Nikiforova, G.I.: Construction of a descriptive model of the logistics chain for the delivery of goods in the interaction of rail and sea transport. Proc. Petersburg State Transport Univ. 17(4), 545–551 (2020). https://doi.org/10.20295/1815-588X-2020-4-545-551
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5. Safronova, A., Reshetko, N., Majerˇcák, J., Kurenkov, P.: Choosing a scheme for the delivery of foreign trade cargo. Transportation Res. Procedia 53, 314–320 (2021). https://doi.org/10. 1016/j.trpro.2021.02.037 6. Pokrovskaya, O.D.: Implementation principles and requirements of transport and logistical services for railway transport. Proc. Petersburg State Transport Univ. 3, 288–303 (2020). https://doi.org/10.20295/1815-588X-2020-3-288-303 7. Panova, Y., Korovyakovsky, E., Semerkin, A., et al.: Russian railways on the Eurasian market: issue of sustainability. Eur. Bus. Rev. 29(6), 664–679 (2017). https://doi.org/10.1108/EBR01-2016-0008 8. ZhYa, A., Groshev, G.M., Grachev, A.A., et al.: The choice of railway train load and length rate. Bulletin Sci. Res. Results 3, 25–37 (2019). https://doi.org/10.20295/2223-9987-2019-325-37 9. Kurenkov, P., Pokrovskaya, O., Anastasov, M., et al.: Study of the current state of the transport infrastructure of road and rail transport of the Russian Federation. In: IOP Conference Series: Materials Science and Engineering, vol. 698 (2019). https://doi.org/10.1088/1757-899X/698/ 6/066064 10. Panova, Y., Hilletofth, P., Panova, A., Hongsheng, X.: Application of the just-in-time approach to a third-generation port. Oper. Supply Chain Manage. 13(3), 279–293 (2020). https://doi. org/10.31387/OSCM0420269 11. Pokrovskaya, O., Orekhov, S., Kapustina, N., Kizyan, N.: Formation of logistics facilities in transport corridors. In: IOP Conference Series: Materials Science and Engineering 918(1) (2020). https://doi.org/10.1088/1757-899X/918/1/012032 12. Pokrovskaya, O., Fedorenko, R., Kizyan, N.: Cargo transportation and commodity flows management Elsevier, B.V. (ed.) IOP Conf. Series Mater. Sci. Eng. 918(1) (2020). https://doi. org/10.1088/1757-899X/918/1/012050 13. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. MATEC Web of Conferences, vol. 224 (2018). https://doi.org/10.1051/matecconf/201822402011 14. Efanov, D., Osadchy, G., Sedykh, D., et al.: New technology in sphere of diagnostic information transfer within monitoring system of transportation and industry. In: 2017 IEEE East-West Design and Test Symposium, EWDTS 2017, pp. 1-6 (2017). https://doi.org/10.1109/EWDTS. 2017.8110152 15. Sergeeva, T.G.: Improvement of private wagon fl eet management. Proc. Petersburg Transport Univ. 16(3), 449–454 (2019). https://doi.org/10.20295/1815-588X-2019-3-449-454 16. Sergeeva, T.G., Nikiforova, G.I.: Competitive recovery of transport and logistics companies in the era of digitization. Proc. Petersburg State Transport Univ. 17(3), 428–436 (2020). https:// doi.org/10.20295/1815-588X-2020-3-428-436
Determination of Optimum Unbalanced Accelerations to Minimize Rail Side Wearing Vladimir Beltiukov
and Andrey Andreev(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky pr., St. Petersburg 190031, Russian Federation [email protected]
Abstract. Superelevation of outer rail on a curved track is determined today by taking into account the limiting unbalanced accelerations and train speeds calculated either on the basis of traction calculations or by means of statistical analysis. Maximum allowable unbalanced accelerations in this case will be accelerations equal to 0.7 m/s2 for passenger trains and ±0.3 m/s2 for freight trains. The fact that the accelerations reaches limit values indicates that the superelevation of the outer rail will be not optimal but only the maximum allowable. In order to determine the optimal values of superelevation, it is necessary to find such optimal unbalanced accelerations that will not contradict the limiting values and will give the least amount of defects in the elements of the track superstructure. In other words, it is necessary to determine the acceleration, which would allow operating a curved track effectively in terms of train safety and in terms of saving money during the inter-repair cycle. The article considers the issues of determining the optimal unbalanced acceleration on curved tracks with a more detailed consideration of the work associated with the replacement of rails because of side wear. The concept of inter-repair cycle and life cycle, probability theory and data approximation are used in the calculations. Keywords: Unbalanced acceleration · Rail side wearing · Superelevation of outer rail · Rail replacement
1 Introduction When a vehicle passes through a curve, its elements produce unbalanced accelerations and consequently a centrifugal force directed outward in the curve. Centrifugal force adversely affects passengers, leads to redistribution of vertical pressures on the rails of both rails (overload of the outer rail), as discussed in particular in the article [1]. It also creates an additional force impact on the track when the vehicle enters the curve, causing side wear on the rails of the outer rail. In addition, transverse forces can create a shift of rails relative to sleepers, leading to a widening of the track gauge and distortion of the track position in the plane. Outer rail superelevation is set up to stabilize transverse forces in the curves. The best value of outer rail superelevation will be such a value at which in terms of safety © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 853–861, 2022. https://doi.org/10.1007/978-3-030-96380-4_93
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and in terms of economic investment throughout the life cycle of the maintenance and repair of the track will be the most effective. For many years, regulatory documents have been developed to regulate the vertical setting of rail on the Soviet Union rail network and later on the Russian Federation rail network. The current regulatory document is the Interim Guidance for the Rail Superelevation Calculation. The prerequisites for considering the option with the optimization of the value of unbalanced acceleration were studies in the field of optimization of various indicators in the field of transport [2, 3]. When considering the railroad track, indicators of reliability and safety are most important. These indicators are considered in the methodology of the System of Integrated Management of Resources, Risks, and Reliability Analysis at all the Stages of Life-Cycle (URRAN) [4]. This methodology is based on the RAMS methodology. International standards in the field of RAMS [5, 6] are based on the scientific works of S. Jovanovic [7, 8]. In order to improve the Interim guidance from 2016 to 2018, JSC Russian Railways “RZD” analyzed the unbalanced accelerations and elevation of outer rail. Program and methodology of operational observations, approved by the Chief Engineer of the Department of track and structures of the Central Infrastructure Directorate were drawn up on the basis of the research. In accordance with the approved program, a list of parameters under consideration was prepared. In addition, this list included the intensity of side wear of the outer rail. Analysis of factors influencing the track deterioration and rail wear showed that the presence and quality of lubrication is the predominant factor in terms of influence on lateral rail wear [9, 10] and to a lesser extent from the multidirectional curve and rail canting. These factors are relevant in terms of safety, but do not take into account the cost of track maintenance and repairs. In order to take into account economic factors, it was decided to determine the optimal superelevation of the outer rail, including the costs during the inter-repair cycle of the railroad track.
2 Materials and Methods To take into account the economic factor during the inter-repair cycle, the Quantity sheet of actual values of rail gauge was reviewed. The statement contained data, among other things, on the side wear of the outer rail. An example of completing the quantity sheet is shown in Table 1. Based on the data the costs of rail replacement due to side wear were calculated. The cost of rail replacements was determined by the formula: Ssw =
calc · 40 · N calc · l Ssw n sw , rub., tOC
(1)
calc - is a unit cost for a single rail replacement, rubles.; where Ssw 40 - are a number of track panels with a length of 25 m per kilometer of track, pcs; calc - is an estimated number of rail replacements, pcs; Nsw ln - is length of the nth curve, km;
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tOC - is duration of the overhaul cycle, year. The calculated number of rail replacements was determined by the formula: calc = Nsw
λcalc wear × Tn , pcs, 15
(2)
where λcalc wear - is estimated intensity of side wear, mm/million gross tkm; Tn - is a guideline life of rails, mln. gross tonnage; 15- is an average value of side wear when rail replaced, mm. After costs are determined, the costs dependences on unbalanced acceleration are plotted. Based on the URRAN methodology, the optimal unbalanced acceleration will be that unbalanced acceleration, which will correspond to the minimum costs during the inter-repair cycle. Further calculations are made on the basis of articles [11] and [12] published in 2019 and 2020. Table 1. Example of filling in the quantity sheet of actual values of gauge, level and wear. Inspection date
Point number
Rail gauge Gauge value
Distance from the notch to the rail base of the outer rail
Distance from the notch to the rail base of the inner rail
Mm
mm
Mm
Rail level
Rail wear Side wear of the outer rail
Vertical wear on the outer rail
Vertical wear on the inner rail
mm
Mm
mm
mm
1
2
3
4
5
6
7
8
9
21.04.17
1
1538
10.5
10.9
102
10.9
1.7
5
21.04.17
2
1538
11
11
104
7.6
2.1
5.8
21.04.17
3
1535
10.7
11.2
103
11.2
1.7
1.8
21.04.17
4
1537
10.3
11.2
102
10
1.1
2.8
21.04.17
5
1539
10.5
11.9
102
11.5
0.7
4.1
21.04.17
6
1540
10.7
10.9
103
9.9
1.8
5
3 Results Based on the data obtained, an analysis was made of the dependence of the cost of rail replacement due to side wear on unbalanced accelerations. Calculated intensity of side wear is defined as the average value between the intensity of side wear according to the passport data of the track maintenance department and the intensity of side wear by measurements.
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No. of curve
Kilometer of curve beginning point
Meter of curve beginning point
Curve length, m
Radius of curve, m
Vertical setting of rail, mm
R, m
ad/opt , m/s2
Cost of rail replacement due to side wear, rub
1
2090
698
476
622
84
622
−0.47 29 884
2
2082
415
544
623
120
623
−0.41 193 354
3
2035
735
570
638
125
638
4
2077
432
251
1105
93
1105
−0.39 4 695
5
2089
994
398
622
81
622
−0.38 24 987
6
2053
350
158
685
100
685
−0.35 20 265
−0.40 100 740
All data on the curves and the final values of the side wear costs are summarized in a table form. Table 2 shows an example of this form. During the study of the curves, it was found that inaccuracies often occur when completing the Quantity sheet. In order to minimize inaccuracies, the entire variety of curves was divided into groups depending on the value of the unbalanced acceleration that acts in the curve. Ranges of values for unbalanced accelerations were created and when a curve fell into these ranges, a conclusion was made about assigning the section to a group. In the research, all curves were divided into five groups. Table 3 shows the groups of curves and the ranges of unbalanced accelerations due to which the grouping of curves was made. Table 3. Five curve groups by side wear. No. of group Minimum unbalanced acceleration in the range, m/s2
Maximum unbalanced acceleration in the range, m/s2
Number of curves falling into the group, pcs
Average value of unbalanced acceleration„ m/s2
1
−0.47
−0.33
2
−0.33
−0.23
8
−0.28
105665.71
3
−0.23
−0.13
11
−0.18
106641.96
4
−0.13
−0.05
8
−0.09
178503.32
5
−0.05
0.08
5
0.00
260181.07
9
−0.39
Cost of rail replacement due to side wear, rub 69367.67
Diagram with the characteristic trend line was plotted on the basis of the table. As a first approximation, an exponential function was taken as a function of the costs’ dependence on the unbalanced accelerations.
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This function behaved differently for each type of failure. For example, the cost dependence of the rail replacements with side wear on the unbalanced accelerations behaved in such a way that as the unbalanced accelerations increased, the costs also increased. Figure 1 shows a diagram describing the behavior of the trend line of the dot plot. The trend line is based on the least squares method of approximating the studies. The function shown in Fig. 1 can be represented in the following form: Ssw = 237929e3.2612ad /opt , rub,
(3)
The cost of correcting side wear, RUB
where Ssw - are the costs of rail replacement by side wear, rubles, ad /opt - is unbalanced acceleration, m/s2 .
-0.40
250000.00 y = 159681e1.5747x R² = 0.9193
200000.00 150000.00 100000.00 50000.00
-0.30
-0.20
-0.10
0.00 0.00
The unbalanced acceleration,
0.10
0.20
m/s2
Fig. 1. Dependency diagrams for the cost of rail replacement due to side wear and unbalanced acceleration.
This type of diagram shows that the number of faults increases with an increase in positive unbalanced accelerations, since the outer rail is more loaded. The coefficient of determination is 0.9193, which indicates that the results obtained are sufficiently reliable based on the probability theory.
4 Discussion/Results Analysis Since it is difficult to determine the extremum of the function (minimum cost) when using the exponential function, it was decided to replace the exponential function with a
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Table 4. Unbalanced accelerations and costs of rail replacement due to side wear for radii from 360 to 620 m. No. of ad/opt curve
Costs of rail No. of ad/opt replacement curve due to the side wear
R from 360 to 500 m
Costs of rail No. of ad/opt replacement curve due to the side wear
R from 500 to 590 m
Costs of rail replacement due to the side wear
R from 590 to 620 m
1
−0.20 168 284
1
−0.39 103 410
1
−0.35 208 951
2
−0.16 352 710
2
−0.34 164 945
2
−0.34 85 439
3
−0.13 418 279
3
−0.27 74 102
3
−0.33 139 577
4
−0.11 149 121
4
−0.27 69 602
4
−0.33 6 622
5
−0.08 315 033
5
−0.27 98 711
5
−0.26 119 684
6
−0.06 393 860
6
−0.26 148 886
6
−0.26 67 159
7
−0.05 200 546
7
−0.25 317 817
7
−0.25 24 667
8
−0.03 232 276
8
−0.22 237 990
8
−0.25 58 872
9
−0.01 197 904
9
−0.13 103 035
9
−0.22 77 233
10
0.00
10
−0.11 62 897
10
−0.19 101 361
237 194
Table 5. Unbalanced accelerations and cost of rail replacement due to side wear for radii of 620 m or more. No. of curve ad/opt
Costs of rail No. of curve ad/opt replacement due to the side wear
R from 620 m
Costs of rail replacement due to the side wear
R from 620 m
1
−0.48 22 811
2
−0.44 0
23
−0.41 193 354
3
−0.40 226 993
24
−0.40 100 740
4
−0.39 4 695
25
−0.38 24 987
5
−0.35 20 265
26
−0.32 184 322
6
−0.25 23 185
27
−0.32 167 180
7
−0.17 67 809
28
−0.32 86 951
8
−0.15 3 779
29
−0.25 100 397
9
−0.15 5 687
30
−0.23 144 498
10
−0.11 75 330
31
−0.23 77 081
22
−0.47 29 884
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parabolic function. Based on the calculation of the costs of rail replacements, the dependencies of the costs on the unbalanced accelerations for different radii were compiled. Dependencies were built on the basis of Tables 4 and 5. Studies on the search for the optimal superelevation of rail have shown the following: 1. Side rail wear is ambiguously dependent on the unbalanced acceleration and superelevation of rail (see Fig. 2); 2. For large curve radii and high-speed line, there is practically no effect of unbalanced acceleration on side wear. 3. For medium radii and mixed traffic, side wear is less at negative unbalanced accelerations up to −0.1 m/s2 . 4. For radii less than 500 m and predominantly freight traffic, side wear is less at positive unbalanced accelerations up to + 0.1 m/s2 .
Fig. 2. Dependence of costs of rail replacement due to side wear on unbalanced accelerations.
This research did not consider small-radius curves, but that does not mean that less attention should be paid to determining the optimal vertical setting of rail in small-radius curves. The article “Superelevation modification for the small-radius curve of Shen-Shuo railway under mixed traffic of passenger and freight trains” considered for example the problems of selecting the superelevation of the outer rail in small radius curves on the Shaoshan railroad [13]. In the cost structure of track maintenance in curves, cost of the rail replacement due to side wear is 44.51%. With an increase in negative unbalanced accelerations, the cost of replacing defective elements of the track structure increases. With an increase in positive acceleration, the cost of rail replacement due to side wear, sleeper output, sometimes but insignificantly for track gauge adjustment and straightening increase.
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Figure 2 shows an approximation of the cost dependences without taking into account the specifics of the trains circulating along the railroad track. The fact is that the superelevations of the outer rail (unbalanced accelerations) can have different effects on the occurrence of faults on the railroad track. It means that if only freight trains turn on the railroad track, the unbalanced accelerations and consequently forces will act on the rail not as in the case of mixed traffic of trains. The calculation showed that in terms of total cost, the optimal unbalanced acceleration for the mixed traffic sections would be a slight negative (−0.094 m/s2 ) and for the freight traffic sections a slight positive (+0.086 m/s2 ). Sections of predominantly passenger traffic were not observed in the study. Moreover, this indicator is also averaged and depends on the radius of the curves (see Fig. 2). For the sections of mixed traffic, it is recommended that the unbalanced acceleration of 0 m/s2 , or −0.1 m/s2 , which coincides with the results of our research. After determining the dependencies, the optimal superelevation of the outer rail is established, which is determined from the optimal unbalanced acceleration for passenger and freight trains, at which the minimum life cycle cost is achieved [14, 15].
5 Conclusions Determining the optimal unmatched acceleration is part of the calculation for the elevation of the outer rail. As a result of such a calculation, it is possible to assess the cost-effectiveness of maintaining a curved section of track during the inter-repair cycle. Works on rail replacement due to side wear make 44.51% of the most widespread works on track maintenance department that speaks about importance of effective maintenance of a curved section of a track for prevention of occurrence of a side wear. One of the tools for this can be the accounting of the optimal unbalanced acceleration and superelevation of the outer rail.
References 1. Kolos, A., Romanov, A., Govorov, V., Konon, A.: Railway subgrade stressed state under the impact of new-generation cars with 270 kN Axle load. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 343–351. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_35 2. Ilinykh, A., Matafonov, A., Yurkova, E.: Efficiency of the production process of grinding rails on the basis of optimizing the periodicity of works. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1116, pp. 672–681. Springer, Cham (2020). https:// doi.org/10.1007/978-3-030-37919-3_67 3. Öner, K.B., Kiesmüller, G.P., Van Houtum, G.J.: Optimization of component reliability in the design phase of capital goods. Eur. J. Oper. Res. 205(3), 615–624 (2010). https://doi.org/10. 1016/j.ejor.2010.01.030 4. Gapanovich, V.A., Shubinsky, I.B., Rozenberg, E.N., Zamyshlyaev, A.M.: System of adaptive management of railway transport infrastructure technical maintenance (URRAN project). Reliability Theory Appl. 10(2), 30 – 41 (2015) 5. IEC: 2010 Railway applications - Specification and demonstration of reliability, availability, maintainability and safety (RAMS) - Part 3: Guide to the application of IEC 62278 for rolling stock RAM, 62278–3 (2010)
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6. IEC: 2016 Railway applications - Specification and demonstration of reliability, availability, maintainability and safety (RAMS) - Part 4: RAM risk and RAM life cycle aspects, pp. 62278– 4 (2016) 7. Jovanovic, S.: Modern railway infrastructure asset management. In: Rail-tech, Moscow (2007) 8. Jovanovic, S.: Railway track quality assessment and related decision making. In: The American Railway Engineering and Maintenance-of-Way Association - Annual Conference, At Louisville, KY, pp. 17–20 (2006) 9. Chernyaev, E., Cherniaeva, V., Blazhko, L., Ganchits, V.: Analysis of residual deformations accumulation intensity factors of the railway track located in the polar zone. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 381–388. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_39 10. Kim, K.K., Panychev, A.Y., Blazhko, L.S., Kolesova, A.V.: Slide current collection with disulfide lubricant in high-speed transport systems. Russ. Electr. Eng. 90(10), 661–668 (2019). https://doi.org/10.3103/S1068371219100055 11. Beltiukov, V., Andreev, A., Sennikova, A.: Analysis of changes of track upper structure technical condition and its operation costs in regions with long winter period for different types of rail fastenings. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 265–274. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0450-1_27 12. Beltiukov, V., Shehtman, E., Malikov, O.: Evaluation of effectiveness of separating layers in railroad track structure using life cycle cost analysis. In: International Scientific Conference Transportation Geotechnics and Geoecology, SPB, pp. 695-701 (2017). https://doi.org/10. 1016/j.proeng.2017.05.110 13. Gao, L., Wang, P., Cai, X., Xiao, H.: Superelevation modification for the small-radius curve of shen-shuo railway under mixed traffic of passenger and freight trains. Zhendong yu chongji 35(18), 222–228 (2016). https://doi.org/10.13465/j.cnki.jvs.2016.14.036 14. Selech, J., Andrzejczak, K., Mły´nczak, M.: It system for supporting cost-reliability analysis of fleet vehicles. J. Konbin 46(1), 87–109 (2018). https://doi.org/10.2478/jok-2018-0025 15. Plebankiewicz, E., Zima, K., Wieczorek, D.: Original model for estimating the whole life costs of buildings and its verification. Arch. Civ. Eng. 65(2), 163–179 (2019). https://doi.org/ 10.2478/ace-2019-0026
Problems of Optimizing the Organizational Structure of the Railway’s Regional Enterprises Viktor Ivanov(B)
and Vladimir Shmatchenko
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The article considers the relationship between the availability of a railway to provide safe transportation services and the capability of its organizational structures to meet aims of the services availability and safety. It is shown that the railway dependability is determined by the reliability of technical systems and facilities, their maintainability, and, as well, by the technical and behavioral competence of the personnel and by the conditions of its work and life. It is also shown, that decomposition of the aims in the field of availability and safety leads not only to requirements on safety and reliability of the equipment and to requirements on competence of the personnel, but also to requirements of organizational structure of the processes. Eventually, it is possible to set the task of optimizing the organizational structures of a railway enterprise on the set of processes of its activity. Keywords: Organizational management · Goals setting · Processes · Optimization · Availability · Safety · Dependability · Reliability · Performance evaluation · Synergy · Competence (Humanware) · Technological maturity levels
1 Introduction Optimizations of organizational structures in railway enterprises, like any of organizational structures, has been a very topical issue for many decades, if not hundreds, of years. There is an opinion that for the human activity improvement, the organizational structure plays the main role, followed by the professional qualities of people, and only then - followed by technical equipment. This is true because it has long been observed that the successful organization of a workforce allows for the emergence of synergy (supersumption), which multiplies both the intellectual and technical capabilities of the peoples. Attempts to purposively build synergistic organizational structures have rarely been successful, depending on the personality and talent of the leader. Therefore, cases of successful organization of human activity, although remembered, do not become mass standards. Unfortunately, in Russia this is worsened by the fact that the level and competence of employees is steadily decreasing due to underfunding of education and its excessive formalization [1].
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 862–870, 2022. https://doi.org/10.1007/978-3-030-96380-4_94
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At the same time, the process organization of professional activity, the use of indicators of not only technical but also behavioral competence of specialists, create prerequisites of purposeful formation of effective organizational structures. Further in the article possible approaches to setting and solving such the problem are considered.
2 Key Performance Indicators of Man-Machine Systems The most important performance indicators of any transportation system, as a purposive and complex combination of equipment and personnel, are availability and safety. Availability characterizes the ability of the system to meet its purpose, for railways, as an example, it is the ability to bring income during the transportation of goods and passengers. Safety characterizes the ability of the system to do so without harm to the lives and health of people involved in its activities, as well as without damage to property and the environment - natural or urbanized. Both availability and safety of a system are determined by its dependability. This is a complex characteristic of man-machine system, which determines its ability to operate faultlessly and error-free during the declared lifetime, under specified conditions and with the proper logistical support and the provision of competent and capable personnel. The concept of dependability is introduced into the international engineering practice in 70–80s of the 20th century and has received fundamental normative-technical and normative-organizational basis in the form of standards of IEC 60300 “Dependability Management” [2–13]. It should be noted that these standards were adopted by the defense industry of the USSR and successfully worked (and now work in the Russian Federation) in the creation of weapons designs. In particular, the software for the BURAN shuttle was written in the DRACON language, developed on the basis of the dependability concept. This approach was so successful that at the end of the 1980s it enabled the implementation of a programming environment that provides the creation of virtually error-free computer programs. The relationship between availability, safety, and dependability is shown in Fig. 1.
Availability (the ability to generate income when providing transportation services)
Safety (the ability to prevent hazardous technical failures and human errors when providing transportation services)
Dependability (the ability to operate smoothly and accurately for the declared service life under the given conditions) Technical reliability (maintainability + maintenance)
Human reliability (staff competence +provision of working conditions)
Cost (price of dependability) Fig. 1. The relationship between the key indicators in human-machine systems.
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Figure 1 also shows that dependability is based on the two kinds of reliability – technical reliability and human reliability. The first includes solutions of technical reliability and maintainability and corresponding maintenance, the second – solutions in area of staff competence (technical and behavioral) and conditions of work and relax. And Fig. 1 also shows that the fourth key performance indicator of man-machine system is the cost of the expenses to ensure its dependability. From this figure also follows that the performance evaluation of man-machine system is a problem of complex optimization of the system availability, safety and cost on set of organizational-technical elements of the system dependability. Such the element (or a single organizational-technical item of the set) is a process, and the optimization shall be fulfilled on the set of the processes. The description of this problem should be carried out at the first life cycle stages of a system, in accordance with the IEC 62278 standard [14]. But this frame standard does not consider the problem as a problem of complex optimization, moreover, it does not consider any processes, in contrast, for example, with ISO 22163 [15] which contains description of more than 80 processes on the all of the life cycle stages and uses technological maturity metrics for the processes evaluation. Thus, IEC 62278 contains requirements to the activities to control safety, availability, dependability on all the life cycle stages, ISO 22163 contains requirements to the processes of the life cycle and metrics for estimation of levels of the requirements fulfillment. Integration of the approaches of the both of standards allows forming the above mentioned set for dependability optimization. However, the necessity raised to consider the complexity associated with the human factor of the dependability and with the corresponding performance indicators.
3 Typical Indicators of Technical and Behavioral Competence In this context, let us focus in more detail on such indicators of people’s reliability as technical and behavioral competence. These two groups of indicators correlate like the surface and underwater parts of an iceberg (based on [16]) (Fig. 2):
Technical competence (it is obvious, measurable, describes what should need to know and be able to do with certain processes Behavioral competence (it is more difficult to measure, but it characterizes the qualities of staff needed to apply their knowledge and skills effectively, and therefore affects their reliability (and thus availability and safety) Fig. 2. Illustrative relationship between the importance of technical and behavioral competence.
Below the specific generic indicators are listed for each of these groups. Basic indicators of technical competence:
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1 General qualification (practical knowledge of computer science - PC, MS-Office, DBMS, Internet, etc.). 2 General qualification in organizational management and management systems (i.e. organizational awareness (understanding of management tools and management relationships - authority, accountability and reporting in the organization). 3 The ability to implement, operate and audit management systems, taking into account customer requirements as well as timely and proactive responses to issues of availability and safety. 4 Knowledge of the range of products (products and/or services) produced by the company, production technologies, as well as functional and technical requirements for products and services. 5 Knowledge of regulatory framework (standards, rules, orders), regulating the company activity (including safety). 6 Knowledge of special processes (hidden works) used in company for manufacturing of the products and services. Basic indicators of behavioral competence: 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
21 22 23 24
Aiming for success. Analytical thinking, - the ability to separate the main from the minor. Conceptual thinking, - the ability to organize things (objects, functions, processes). Leadership in improvements. Communicability. Concentration (continuity of attention). Commitment to quality and accuracy. Ability to permanently learning. Orientation to balance the interests of business partners, the society and own interests of the business. A readiness to improve others. Ability to be self-adaptable. Ensuring of subordinates’ manageability. Ability to motivate and encourage others. Ability to seek information. Proactivity. Ability to listen, comprehend and respond substantively. Commitment to corporate ethics. Self-confidence. Self-control. Understanding a strategic perspective (based on an understanding of business, society and own interests of the business) and adjusting his or her activities accordingly. Ability to work in a team, ability to interact. Ability to lead people (i.e., apply the qualities characterized by behavioral competence indicators). Ability to organize constructive interaction. Ability to organize targeted synergetic interaction.
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These staff competence indicators are significant for any operation and maintenance process in rail transport, but they are especially important for the planning and execution phases of such a process. Figure 3 below shows the well-known structure of any process in the form of the Deming-Shewhart PDCA cycle. In terms of criticality to the training of line personnel of railway services, the most important stages are P and D (planning and execution). At stage P (planning), based on the availability and safety objectives, the process regulation documents (e.g. flow charts, instructions, codes) are used for all possible conditions of application. At stage D (implementation), based on an assessment of the actual conditions, specific work is carried out to implement the process.
Fig. 3. Alternating stages of the PDCA cycle in each process of railway facilities maintenance.
In order to carry out such work, line staff must know the relevant rules exactly and apply this knowledge in the current circumstances without fail. Thus, the manager must be sure which of the following 4 situations he and his team are in: – team workers are poorly aware of the process rules and conditions, resulting in serious errors that lead to significant reductions in both availability and safety; – team workers are well familiar with the process flow chart and process rules, but have little idea of the conditions in which they will have to work in the field, which usually leads to mistakes by workers and a reduction of the availability and safety; – team workers are familiar (both theoretically and practically) with the conditions at the work site, but have little knowledge of the process flow chart and its rules (e.g. because of the need to service a new device that has not been used yet), this may also lead to mistakes by workers and to a reduction of the availability and safety; – team workers are familiar with both the process flowchart and the process execution conditions, in which case the specified availability and safety indicators are ensured and conditions for their improvement are created. It is clear that high values are required firstly for workers of line for indicators 2, 4, 5 and 6 of technical competence.
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Regarding the indicators of behavioural competence, their priorities depend on the above 4 situations. For example, for the first of these (poor understanding of the process to be performed and the conditions under which it is carried out), the priority indicators are 6 (concentration), 7 (interest in quality and accuracy), 8 (capacity for continuous learning), 11 (adaptability), 15 (initiative), 16 (ability to listen, comprehend and respond substantially), 18 (self-confidence), 19 (self-control). For the fourth situation (good understanding of the process to be performed and its conditions), indicators 21 (ability to work in a team), 23 (ability to organize constructive interaction), 24 (ability to organize targeted synergetic interaction) are of priority. This is due to the fact that with optimal organizational structure and technical equipment, further improvement of performance is only possible through effective interpersonal interaction, i.e. synergy. Of course, in order to effectively carry out such a comprehensive assessment, it is necessary to have an appropriate metric for each indicator, i.e. a score (this metric is also commonly referred to as technology maturity levels).
4 Targeting in Human-Machine Systems As noted above, the reliability of human-machine systems should be understood as a combination of technical and personnel reliability which complement each other. The logic of this complementarity is determined by the logic of target setting, which encompasses both the technical and organizational parts of the system. For the technical part of the system, target setting refers to the decomposition of availability and safety objectives across all levels of the functional model of the railway system (see Fig. 4). Such the decomposition takes place in the system design and manufacturing phases (see Fig. 5). This figure shows, in accordance with IEC 62278, three groups of stages in the life cycle of a railway transport system. Obviously, for existing systems, this goal decomposition has been built up over many decades of practice, brought to the requirements of standards and codes of practice, which have been repeatedly implemented for each element of the functional model in a wide variety of conditions and applications. As for the second part of the dependability - personnel reliability - there is no such clarity, as each rail line is unique and the personnel operating in that line must match this uniqueness with their competence and organizational structure. Target-setting relies on the following sequence of actions: – setting availability and safety objectives (for a specific enterprise, these objectives are decomposed from the objectives of Russian Railways and they must be measurable, otherwise they are not objectives but only words); – setting tasks to achieve the objectives; – definition of methods for solving the tasks; – definition the processes by which the methods are implemented (for each method, the corresponding basic, supporting and managerial processes are defined; the same processes may be used for different methods, so the task arises of optimizing of organizational structures to ensure the coordinated management of all necessary processes);
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Fig. 4. Goals decomposition in area of availability and safety by means of a functional model of the railway transportation system.
Fig. 5. A railway system life cycle stages (in accordance with IEC 62278).
– definition of functions (specialists) by which the processes are to be realized; – establishing a matrix of authority, responsibility and accountability for each function; – definition of a comprehensive metric of technical and behavioural competence indicators for each function; – formation of an organizational structure in which processes, functions and information flows of authority, responsibility and accountability are optimally implemented. Thus, target setting in the railway transport system leads to the necessity of the problem setting and solving of optimizing the processes of activity aimed at achieving the targets in the area of availability and safety of its relevant subsystems, as noted, in
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particular, in [17]. And here, it is important to take into account that the organizational structures of all subsystems of JSC Russian Railways adopt the same standard process model of activity of these structures, set out in the ISO 9001 standard [18]. Within this model, there are extensions - processes aimed at occupational safety and environmental protection. Work is being carried out to incorporate traffic safety processes into this model. However, the flat process evaluation scale adopted in ISO 9001 does not allow for effective optimization of these processes. For example, if all the processes of two regional enterprises of one of service (railway automatics, for example) are fully compliant with ISO 9001 this does not mean that these enterprises operate equally well. Therefore, there is a need to use a more effective metric for process evaluation. Such a metric exists (technological maturity levels metrics) and is used in ISO 22163 (formerly IRIS - an extension of ISO 9001 for the railway industry). The application of such the metric will enable a full representation of the efficiency and effectiveness of processes in railway enterprises and their computer modelling. And the next step is to set and solve the problem of optimizing these processes both individually and as a whole. The methodology for comprehensive optimization applicable to this kind of problem has been developed with the necessary level of detail, and is widely used, for example, to justify the use of magneto-levitation or rail systems in the design of regional passenger transport lines [19].
5 Conclusion The article deals with the relation between the availability and safety of transportation service, and the processes of activity of railway line enterprises. It is shown that both availability and safety are defined by the reliability of the enterprise organizational structure based on the reliability of its technical systems and equipment, on the technical and behavioral competence of the personnel and on the configuration of the base, managerial and supporting processes in the organizational structure of the enterprise. It is also shown that when using the metrics of technological maturity levels in the process model of the enterprise, it becomes possible to set the task of modeling its organizational structure and solve first the forward and then the inverse problem of assessing the effectiveness of this structure on the set of processes of the enterprise. This is consistent with the modern approach to improving existing enterprises, as outlined in [20].
References 1. Miethlich, B., Kvitka, S., Ermakova, M., et al.: Correlation of educational level, labor potential and digital economy development in Slovakian, Ukrainian and Russian experience. TEM J. 9(4), 1597–1605 (2020) 2. IEC 60300-1:2014: Dependability management - part 1: guidance for management and application (2014) 3. IEC 60300-3-1:2003: Dependability management - part 3-1: application guide - analysis techniques for dependability - guide on methodology (2003) 4. IEC 60300-3-2:2004: Dependability management - part 3-2: application guide - collection of dependability data from the field (2004)
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5. IEC 60300-3-3:2017: Dependability management - part 3-3: application guide - life cycle costing (2017) 6. IEC 60300-3-4:2007: Dependability management - part 3–4: application guide - guide to the specification of dependability requirements (2007) 7. IEC 60300-3-5:2001: Dependability management - part 3-5: application guide - Reliability test conditions and statistical test principles (2001) 8. IEC 60300-3-10:2001: Dependability management - part 3-10: application guide - maintainability (2001) 9. IEC 60300-3-11:2009: Dependability management - part 3-11: application guide - reliability centred maintenance (2009) 10. IEC 60300-3-12:2011: Dependability management - part 3–12: application guide - integrated logistic support (2011) 11. IEC 60300-3-14:2004: Dependability management - part 3-14: application guide - Maintenance and maintenance support (2004) 12. IEC 60300-3-15:2009: Dependability management - part 3-15: application guide - engineering of system dependability (2009) 13. IEC 60300-3-16:2008: Dependability management - part 3-16: application guide - guidelines for specification of maintenance support services (2008) 14. IEC 62278:2002: Railway applications - specification and demonstration of reliability, availability, maintainability and safety (RAMS) (2002) 15. ISO/TS 22163:2017: Railway applications – quality management system – Business management system requirements for rail organizations: ISO 9001:2015 and particular requirements for application in the rail sector (2017) 16. Hollnagel, E.: Human Reliability Analysis: Context and Control. Academic Press, London (1993) 17. Palkina, E.S.: Using business process improvement concept to optimize enterprise production system in conditions of innovative economic development. In: MATEC Web of Conferences, vol. 224, p. 02011 (2018) 18. ISO 9001 Quality management systems. Requirements 19. Lasher, A.: Determining application limits of maglev transport for regional connection. Paper presented at the 7-th international conference – magneto levitation transport systems and technologies, Saint-Petersburg (2019) 20. Liu, X., Ruan, D., Xu, Y.: A study of enterprise human resource competence appraisement. J. Enterp. Inf. Manage. 18(3), 289–315 (2005)
Dynamics of Internal Pipeline Icing in Winter Period When Bringing It to Freezing Lev Terekhov
and Nadezhda Tvardovskaya(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy avenue, St. Petersburg 190031, Russian Federation [email protected]
Abstract. Water pipelines freezing of water supply systems in populated areas in winter leads to disastrous consequences. The paper deals with the experimental research of pipeline operation under critical conditions with ice formation on the inner pipeline surface with a constant increase in ice thickness and bringing the pipeline to complete freezing. The research purpose is to find out the physical picture and changes dynamics of hydraulic parameters that take place in the pipeline during its operation in the regime of constantly increasing ice formation up to its freezing. The research was carried out on an experimental setup made of steel pipes of nominal bore diameter 50 mm, with a total length of 54 m. Analysis of experimental data allowed us to establish that at the initial stage of pipeline icing there is an increase in pipeline throughput capacity. With further icing increase the pipeline flow capacity decreases and it reaches the value of the initial flow rate but the head loss in this case is 32.5 times more. If icing continues, there is a decrease in the pipeline capacity and a sharp increase in the head loss. If flow rate decreases by 96% as compared with the initial flow rate without icing, water flow in the pipeline stops immediately due to its complete freezing in the final section at the location of the last flange connection. Keywords: Pipelines · Permafrost soils · Internal icing · Flow capacity · Head loss · Pipeline freezing
1 Introduction More than 60% of the territory of the Russian Federation is located in the zone of permafrost soils, characterized by long and cold winters. Studying the specifics of operation for various structures under permafrost conditions remains an urgent task and is considered in the works of many researchers [1–15]. When organizing water supply to cities and settlements located in such areas, serious problems are encountered when transporting water since pipelines in permafrost conditions are subject to internal icing and in critical situations - to complete water freezing inside them [12]. Often water supply sources are significantly distant from populated areas and water has to be transported over long distances. To protect water lines from freezing, it is necessary to maintain a certain thermal regime inside them that does not allow the water to © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 871–879, 2022. https://doi.org/10.1007/978-3-030-96380-4_95
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freeze. The most widespread in the northern construction and climatic zone are aboveground laying pipelines. To prevent their freezing, water is heated before transportation and the pipeline itself is covered with thermal insulation outside [12]. A large amount of fuel is consumed for water heating, which leads to an increase in the water cost, which is 5–10 times higher than the water cost in the midland. In order to reduce the prime water cost, the degree of water heating is reduced. However, in the periods of a sharp cold the internal icing of the pipeline and its freezing is possible. Figure 1 shows the water pipeline after the repairing work due to its freezing.
Fig. 1. Water pipeline after the repairing work due to its freezing
Freezing of water pipelines leads to disastrous consequences: water supply to the population, the boiler house stops, the heating system fails to work, the buildings do not receive heat - the village freezes up, followed by the evacuation of the population. To know how to deal with this phenomenon, it is necessary to clearly understand the physical phenomenon that occurs during the process of the pipeline freezing.
2 Materials and Methods The study of freezing and overheating phenomena of pipeline was carried out in winter on the experimental setup assembled outdoor. The research was aimed at finding out the physical phenomenon and the change dynamics of hydraulic parameters which take place in the pipeline in the process of increasing the pipeline internal icing up to its freezing and stopping the pipeline movement. Due to the experimental data, knowing dynamics of basic hydraulic parameters changes it is possible to predict development of crises and take preventive measures in time to prevent the pipeline from freezing. Initially conditions of the experiment with such strict conditions were thought out under these conditions, the pipeline operation with progressing ice growth on the pipeline inner surface up to its full freezing could be adjusted as fast as possible, that is why the pipeline was made without heat-insulation and water temperature was artificially decreased to the lowest possible value.
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Experimental studies were carried out on experimental setup, which scheme is shown in Fig. 2. The experimental setup was made of steel pipes with nominal diameter d = 50 mm and length L = 54 m. The pipeline was assembled from separate sections of about 5 m length. The connection of the steel pipeline sections (for convenience of disassembly) was assumed to be flanged. The pipeline was installed outdoors without thermal insulation. To exclude the air impact, located in pipes on the determination accuracy of head losses and to remove it by water flow, the pipeline was laid on wooden supports with rise along the course of water flow. Water movement occurred in a closed cycle: reservoir - pump - pipeline - reservoir. Flow rate of water passing through the pipeline was measured by volumetric method using a measuring tank. Pressure at the beginning and at the end of the pipeline was determined by a reference manometer, temperature - by a mercury thermometer with division value of 0.01 °C. Manometers were installed on special non-freezing stands. For visual observation of ice formation dynamics in the pipeline a glass section of 1.8 m length was provided.
Fig. 2. Scheme of experimental setup: 1 - tank; 2 - pump; 3 - sections of steel pipe; 4 - glass pipe section; 5 - sample manometer; 6 - support; number above the pipe segment - segment number; number under the pipeline section - average thickness of ice layer at the section
Experimentation procedure was as follows: the reservoir was filled with tap water, and water temperature was decreased by melting snow in the reservoir and reaching its value of +0.01 °C. The pump was started and water was fed into the pipeline. At regular intervals, readings of manometers and thermometers were taken and the water flow rate was determined. Repeated readings of devices were taken as head loss in the pipeline increased significantly. The experiment lasted for several hours and ended when water flowing out of the pipeline stopped due to its freezing. In this case, the experimental setup was immediately dissembled, the pipeline was disassembled into separate sections and brought into the room. Certain difficulties arose with the extraction of ice frozen on the pipeline inner surface. Technology of its removal was worked out later: the pipeline was wrapped with a cloth (burlap) from outside and watered with hot water. As the steel pipeline temperature increased to a positive value ice adhesion to the pipeline inner surface decreased, and the ice cylinder was easily removed from it when the pipeline was tilted. Figure 3 shows a general view of the ice cylinder removed from the pipeline during the experimental study. The ice cylinder was cut along its length with a hacksaw into disks (Figure 4 shows a cross section of such a cylinder), The ice cylinder was cut along
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its length with a hacksaw into disks (Figure 4 shows a cross section of such a cylinder.), and then the ice thickness at different distances from the flanges was determined. The ice taken out of the pipe had the following appearance: in the middle of the pipe section, the ice was cylindrical with approximately the same thickness of the ice crust. At the ends of the pipe sections, where there were flanges, the ice thickened in a cone shape. The length of the section where ice thickening occurred was on average 25–30 cm. The averaged value of ice thickness at each section is shown in the scheme of Fig. 2 under the line, with the section number above the line. The results of the experiments are presented in Table 1 and in Fig. 5. Table 1. Experimental results Measure number
Conditional time of reading t, min
Losses pressure h, m
Consumption q, l/s
1
0
0.2
0.5
2
60
0.6
0.82
3
90
1.6
0.86
4
120
3.9
0.64
5
180
13.5
0.33
6
210
16.2
0.13
7
250
18.7
0.02
Fig. 3. Ice cylinder extracted from the pipe. General view.
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Fig. 4. Ice cylinder extracted from the pipe, cross-section.
Table 2. Results of hydraulic characteristics determination. Measure number
Conditional Consumption q, time of reading l/s t, Min
Velocity V, m/s
Average hydraulic gradient i
Specific resistance, 1/(l/s)2
1
0
0.5
0.227
0.004
0.0148
2
60
0.82
0.372
0.011
0.0165
3
90
0.86
0.39
0.030
0.0401
4
120
0.64
0.29
0.072
0.1763
5
180
0.33
0.15
0.250
2.295
6
210
0.13
0.059
0.300
17.751
7
250
0.02
0.009
0.346
865.741
Fig. 5. Diagram of changes in time t consumption q(− × −) and head losses h(−O−) when the icing process is brought to complete freezing of the pipeline
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Based on the experimental data, the values of water velocities, average hydraulic gradient and specific hydraulic resistance in some periods of the experiment were determined. The values of these parameters are given in Table 2. Determination of design water velocity V in the pipeline, m/s, in Table 2 was carried out, using the law of flow continuity, according to the formula: V =
4q q = ω πd2
where q is a water flow rate, determined experimentally; it was taken according to Table 1 for the corresponding time interval of counting in m3 /s; ω is an area of flow section, m2 , defined considering that the pipeline has a circular 2 cross-section ω = π4d ; d is an internal diameter of the pipeline; taken 0.053 m. The average hydraulic slope for each time of the experiment was determined by the formula: i=
h L
where h is a head loss in the pipeline, m; values were taken according to Table 1 for the corresponding time interval of the reference; L is a laid length; taken L = 54 m. Specific resistance A of steel pipeline in view of icing was determined for each case for flow q in l/s according to [Tables for hydraulic calculation of water pipes: a reference guide/F.A. Shevelev, A.F. Shevelev. (2014) M., Bastet. 382 p.] according to the formula: A=
i q2
3 Results Analysis It follows from the experiments that the freezing duration of the pipeline with conditional diameter of 50 mm is somewhat more than four hours, at an average air temperature of −11.7 °C and the temperature of water fed into the pipeline 0.01 °C. Water flowing out of the pipeline on average had a temperature close to 0 °C. As it follows from experimental results, after one hour after the experiment beginning the water flow through the pipeline has changed from 0.5 l/sec to 0.82 l/sec, i.e. increase of the flow rate is 64%. During the next 30 min, there was a further increase in flow rate to 0.86 l/s, which exceeded the initial flow rate by 72%. During the subsequent experiment, a gradual decrease in flow rate was observed. After four hours of the experiment, there was a sharp decrease in flow rate, followed by stoppage of water flow due to freezing of the pipe cross-section at the flange in the tenth section. Flow rate loss during the research increased with time (Table 1). At the first stage, with increasing pipe flow capacity, their increase is relatively small, and with decreasing pipe flow capacity after two hours of the experiment, head losses increase more intensively - by 19.5–93.5 times relative to head losses at the initial moment.
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According to the experimental data on the measurement of head losses and water flow rates, the averaged hydraulic slope and pipeline resistivity have been determined in assuming a transitional zone of hydraulic resistance. As the calculation data of hydraulic parameters show (see Table 2), during the experiment the averaged hydraulic slope increased from 0.004 to 0.346, i.e., almost 86 times, the specific resistance A increased from 0.0148 to 865.741, i.e., increased almost 58.5 times. At the same time, specific resistance in the initial moments of internal icing growth increases insignificantly, during this period of time the pipeline flow capacity increases and reaches its maximum value of 0.86 l/s at time from the beginning of the experiment equal to 90 min. It can be considered that increase of flow capacity at this stage is connected with decrease of pipeline roughness due to formation of thin ice crust on its inner surface, as well as smoothing of pipe butt joint edges. Therefore, there are grounds to believe that the initial degree of icing contributes to increase of pipeline flow capacity up to 72%. During the experiment, the value growth of specific resistance to the icing level was observed and with further increase in ice thickness, its sharp and steady increase followed. It is obvious that the value growth of specific resistance is a consequence of the pipeline living cross-section decrease with ice build-up on its inner surface. Experimental findings presented on the graph (Fig. 5) allow drawing the following conclusions. Uncontrolled pipeline operation mode with internal icing and bringing it to complete freezing is a long-term process with constantly changing hydraulic parameters. Area of increased pipeline flow capacity with low degree of icing is deduced from experiments apparently due to less ice roughness in comparison with internal surface roughness of a steel pipe. Further, head losses during pipeline operation with progressive icing tend to increase steadily. The final increase in head losses in the pipeline with progressing internal icing is explained by a significant narrowing of the live crosssection area of the pipeline, despite the smaller roughness of the ice, compared with the roughness of the steel pipeline.
4 Conclusions The experimental studies on dynamics in the internal icing of aboveground pipelines allow us to draw the following conclusions: 1. In aboveground pipelines at a certain ratio of heat balance between the pipeline and the environment, ice builds up on the internal surface of the pipeline with a constant increase in its thickness. 2. It was found that with low ice crust thickness, there is an increase in pipeline capacity of up to 72% with an insignificant increase in head losses. 3. With further progressive internal icing of the pipeline, there is a gradual decrease in flow rate and a more intense increase in head losses. 4. With a gradual decrease in flow rate by 96% of the original flow rate because of pipeline icing in its final section at the last flange connection, there is a sharp freezing of the pipeline section and stopping of water movement in the system.
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Future experiments equipped with modern equipment should identify the range of internal ice thicknesses at which economically profitable to operate the pipeline with internal icing.
References 1. Belash, T.A.: Design peculiarities of foundation structures in permafrost and seismically active areas. In: Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 36–43 (2019). https://doi.org/10.1201/9780429058882-8 2. Belash, T.A., Ivanova, T.V.: Earthquake resistance of buildings on thawing permafrost grounds. Magazine Civil Eng. 93(1), 50–59 (2020). https://doi.org/10.18720/MCE.93.5 3. Belash, T.A., Mitrofanova, M.N.: Pile foundations for areas with a joint manifestation of permafrost and high seismic activity. IOP Conf. Series Mater. Sci. Eng. 463(2), 022076 (2018). https://doi.org/10.1088/1757-899X/463/2/022076 4. Belash, T.A., Uzdin, A.M.: Effects of permafrost on earthquake resistance of transport facilities in the Baikal–Amur mainline area. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 79–95. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_9 5. Demartino, C., Koss, H.H., Georgakis, C.T., Ricciardelli, F.: Effects of ice accretion on the aerodynamics of bridge cables. J. Wind Eng. Ind. Aerodyn. 138, 98–119 (2015). https://www. sciencedirect.com/science/article/pii/S0167610514002682 6. Doronicheva, S.A., Malakhov, M.V., Dudkin, E.P., Akkerman, G.L.: Features of tram traffic organization in permafrost areas. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 373–379. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_38 7. Guo, P., Li, S., Wang, D.: Effects of aerodynamic interference on the iced straddling hangers of suspension bridges by wind tunnel tests. J. Wind Eng. Ind. Aerodyn. 184, 162–173 (2019) 8. Igoshin, M.E., Paramonov, M.V., Vorontsov, V.V., Kravchenko, P.A.: Stabilization of permafrost soils at base of road fil. In: Proceedings of the International Conference on Geotechnics Fundamentals and Applications in Construction: New Materials, Structures, Technologies and Calculations, GFAC 2019, pp. 93–97 (2019) 9. Kudriavtcev, S., Paramonov, V., Sakharov, I.: Strengthening thawed permafrost base railway embankments cutting berms. MATEC Web Conf. 73, 05002 (2016). https://doi.org/10.1051/ matecconf/20167305002 10. Moiseev, V.I., Komarova, T.A., Komarova, O.A., Vasiliev, N.K.: Creation of the massif of permafrost in construction zones of engineering structures on soft soils. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 97–104. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_10 11. Paramonov, V., Sakharov, I., Kudriavtcev, S.: Forecast the processes of thawing of permafrost soils under the building with the large heat emission. MATEC Web Conf. 73, 05007 (2016). https://doi.org/10.1051/matecconf/20167305007 12. Terekhov, L.D., Mainy, S., Chernikov, N.A.: Experimental study of soil thawing around shallow sewer pipelines in winter. Water Ecol. 4, 71–78 (2019). https://doi.org/10.23968/ 2305-3488.2019.24.4.71-78 13. Ulitsky, V.M., Gorodnova, E.V.: The construction of transport infrastructure on permafrost soils. Proc. Eng. 189, 421–428 (2017). https://doi.org/10.1016/j.proeng.2017.05.067
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14. Li, W., Zhan, Y., Yu, S.: Applications of superhydrophobic coatings in anti-icing: theory, mechanisms, impact factors, challenges and perspectives. Prog. Org. Coat. 152, 106117 (2021). https://www.sciencedirect.com/science/article/pii/S030094402031328X 15. Xu, H., Pereyra, E., Dellacase, E., Volk, M.: Study on ice formation and its effect in oil pipelines. In: Arctic Technology Conference, St. John’s, Newfoundland and Labrador, No. OTC-27411-MS (2016). https://doi.org/10.4043/27411-MS
Investigation of the Exhaust Valve Surface Regeneration Results by the Methods of Local Energy Impact Alexander Vorobev1
and Denis Balakhonov2(B)
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue,
St. Petersburg 190031, Russian Federation 2 Far Eastern State Transport University, 47 Serysheva Street,
Khabarovsk 680021, Russian Federation
Abstract. The analysis of methods for restoring the diesel engine exhaust valve clamping cone surface is performed in this paper. The results of the study are based on the most common methods for restoring the surfaces of such parts as electric arc surfacing, gas-vapor and plasma spraying in a protective gas media. The work takes into account the experience of the authors studying various thermodynamic processes in the regeneration of the parts’ surfaces. The article presents the results of micro and macroanalysis of structures obtained after surface regeneration. The evaluation was carried out according to such criteria as adhesion [MPa], microhardness HV, solubility and chemical composition [wt., %]. The advantages and disadvantages of restoring the exhaust valve surface under local energy impact in various ways are substantiated. Keywords: Valve regeneration · Gas-flame spraying · Electric arc surfacing · Plasma spraying · Scheelite concentrate · Boron · Carbon
1 Introduction Modern diesel engines must meet the requirements of increased reliability and performance in various operating modes with high thermal and dynamic load of parts. An important role is played by the serviceability of the connecting rod-piston group of elements, the crankshaft and the engine gas distribution mechanism. Each part from these groups has its own standards of overhaul and before the full depletion of the required resource may require local and spot repair [1, 2]. Currently used methods of surface regeneration of ICE parts do not allow reaching the initial level of quality, which entails a decrease in both the reliability and the durability of the entire unit as a whole. Problems of this kind can be leveled out or completely solved using a more modern technological approach to the repair issue. This approach can be attributed to the use of electric arc plasma for the local application of a special composition based on mineral components in the regeneration of the contact surfaces of parts [3–6]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 880–888, 2022. https://doi.org/10.1007/978-3-030-96380-4_96
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The article discusses the results of the experiments to restore the surface of a part of a diesel locomotive engine D49. Also, a comparative macro and microanalysis of plasma spraying and such currently used reduction methods as automatic electric arc surfacing and flame spraying, was carried out [7–10]. The processes of surface regeneration of internal combustion engines’ parts are widely known and presented in many works [11–14]. The results of such studies show that such solutions are promising, and also make it possible to analyze some possible disadvantages, which often include: slagging, the part overheating, low adhesion rate, heterogeneity of the material in relation to the base, etc.
2 Materials and Methods For carrying out full-scale experiments, a locking collar of a diesel engine exhaust valve D49 was chosen as the surface to be restored. Defective but repairable exhaust valves that were in service during the overhaul period were selected. The exhaust valve is made of heat-resistant high-alloy steel 45X14H14B2M, the chemical composition of which is given in Table 1. It is important to note that in the production of valves for diesel engines D49 high-alloy steel of various grades is used, for example, 45X14H14B2M, 40X10C2M and others. The composition of the related steel is shown in Table 1. Differences in the composition of steels are in the presence of such chemical elements as W, Ti, Cu, etc. Table 1. Chemical composition of steels in % used for the diesel engine parts D49 manufacture. 45X14H14B2M
40X10C2M
12X18H10T (wire)
C
0.4…0.5
0.35…0.45
up to 0.12
Si
up to 0.8
1.9…2.6
up to 0.8
Mn
up to 0.7
up to 0.8
up to 2
Ni
13…15
up to 0.6
9…11
S
up to 0.02
up to 0.025
up to 0.02
P
up to 0.035
up to 0.03
up to 0.035
Cr
13…15
9…10.5
17…19
Mo
0.25…0.4
0.7…0.9
–
Ti
–
up to 0.2
0.4…1
Cu
–
up to 0.3
up to 0.3
W
2…2.8
–
–
Fe
67
84
67
It is well known that the presence of tungsten in steel composition leads to an increase in the hardness and redness of the alloy [4, 15–17]. The presence of this element when restoring the surface of the girdle is obligatory in the proportions that are included in the base material composition. For the rest of the chemical elements that make up steel,
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it is also important to take into account their content within the limits specified for the processed steel grade. Electric arc metal surfacing was carried out with automatic wire feed of the grade 12X18H10T and adding flux of the developed composition, including the mineral concentrate - scheelite (Table 2). In addition, the process of preparing the charge was accompanied by its mechanical activation by mixing two components in the following ratio: concentrate - 50… 90%, boron-containing material - 10… 50% and carbon (graphite) - 5… 10%. Table 2. Phase composition of scheelite concentrate. SiO2
Al2 O3
Fe2 O3
FeO
MnO
CaO
MgO
Na2 O
K2 O
7.96
0.78
5.29
0.72
0.02
19.8
2.45
0.18
0.17
P2 O5
As
TiO2
WO3
SO3
H2 O
H2 O+
CO2
–
4.9
0.45
0.25
55.4
0.1
0.49
0.56
0.43
–
It is important to note that it is difficult to find a ready-made solution for weldingsurfacing wire to restore the exhaust valve clamping cone surface, since most of the existing solutions have significant differences in chemical composition. In view of this, it was decided to introduce the filler material (flux) in the process of electric arc surfacing. The porosity of the obtained coatings was determined by the method of hydrostatic weighing. Microhardness analysis was carried out using certified equipment PMT-3 according to the Vickers method with a load of F = 50 kgf and a holding time of 10–15 s. The value of microhardness for steel 45Kh14N14V2M was 285…290 HV. Chemical analysis of the obtained coatings was carried out using a certified laboratory spark optical emission spectrometer from Hitachi High-Tech, model Foundry-Master Smart, with a wavelength range of 165…700 nm.
3 Investigation of the Exhaust Valve Regeneration Results by the Electric Arc Surfacing Method In the course of the experiment performed, a segment was separated from the restored valve and a microsection was made, followed by etching of the investigated surface (Fig. 1). Thus, in the course of the exhaust valve obtained cut microstructure analysis, the presence of a clear transition between the deposited layer and the main material of the valve was revealed, as well as the phase interface is clearly distinguishable (Fig. 1 b). In some areas, mixing of the valve metal with the welding wire material and the transition of one phase to another was revealed. The maximum depth of the deposited material transition into the base metal phase was up to 400 µm from the phase boundary. The total presence of pores in the deposited layer averaged about 7%, which may indicate both insufficient surface protection during
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Fig. 1. The area of electric arc surfacing on the exhaust valve surface (photographs made by the author): a –photo of the sample (top left), increase of the deposited layer (500 µm); b – view of the transition boundary between the base metal and the deposited layer (200 µm).
surfacing in carbon dioxide and an increased speed of the surfacing process. However, this porosity indicator is the best under the conditions of the experiment, and in rare cases the porosity indicator could reach 3%. The rotation speed of the restored part in the process of surfacing was 8…10 rpm, the arc current was 84 A, the temperature of the part reached 550…680 °C. The chemical composition of the deposited layer is presented in Table 3. Table 3. Chemical composition of the remanufactured exhaust valve metal. Spectrum Chemical element, mass % C
Si
Mn
Ni
S
P
Cr
Mo
Ti
11
0.012 0.02 12
0.4
Cu
W
Fe
1
0.43 0.4
0.5
–
–
2.25 72.99
2
0.47 0.2
0.48 10.24 0.012 0.01 11.2 0.34 –
–
2.16 74.89
3
0.33 1.66 0.43 9.54
0.04
0.01 8.64 0.21 –
4
0.41 0.98 0.47 8.85
0.06
0.01 8.96 0.4
0.01 0.01 3.25 76.59
5
0.46 1.22 0.43 9.76
0.04
–
0.01 –
9.54 –
0.01 3.41 75.72 2.93 75.61
Chemical analysis showed that the valve base metal composition remains mostly the same, and its values change when approaching the interface. The carbon content at the interface was about 4.3 wt. %. The presence in the composition of the supplied flux W, which was based on scheelite concentrate in the composition with boron and carbon, made it possible to increase the tungsten content to 3.41 wt. %. The microhardness of the restored layer was 310 HV. It is important to note that in the process of restoring the exhaust valve, it was quite difficult to avoid thermal deformations that resulted in the valve disc bending.
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4 Investigation of the Exhaust Valve Regeneration Results by the Flame Spraying Method To compare the previous method of restoring the exhaust valve, the results obtained by the method of flame spraying with the feed of the previously indicated wire 12X18H10T into the flame body of an acetylene-oxygen burner are considered. As in the case of electric arc surfacing, additional alloying of the sprayed material was carried out using the same composition based on a mineral concentrate (Table 2), with the addition of boron and carbon. The microstructure of the exhaust valve cut obtained as a result of flame spraying is shown in Fig. 2. The temperature of the flaming body was about 3000 °C, in this case, the temperature of the part itself reached the order of 300…400 °C. This temperature indicator was achieved by interrupting the spraying process and gradually cooling the part to 150…250 °C. The rotation speed of the restored part during surfacing was 1000 rpm.
Fig. 2. Areas of flame spraying on the exhaust valve surface (photographs made by the author): a – photo of the sample (top left), increase of the deposited layer (200 µm); b – view of the transition boundary between the base metal and the deposited layer (100 µm).
As in the previous experiment, a clear transition boundary between the valve metal layer and the sprayed layer is discernible (2 a, b). In comparison with electric arc surfacing, there is practically no significant mixing of the base metal of the valve with the dispersed material, which includes molten drops of wire and charge, which is fed together into the flaming body. Maximum transition depth of the base metal to the coating phase was no more than 20 µm. The depth to which the sprayed material is mixed into the base metal was about 10 µm. The total number of pores in the deposited layer differs significantly from the previous experiment and averages 21%. It is important to note that the pore size index for gas flame spraying is higher and can reach 250… 400 µm. The reason for this pore formation is the presence of associated chemical elements of the concentrate in combination with oxygen, which leads to degassing of the molten material on the valve surface. At the same time, the rate of the deposited layer cooling does not allow reducing the pore formation index. The coefficient of adhesion to the
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coating was 43 MPa. The chemical composition of the coating material and the base metal of the valve is presented in Table 4. Table 4. Chemical composition of the remanufactured exhaust valve metal. Spectrum
Chemical element, mass % C
Si
Mn
Ni
S
P
Cr
Mo
Ti
Cu
W
Fe
1
0.42
0.11
0.24
8.12
0.02
–
13.94
0.21
–
–
6.18
70.76
2
0.41
0.16
0.31
8.67
0.01
–
12.26
0.11
–
–
5.43
72.65
3
0.39
0.19
0.37
8.45
0.02
–
9.72
0.18
–
–
6.65
74.05
4
0.37
0.2
0.32
8.12
0.01
–
9.98
0.22
–
–
5.11
75.68
5
0.38
0.17
0.19
9.04
0.01
–
9.64
–
–
–
6.13
74.45
It was determined that the composition of the valve base metal remains mostly the same, and its parameters change when approaching the interface. The carbon content at the interface did not exceed 0.42 mass %, tungsten content – up to 5.11…6.65 mass %, the microhardness of the resulting coating was 420…480 HV. In contrast to electric arc surfacing, the valve disc does not bend during heat treatment, and the thickness of the restored layer was about 3 mm. Imparting the geometric parameters must be done with the use of turning and grinding of the part, but the volume of material removed is lower. It should be noted that it is extremely difficult to increase the layer of the applied material by the flame spraying method, and the consumption of material that does not reach the surface of the part can be up to 70%.
5 Investigation of the Results of the Exhaust Valve Surface Regeneration by Plasma Spraying When restoring the valve surface by plasma spraying, an important role is played by the formation of a plasma flaming body and the supply of the sprayed material to the high-temperature zone. The material in the plasma field undergoes the following transformations: melting, dispersion and sublimation. At the exit from the plasma flow, the molten droplets collide with the surface of the part, which leads to diffusion with the base metal. Concentrator forms a plasma flow and mixes the components of the sprayed material. A wire was also fed into the plasma flow 12X18H10T, and the charge based on scheelite concentrate. So, during the analysis of the exhaust valve cut (thin section) microstructure, the presence of a phase transition gradient between the layers of the sprayed material and the main metal of the valve was revealed, the phase boundaries are distinguishable in Fig. 3 a. The plasma flaming body temperature was on the order of 9000 °C, the temperature of the part itself was 450…600 °C. The temperature indicator of the part was achieved by interrupting the spraying process and gradual cooling of the part to 150…250 °C. The
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Fig. 3. The area of plasma spraying and the base metal of the exhaust valve (photographs by the author): a – photo of the sample, increase of the deposited layer (100 µm); b – microhardness analysis.
rotation speed of the restored part during surfacing was 1000 rpm. The total number of pores in the deposited layer differs from the previous experiment and averages 4%, but there are defects caused by the presence of associated chemical elements of the charge. At the same time, the rate of the deposited layer cooling does not allow to reduce the pore formation rate without overheating or destroying the part. The coefficient of adhesion to the coating was 67 MPa. The chemical composition of the coating material and the base metal of the valve is presented in Table 5. Table 5. Chemical composition of the remanufactured exhaust valve metal. Spectrum
Chemical element, mass % C
Si
Mn
Ni
S
P
Cr
Mo
Ti
Cu
W
Fe
1
0.27
1.12
0.18
7.46
0.01
–
12.46
0.31
0.02
–
8.12
70.06
2
0.31
1.07
0.35
8.31
0.01
–
13.21
0.33
0.03
–
7.56
68.83
3
0.29
2.13
0.21
7.65
-
–
11.97
0.28
0.02
–
7.21
70.24
4
0.33
2.43
0.14
6.82
0.01
–
12.34
0.26
0.02
–
6.42
71.24
5
0.35
1.98
0.36
8.03
0.01
–
13.72
0.24
0.01
–
7.19
68.12
It was determined that the composition of the valve base metal remains mostly the same, and its parameters change when approaching the interface. The carbon content at the interface was on the order of 0.31 mass %, tungsten content up to 7.19…8.12 mass %, the microhardness of the resulting coating was about 1000 HV.
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6 Conclusions 1. It was found that during electric arc surfacing on the restored part (valve) surface, local mixing of the base metal with the material being deposited occurs, material porosity was 7%, the microhardness of the restored layer was 310 HV. 2. It was found that there is an insignificant local mixing of the base metal with the material being deposited up to 4% at the interface during gas-flame spraying, while the porosity of the material was 21%, the microhardness of the restored layer was 450 HV. 3. It was found that there is a significant mixing of the base metal with the deposited metal during plasma spraying, while the porosity of the material was on average 5%, the microhardness of the restored layer was up to 1000 HV. 4. Chemical analysis of the samples obtained during the exhaust valve surface regeneration by various methods showed a significant change in the composition of the base metal in relation to the resulting coating. 5. The presence of the refractory metal W transition from the charge based on scheelite concentrate in the composition with boron and carbon (graphite was used as carbon) during plasma spraying into the structure of the base metal and the resulting coating was established. Thus, in plasma spraying, the average W content in the region near the interface is 7.3 mass %. 6. The possibility of using the plasma spraying method when restoring the clamping cone exhaust valve surface during the repair process, and using a mineral concentrate to alloy the resulting coating is considered, however, additional research to improve the resulting coating quality is required.
References 1. El-Bitar, T., El-Meligy, M., Khedr, M.: Investigation of exhaust valve failure in a marine diesel engine. Eng. Fail. Anal. 114, 104574 (2020). https://doi.org/10.1016/j.engfailanal.2020. 104574 2. Kostenko, A.V., Mikhaylov, A.N., Lukichov, A.V.: Technological features of formation of functionally oriented coatings of marine diesel engine parts. Mater. Today: Proc. 38(4), 1789– 1793 (2021). https://doi.org/10.1016/j.matpr.2020.08.277 3. Ji, C., Guo, Q., Xiong, B., et al.: Microstructure and properties of CrN coating via multi-arc ion plating on valve seat material surface. J. Alloy. Compd. 891, 160859 (2021). https://doi. org/10.1016/j.jallcom.2021.160859 4. Matˇejíˇcek, J., Kavka, T., Mušálek, R., et al.: Tungsten-steel composites and FGMs prepared by argon-shrouded plasma spraying. Surf. Coat. Technol. 406, 126746 (2021). https://doi.org/ 10.1016/j.surfcoat.2020.126746 5. Reddy, M.S., Patil, P.P., Muniraju, M., Shetty, K.G., Rao, T.N.: Investigation & characterization of plasma sprayed cermet coatings on special steel alloy for gas turbine applications. Mater. Today Proc. 2214, 7853 (2021). https://doi.org/10.1016/j.matpr.2021.02.092 6. Bityutskih, O.K., Kondratyev, M.V., Smolentsev, E.V., Chernykh, D.M.: Application of wearresistant coatings by plasma-spraying on the surface of parts of a complex shape. Mater. Today Proc. 38(4), 1904–1907 (2021). https://doi.org/10.1016/j.matpr.2020.08.592
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7. Baiamonte, L., Marra, F., Gazzola, S., et al.: Thermal sprayed coatings for hot corrosion protection of exhaust valves in naval diesel engines. Surf. Coat. Technol. 295, 78–87 (2016). https://doi.org/10.1016/j.surfcoat.2015.10.072 8. Johansson, S., Frennfelt, C., Killinger, A., et al.: Frictional evaluation of thermally sprayed coatings applied on the cylinder liner of a heavy duty diesel engine: pilot tribometer analysis and full scale engine test. Wear 273(1), 82–92 (2011). https://doi.org/10.1016/j.wear.2011. 06.021 9. Yuan, S., Lin, N., Zeng, Q., et al.: Recent developments in research of double glow plasma surface alloying technology: a brief review. J. Market. Res. 9(3), 6859–6882 (2020). https:// doi.org/10.1016/j.jmrt.2020.03.123 10. Kim, K.K., Karpova, I.M.: A magnetogasdynamic model of a welding arc. Russ. Electr. Eng. 87, 46–50 (2016). https://doi.org/10.3103/S1068371216010053 11. Stojanovic, B., Glisovic, J.: Application of ceramic matrix composite in automotive industry. In: Encyclopedia of Materials: Composites, pp. 275–292. Elsevier (2021). https://doi.org/10. 1016/B978-0-12-819724-0.00018-5 12. Pillai, R., Dryepondt, S., Armstrong, B.L., et al.: Evaluating the efficacy of aluminide coatings to improve oxidation resistance of high performance engine valve alloys. Surf. Coat. Technol. 421, 127401 (2021). https://doi.org/10.1016/j.surfcoat.2021.127401 13. Hemanandh, J., SenthilKumar, G., Devaraj, R., et al.: Stellite alloy coating on the valves of a four stroke diesel engine. Mater. Today Proc. 44(5), 3866–3871 (2021). https://doi.org/10. 1016/j.matpr.2020.12.850 14. Toygambaev, S.K.: Stand for repair and regeneration of engine parts. Sci. Herit. 59, 37–42 (2021). https://doi.org/10.24412/9215-0365-2021-59-1-37-42 15. Vishnoi, M., Murtaza, Q., Kumar, P.: Effect of rare earth elements on coatings developed by thermal spraying processes (TSP) – A brief review. Mater. Today Proc. 44(6), 4053–4058 (2021). https://doi.org/10.1016/j.matpr.2020.10.439 16. Fali, C., Junling, C.: Property comparison of vacuum and air plasma sprayed tungsten coatings. J. Alloy. Compd. 861, 158422 (2021). https://doi.org/10.1016/j.jallcom.2020.158422 17. Lashmi, P.G., Ananthapadmanabhan, P.V., Unnikrishnan, G., Aruna, S.T.: Present status and future prospects of plasma sprayed multilayered thermal barrier coating systems. J. Eur. Ceram. Soc. 40(8), 2731–2745 (2020). https://doi.org/10.1016/j.jeurceramsoc.2020.03.016
Elements of Technical Solutions of the System Purifying of Turnouts Based on an Icing Sensor Shokhrukh Sultonov(B)
and Vladimir Bubnov
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. The structure of an automatic system for cleaning turnouts is considered, the main advantages and disadvantages of the existing automatic systems’ precipitation detectors for turnouts cleaning are analyzed. It is concluded that it is necessary to develop a promising system based on a sensor for detecting ice or snow on a target surface. The developed block diagram of the control actions’ formation of the system for detecting ice or snow on the target surface is presented. A device and a method for detecting ice or snow on a target surface are considered. An algorithm for its technical implementation is given, as well as an algorithm for measuring the turnouts’ surface electrical heating process proactive control. The simulation results of the device and the method for determining ice or snow on a target surface in the MATLAB Simulink environment are presented. And an innovative sensor for detecting ice or snow on a monitored surface is offered. Keywords: Automatic system for cleaning turnouts · Sensor for detecting ice or snow · Method for detecting ice or snow on the target surface · Algorithm of the control program · Simulation model
1 Introduction For several decades in Russia and the world there have been and are constantly improving automatic systems for cleaning turnouts (ASCT) in winter. They do not require the use of physical labor and make it possible to avoid unreasonable costs for energy resources, as well as help to take people out of danger zone. Modern systems heat not only frame rails, but also sleeper boxes, which eliminates the appearance of ice [1–3]. Currently, there are two main systems for automatic purifying of snow and ice: electric heating and pneumatic blasting. Electric heating is used mainly in temperate climates, for example, in the central and southern parts of Russia, and air blasting is used in colder, northern regions: in the Urals, Siberia and other regions with low temperatures and cold winters. There are also combined systems that unite electric heating and air blasting [4, 5]. Increasing the trains’ speed in the context of solving the problem of reducing operating costs puts forward the new requirements for railway equipment, including electrical heating. The purpose of this article is to present the development of a control actions’ formation structural diagram of the system for detecting ice or snow on a target surface, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 889–897, 2022. https://doi.org/10.1007/978-3-030-96380-4_97
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to discuss an algorithm for measuring the anticipatory control of the turnouts’ target surface electric heating process.
2 ASCT Structure Fundamentally ASCT can be divided into 4 components that can exist separately from each other and solve separate problems without interconnection. First, this is the electrical heating equipment itself, which is directly responsible for receiving and transmitting electricity to heating elements or, in the language of the manufacturer, the brand of the (power) cabinet. Second, software (SOFT), which is responsible for data transfer or information exchange between the equipment (cabinet) and the control service responsible for cleaning the switches. The volume and quality of information depends on the tasks that the customer sets for the manufacturer. This can be information about the amount of energy consumed, about the parameters of the equipment, about errors and failures in the equipment operation, in addition, the program can help to set the necessary equipment mode, run its diagnostics, and, if necessary (in case of failure), restart the equipment into a new operation mode. Third, this is a weather station, it can be attributed to the basic (main) ASCT element. It is rightfully called the “system’s brain” and without it, ASCT operation in automatic mode is not possible. And this, in turn, affects the reliability of the snow or ice determination on the target surface, energy saving, labor protection, the service life of the equipment itself as a whole, and often is the cause of equipment breakdown or failures. Fourth is the ASCT armature. Something that directly helps to heat the rail. This includes terminal boxes, tubular heating elements (THE), protective screens, brackets for THE fastening.
3 Types of Precipitation Detectors and Principles of Their Operation The main element of any ASCT weather station is a precipitation detector (PD). Currently on the road network JSC «RZD» two types are used PD, electrothermal and optical [6]. PD today is widely used by two main ASCT manufacturers: JSC «Ladoga Energo» (SHUES-M system production) and JSC «KTN» Taganrog (SEIT-04M production). Because of its physical properties, such DO is called a direct-acting sensor. The two main disadvantages of this PD are [7]: • Short service life. Due to constant operation in a humid environment, the service life is on average 2 months; • A large number of false positives. Even with auxiliary sensors (air, rail, ground temperature), this PD often gives incorrect information for making ASCT work decisions.
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Optic PD has a number of advantages over the above-described sensor, although it is an indirect sensor. Its operation principle is based on changing the intensity of the direct and reflected beam in the presence of precipitation (rain, snow) in the air. Having a multichannel infrared sensor using direct and diffuse reflections from precipitation in its composition, as well as additional sensors, this information is converted into a signal about the presence of precipitation. In addition, this principle of operation makes it possible to determine the presence of ice on the target (heated) surface, but on the condition that PD is located in the immediate vicinity of the arrow. The considered principle of operation, as well as itself PD used in production ASCT company JSC «KTN» St. Petersburg» and is reflected in the patent (RU2582627) by the authors, which are V.F. Kochubei and V.A. Barausov.
4 Block Diagram of the Formation of the System’ Control Actions for Detecting Ice or Snow on a Target Surface Figure 1 shows a block diagram of a switch heating system based on a sensor for detecting ice or snow on a target surface [8]. The device includes: sensor, THE control cabinet and a remote unit designed to display information to the operator and the possibility of “manual” control of switching on and off the voltage to the heating elements. Sensor Sign of ice or snow
Signal for turning on the heating of the sensor housing Heating element activation signal
Heating element control cabinet
Control block
Communication unit
Temperature rail> T3
Dispatcher
OCP/AW
Media Converter
on / off heating element
Fig. 1. Block diagram of the formation of control actions of the system detecting ice or snow on the target surface.
In order to provide a technical solution to the above-listed requirements, the structural diagram shown in Fig. 2 was used, which was obtained as a result of the turnouts’ electric heating system analysis as a control object [9]. The values of the outside temperature and precipitation from the sensors pass through the filtering unit for predicting atmospheric conditions, the lowest temperature enters the forecasting unit, where the predicted temperature value is calculated over the forecasting time interval. The operation of this open loop determines the formation of ice based on the predicted value of the lowest outside temperature.
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EPOD
Forecasting block
Controlling influence
Regulator
Control surface
Disturbing impact
Precipitation sensor Filtration unit
Rail temperature sensor
Deviation from the ass. meaning
tp
Set value
Fig. 2. Block diagram of the formation of control actions of the system detecting ice or snow on a target surface.
The closed loop works as follows. The signal from the temperature sensor of the control surface of the heated rail goes to the adder, where the temperature of the heated rail is compared with the set value. The mismatch is fed to the input of the regulators and then to the comparison element, correcting the control action value at the output of the prediction unit for the heated rail. Thus, the required heating temperature of the frame rails is maintained, depending on the temperature and humidity of the environment.
5 Sensor and Method for Detecting Ice on the Target Surface For the rational functioning of the predictive control system for electrical heating, a sensor and a method for detecting ice or snow on a target surface are proposed [9]. The sensors that have 2 sensitive elements equipped with heat-conducting plates with external working surfaces for atmospheric exposure, built-in temperature sensors of the plates and heaters on their rear surface are installed on the target surface. The design of the sensor, as the main composite unit for detecting precipitation in the form of ice or snow, is simplified in Fig. 3. An enlarged block diagram of a device for implementing a method for detecting ice or snow on a target surface is shown [10]. Plan view, where the positions indicate: 1 - sensor; 2 - the first sensitive element of the sensor; 3 - the second sensitive element of the sensor; 4 and 5 - electric heaters of the first and second sensitive elements, respectively; 6 and 7 - temperature sensors (temperature sensors, mainly thermocouples) of the first and second sensitive elements, respectively; 10 - hardware part of the device. The sensor is connected to the hardware part with devices for control, measurement, information processing, indication and/or registration of signals and data transmission, which, along with the sensor, is part of the ice or snow detection device locally in the sensor location area. The device determines the initial temperature T 10 of the sensing element plates’ working surfaces; if T 10 ≤ 0 °C, then the heater of the first sensitive element is turned on. After turning on the heater of the first sensitive element, after a specified delay
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Fig. 3. Simplified sensor design.
interval t turn on the heater of the second sensitive element, which determines the asynchrony of turning the heaters on. Tracking the change in time of the working surface temperature of both sensitive elements is determined by the formula (1) by means of the sensor and control of the condition monitoring. T1 = f1 (t), T2 = f2 (t),
(1)
where T 1 , T 2 define the working surface temperature of element plates; f 1 , f 2 are the functions corresponding to empirical dependence (1, 2); t is a current time from the moment of turning on the specified heater to a value exceeding the temperature of the phase transformation of water “solid-liquid” –0 °C. The hardware part of the system determines, registers, indicates and/or transmits the difference values, thereby ensuring, together with the mentioned asynchrony, the activation of heaters, the cancellation of the useful signals’ contributions due to ice or snow melting, and zeroing of the value 2 of the harmful signals’ contributions due to exposure to air flows according to the formula (2). T (t) = T1 (t)−T2 (t).
(2)
The conclusion about the presence or absence of ice, at least in the sensor location area, is made by the nature and quantitative characteristics according to the criterion: the presence is indicated only by the practical zeroing of the value (2) T (t) = 0. At the accomplishment of the method, as a sequence of a full complex of envisaged operations, a conclusion about the presence or absence of ice or snow on the working plate of the sensor according to the established criterion based on the use of the phenomenon of temporary, at least partially, the temperature stabilization of the working surfaces T 1 , T 2 at the mentioned phase transition level is made. To implement the proposed method for detecting ice or snow on a target surface, it is necessary to determine the structural arrangement of the algorithms and develop a simulation model of an information-control program for monitoring the state of a device for detecting ice or snow of turnouts capable of implementing the received control commands. The basis for the algorithm development is the developed scheme for the system control actions formation for detecting ice or snow on the target surface [11, 12]. The operation of the device starts with the microcontroller initialization, I/O ports, setting up the interrupt handler. Next, the presence of a memory card is checked to ensure data reading for calculating the temperature of the target surface in the electric heating system. Then there is waiting for the measurement start - waiting for a signal alerting that
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measuring can be started. This signal is sent by another device (for example, a button). Checking for the presence of a memory card - an attempt is made to gain access to the SD card files through API for MicroSD. According to the answer, the presence of a file is checked, in which the measurement results will be recorded. If the file is missing, it is created. After that, power is supplied to the sensors and readings are taken during the time that the user selects. The algorithm for measuring predictive control is shown in Fig. 4.
Fig. 4. Algorithm for measuring predictive process control electrical heating of the turnouts’ target surface.
The structural arrangement of the information and control system is made with the possibility of turning on the heater of the second sensitive element with a time delay t after turning on the heater of the first sensitive element. This algorithm represents commands and control algorithms for countering offnominal emergency situations, reduced to a form convenient for developing software for a precipitation detection system.
6 Simulation Results Some results on the study of the precipitation determination in the form of ice on a controlled surface are presented in, where the MATLAB SIMULINK package was used.
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In order to assess the functioning efficiency of the algorithm for measuring “snow cover” on the working surface, a computer simulation model in the Matlab program has been developed and investigated, which allows analyzing the ongoing thermal processes in the “heating object” system. The calculation and determination of the main dynamic characteristics of the electrical heating process is carried out on the basis of simulation in the MATLAB mathematical package using the Simulink extension module [13–15]. The simulation model is based on the block diagram shown in Fig. 2. The structure of the electric heating system’s simulation model of a heated rail as a control object is shown in [15] in the form of a control object block, in accordance with the Eq. (1, 2) in the form. The model operation result of the method for detecting precipitation obtained on real experimental data for a situation with the presence of precipitation is shown in Fig. 5.
Fig. 5. Graphs of the temperature values of the sensor’s sensitive elements and their difference over the heaters’ operation time with the asynchronous switching on of their heaters (experimental, with icy working surfaces).
Where the temperature T 1 and T 2 measured by the temperature sensors are indicated by the positions u1 and u2, respectively, their difference u1’−u2’ by the position Av1. Conditional time is plotted in discrete readings on the abscissa axis (Fig. 5), and the temperature in arbitrary units is on the ordinate axis, which can be reduced to degrees Celsius, since they were obtained as a result of real experience. For clarity, the heating curves u1 and u2 are shifted down by the temperature value.
7 Conclusions Despite a fairly large number of publications devoted to the study of sensors (alarms) for ice or snow on a target surface abroad, they all concern the sensors used in the aviation
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industry, shipbuilding and power transmission lines. There are practically no publications on the use of innovative sensors in the systems for automatic heating of turnouts. The article concludes that it is necessary to create new ASCT based on more reliable and accurate sensors, which in turn increases traffic safety and reduces the consumption of electricity required for heating [16, 17]. As a result of the conducted research, the following can be highlighted: 1) All equipment similar in its properties “weather station”, “meteorological station” and so on, used on JSC «RZD», should necessarily lead to a common terminology; 2) Uniform standards as ASCT blocks, and the whole system as a whole should be developed; 3) Software of the PD determination interface of ice or snow on the control surface and the control program of the entire ASCT should be generally implemented. This research is applicable not only in the railway industry, but also in electrical networks, heating of roofs of houses, in the aviation and automotive industries.
References 1. Kim, K.K., Ivanov, S.N.: Raising of reliability of heat-generating electromechanical devices. In: International Multi-conference on Industrial Engineering and Modern Technologies, FarEastCon, p. 8934080 (2019). https://doi.org/10.1109/FarEastCon.2019.8934080 2. Lapshin, V.F.: Radiative heat transfer in plasma of pulsed high pressure caesium discharge. J. Phys. Conf. Ser. 669(1), 012035 (2016). https://doi.org/10.1088/1742-6596/669/1/012035 3. Kornaszewski, M., Dyduch, J.: The new generation electrical railway drives. Autobusy – Technika, Eksploatacja, Systemy Transportowe 19(12) (2018). https://doi.org/10.24136/ATEST. 2018.420 4. Khalill, M.M., Khomonenko, A.D., Gindin, S.I.: Load balancing cloud computing with webinterface using multi-channel queuing systems with warming up and cooling. In: Kotenko, I., Badica, C., Desnitsky, V., El Baz, D., Ivanovic, M. (eds.) IDC 2019. SCI, vol. 868, pp. 385–393. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-32258-8_45 5. Sultonov, S., Kritsky, N.A., Sultonova, Z.R.: The Structure of the control program and the method for detecting ice on the surface of the turnouts. Intellect. Technol. Transport 2(22), 59–64 (2020). https://doi.org/10.24412/2413-2527-2020-222-59-64 6. Kim, K.K.: Optimization of energy consumption of the electric heating system of railway switches. Bulletin Sci. Res. Results 1, 50–60 (2021). https://doi.org/10.20295/2223-99872021-1-50-60 7. Precipitation detector TSP02 (2021) Product offer. http://antiled66.ru/images/instrukcii/pas port_TSP02.pdf. Accessed 20 Jun 2021 8. Barausov, V.A., Bubnov, V.P., Sultonov, S.: Control software for surface ice and snow detecting device. CEUR Workshop Proceedings 2556, 75–79 (2019). https://doi.org/10.24412/16130073-2556-75-79 9. Barausov, V.A., Bubnov, V.P., Sultonov, S.: Designing automatic railway switch heating system with innovative intelligent sensors. CEUR Workshop Proc. 2924, 3–9 (2021) 10. Barausov, V.A., Bubnov, V.P., Sultonov, S., Barausov, D.V.: Algorithms of the control program of automatic cleaning systems of the turnouts based on the sensor for determining ice or snow on the controlled surface. Autom. Transport 7(2), 231–251 (2021). https://doi.org/10.20295/ 2412-9186-2021-7-2-231-251
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11. Danilov, A.I., Khomonenko, A.D., Danilov, A.A.: Dynamic software testing models. In: XVIII international Conference on Soft Computing and Measurements, St. Petersburg, pp. 72–74 (2015). https://doi.org/10.1109/SCM.2015.7190414 12. Smagin, V.A., Bubnov, V.P., Sultonov, S.: Mathematical models for calculating the quantitative characteristics of the optimal quantization of information. Transportation Syst. Technol. 7(1), 46–58 (2021). https://doi.org/10.17816/transsyst20217146-58 13. Adadurov, S., Fomenko, Y., Khomonenko, A., Krasnovidov, A.: Integration of the matlab system and the object-oriented programming system c# based on the microsoft com interface for solving computational and graphic tasks. In: Silhavy, R. (ed.) CSOC 2020. AISC, vol. 1224, pp. 581–589. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-51965-0_51 14. Bochkov, A., Pervukhin, D., Grafov, G., Nikitina, V.: Construction of Lorenz curves based on empirical distribution laws of economic indicators. Math. Statist. 8(6), 637–644 (2020). https://doi.org/10.13189/ms.2020.080603 15. Barausov, V.A., Bubnov, V.P., Sultonov, S.: Simulation modeling in methods and designs for detecting ice or snow buildup on control surface in MATLAB/SIMULINK dynamic modeling environment. CEUR Workshop Proc. 2803, 136–141 (2020). https://doi.org/10.24412/16130073-2803-136-141 16. Bubnov, V.P., Sultonov, S.: Non-stationary model of reliability of a computer system with cold redundancy. Intellect. Technol. Transport 2(26), 13–18 (2021). https://doi.org/10.24412/ 2413-2527-2021-226-13-18 17. Kim, K.K., Karpova, I.M., Anisimov, G.N., et al.: Using inductive heating in biogas production. Russ. Electr. Eng. 91(10), 609–612 (2020). https://doi.org/10.3103/S10683712201 00065
Scientific Basis for Manufacturing Highly Effective Self-compacting Concrete with Increased Strength and Durability Valentina Soloviova
and Irina Stepanova(B)
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. It has been established that the scientific basis for the creation of a highly effective self-compacting concrete mixture and high-strength concrete of increased durability on its basis is the physical and chemical processes occurring in the concrete system in the presence of a highly effective complex chemical additives and fillers of different nature. As a basis for creating a complex chemical additive, it is advisable to use surfactants represented by polycarboxylates of various natures in combination with nano dispersions that are part of the sol, which have unique properties, imparting increased reactivity to the created additive. The combined use of finely dispersed fillers and a complex chemical additive provides the creation of a highly mobile concrete mixture of increased cohesion and high-strength concrete based on it, characterized by increased resistance to cracking and increased durability. Keywords: Concrete mix · Self-compacting concrete · Viscosity · Strength · Durability · Crack resistance · Complex chemical additive · Plasticization · Stabilization · Reactivity
1 Introduction The architecture of buildings and structures of the present time has its own style, it is distinguished by increased number of storeys, lightness and uniqueness of structures this is the style of the 21st century, which must be created and preserved as a historical landmark for present and future generations. For high-rise housing construction, as well as for the manufacture of complex, densely reinforced structures located in hard-to-reach places, for example, the creation of floating platforms for oil and gas production on the sea shelf, the construction of nuclear power plants, where there should be no butt joints between structures and structural elements, highly technological concrete is needed, the basis of which is a highly mobile self-compacting concrete mixture of increased cohesion. The first examples of the self-compacting concrete mixture use were carried out in Japan at the very end of the 20th century by Professor Hayima Okamura. Experts in the field of concrete science note a number of advantages of such a concrete mixture, which are as follows: © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 898–905, 2022. https://doi.org/10.1007/978-3-030-96380-4_98
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– increased construction speed; – improving the quality of the structures’ external surface; – reduction of labor costs as a result of the mechanical vibration elimination during the work production; – reduction in the cost of work production due to a significant reduction in energy consumption in the manufacture of concrete structures; – improvement of the ecological situation due to the absence of noise from vibration. Self-compacting concrete mixtures and concretes based on them since the 2000s have started spreading in Europe and in our country during the construction of high-rise structures (76 and 65 floors high) of the “City of Capitals” complex in Moscow and the “Lakhta-Center” high-rise structure with a height of 462 m in St. Petersburg. Therefore, improving the properties of a self-compacting concrete mixture, ensuring increased connectivity, reduced mortar separation and water separation, and the creation of high-strength concrete on its basis, characterized by increased crack resistance and durability, is considered in this scientific study, which contributes to solving an important and urgent problem of modern construction. To create a high-quality concrete mixture and highly functional concrete of a new level of properties and increased durability, it is advisable to exert an effective physical and chemical effect on the concrete system, for example, using complex chemical additives that simultaneously have a hyperplasticizing, stabilizing and reactive effect. The increase in the cohesion or the concrete mixture viscosity, which affects the formation of a homogeneous concrete structure, is due to the kinetic and aggregate stability of the concrete mixture. An increase in kinetic stability is achieved with an increase in the dispersion degree of the dispersed phase and an increase in the viscosity degree of the dispersion medium [1–3]. For this, it is advisable to additionally use finely dispersed fillers as a component of the concrete mixture, which should increase the overall dispersion degree of the dispersed phase and, as a consequence, should increase the cohesion of the concrete mixture. To increase the viscosity of the dispersion medium, it is advisable to use a sol of a certain nature as one of the additive components. The aggregate stability of the dispersion system can be increased under the action of surfactants, which are advisable to be considered as a component of a complex chemical additive [4–6]. The formation of the physical and mechanical properties of concrete is interconnected with the hydration processes occurring in the concrete system during its hardening, which should result in the formation of an increased amount of tobermorite-like hydrosilicates or the formation of hydrated phases of a new composition, which, as a rule, affect the compaction of the forming concrete structure and as a consequence, have a positive effect on the compressive strength and tensile strength in bending, which should improve the properties of concrete, having a positive effect on its durability. To solve such a complex problem, it is advisable to use the substances with reactive activity as one of the additive components. Such components can include substances containing nano dispersions, which have special unique properties, as a result of a very small size and a formed surface, which has an increased surface energy and a certain pH value and electrolytes of an organic or inorganic nature can also be reactive.
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To create an effective complex chemical additive, an aqueous solution of a polycarboxylate copolymer of acrylic acid with a density ρ = 1.025 g/cm3 and pH = 6.0–6.5, the effectiveness of which was enhanced by a polycarboxylate of a different nature, represented by an aqueous solution of a copolymer of acrylic anhydride and maleic acid with a density ρ = 1.027 g/cm3 and the pH value pH = 6.0–6.5 and electrolytes of organic nature, presented by: sodium gluconate NaC6 H11 O7 ; potassium gluconate KC6 H11 O7 [7–10].
2 Materials and Methods The rational ratio of the created chemical additive studied components was experimentally determined to create a concrete mixture, the mobility of which corresponded to the spread of the cone (550–650) mm, the effectiveness of the additive components was additionally evaluated by the formation of the highly mobile concrete mixture cohesion, which was determined by the time it took to reach a cone outflow with a diameter of 500 mm, and also by the magnitude of mortar and water separation. The following materials were used for the research: – Portland cement JSC “Pycalevsky Cement” PC 500 D0-H according to GOST 1017885, normally setting; – sand for construction work in accordance with GOST 8736-2014, with a size module Mk = 2.3, the content of dust and clay particles - 0.92%, clays in lumps - no; – crushed stone from dense rocks of the “Sivogorsk localization of granites”, fraction 5–10 mm according to GOST 8267-93, the content of dusty and clay particles is 0.98%, the content of clay in lumps - none, crushed stone corresponds to the grade 1400. Based on the above-shown theoretical assumptions, to create a coherent highly mobile concrete mixture, it is advisable to introduce a finely dispersed filler; at this stage of the study, the following filler was introduced: – finely ground Uglovsky limestone JSC “Uglovsky Lime Plant”, mass fraction CaCO3 + MgCO3 – 95.7%, with specific surface area, Ssp . = 310 m2 /kg. At this stage of the study, the following composition of the concrete mixture was used, kg/m3 : Portland cement – 460; sand – 740; crushed stone – 850; filler – 90; W/C – 0.58. The effectiveness of each component of the additive, as well as of the complex chemical additive, in general, was assessed by the change of a highly mobile concrete mixture in the connectivity indicators and by the change in the strength indicators of concrete based on a self-compacting concrete mixture. The results of the scientific and experimental research are presented in Table 1.
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Table 1. Evaluation of the effectiveness of the acrylic acid polycarboxylate copolymer action in combination with components of a different nature.
2
460
0.5
-
-
-
3
460
0.6
-
-
-
4
460
0.7
-
-
-
5
460
0.6
0.1
-
-
-
0.43
590
6
460
0.6
0.2
-
-
-
0.42
595
7
460
0.6
0.3
-
-
-
0.41
600
8
460
0.6
0.2
0.05
-
-
0.39
640
9
460
0.6
0.2
0.06
-
-
0.38
642
10
460
0.6
0.2
0.07
-
-
0.37
644
11
460
0.6
0.2
0.06
0.3
-
0.38
630
12
460
0.6
0.2
0.06
0.5
-
0.37
636
13
460
0.6
0.2
0.06
0.7
-
0.37
630
14
460
0.6
0.2
0.06
-
0.3
0.38
633
15
460
0.6
0.2
0.06
-
0.5
0.37
638
16
460
0.6
0.2
0.06
-
0.7
0.38
634
9
10
400
-
0.47
560
-
0.45
560
-
0.45
560
W/C 8 0.58
Flexural tensile strength, MPa
7
Compressive strength, MPa
6
Water separation, %
5
Solution separation, %
KC6H11O7
4
Test composition
Evaluation of the concrete mixture viscosity (time to reach a spreading diameter of 500 mm, sec.)
NaC6H11O7
3
460
Cone spread, mm
Silicic acid sol, SiO2∙n2H2O, with ρ = 1.021 g/cm3 and pH = 3.5-4.0
2
1
Cement consumption for 1 m3 concrete mix, kg
1
No.
Aqueous solution polycarbonate copolymer of acrylic and maleic anhydride with ρ = 1.027 g/cm3 and pH = 6.0- 6.5
Age, 28 days
Aqueous solution of acrylic acid polycarbonate copolymer with ρ = 1.025 g/cm3 and pH = 6.0-6.5
Components of a complex chemical additive, wt. % by weight of cement
11
12
13
14
4
0.8
58.0
6.8
3
4
0.8
64.3
7.6
1.5
4
0.8
66.7
7.9
6
3.6
0.6
72.0
9.0
6
3.5
0.56
73.7
9.1
6
3.5
0.56
76.0
9.4
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It has been experimentally established that the greatest plasticizing effect is achieved with the combined use of polycarboxylates of different nature, which provides a decrease in W/C ratio by more than 27% and at the same time the concrete mixture has a given mobility, but the concrete mixture viscosity is lowered, the indicators of solution separation and water separation have maximum permissible values. It was found that the polycarboxylates used have good compatibility with the silicic acid sol and impart a hyperplasticizing effect to the forming additive, which is confirmed by a decrease in W/C ratios by 34% with a cone spread of 642 mm, in addition, the additional use of a silica sol stabilizes the concrete mix. [11–15]. The stabilization effect and an increase in the cohesion of the concrete mixture is confirmed by an increase in the time up to 6 s until the spreading of a cone with a diameter of 500 mm is reached and a decrease in the amount of solution separation comes to a value of 3.6% and a value of water separation - to a value of 0.6%. The additional use of electrolytes of organic nature insignificantly changes the concrete mixture properties, their main purpose is to increase the concrete mixture survivability and increase the hydration degree of the hardening system components.
3 Results and Discussion Based on the experimental studies carried out, the most effective following component composition of the created complex chemical additive was established, wt. %: Aqueous solution of polycarboxylate copolymer: – – – – – – – – –
acrylic acid with density ρ = 1.025g/cm3 and pH = 6.0-6.5 - 27.6; Aqueous solution of polycarboxylate copolymer; acrylic anhydride and maleic acid with density ρ = 1.027 g/cm3 and; pH value pH = 6.0 – 6.5 - 9.2; Colloidal solution (silicic acid sol) SiO2 ·nH2 O with density ρ = 1.021g/cm3 and pH value pH = 3.5 - 4.0 - 2.76; Organic electrolyte; (sodium gluconate NaC6 H11 O7 or potassium gluconate KC6 H11 O7 ) - 23.0; Water - 37.44.
In the process of further research, it was experimentally established that the rational amount of the developed complex chemical additive is (1.0 ± 0.2) mass % from the cement mass. To assess the changes in compressive strength and tensile strength in bending, as well as to assess the resistance of concrete to cracking, concrete of class B30 and class B45 (as the most demanded in construction) was studied in the presence of a developed complex chemical additive and finely dispersed fillers of different nature. For the control composition of concrete B30, the following material costs were used, kg/m3 : PC 500 D0 - 370; Sand with Mk = 2.3 - 804; Fraction crushed stone 5–10 mm 908; Finely dispersed filler - 80; Water by GOST 23732–2011 - 218.
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For the control composition of concrete B45, the following material costs were used, kg/m3 : PC 500 D0 - 470; Sand with Mk = 2.3 - 685; Fraction crushed stone 5–10 mm 908; Finely dispersed filler - 70; Water by GOST 23732–2011 - 277. Additionally, the influence of the finely dispersed filler nature of the same fineness, on the properties of a concrete mixture and concrete was assessed. The following excipients were used in this study: – magnesian limestone with Ssp ≈ 310 m2 /kg; – finely dispersed slag with Ssp ≈ 310 m2 /kg; – ash from combustion of solid fuel with a high content SiO2 and specific surface area Ssp ≈ 310 m2 /kg. The results of the experimental studies to assess the action effectiveness of the additives and fillers of different nature show that fly ash has the greatest effect on increasing the mobility of the concrete mixture of the considered finely dispersed fillers, then finely ground blast furnace slag and magnesian limestone, which, approximately to the same extent, increase the mobility, but it should be noted that the best indicators for the concrete mix cohesion are provided by finely ground natural limestone, which is confirmed by the lower values of solution and water separation, and ash gives the lowest concrete mix cohesion. Regardless of the filler nature, it has been established that the additional use of organic electrolytes contributes to an increase in strength and, at the same time, the effectiveness of the potassium gluconate action is higher than that of sodium gluconate by 11–13%. Apparently, this is due to the higher mobility of the potassium cation (K+ ) with respect to sodium cation (Na+ ). Comparative analysis of the results obtained shows that the increase in tensile strength in bending is (15–39) %, while the increase in compressive strength is (6–26) %, which is possibly due to the occurrence in the hardening system and synthesis reactions between formed by calcium hydro silicates and nano dispersions SiO2 , included in the silica sol. Higher growth in tensile strength in bending relative to growth in compressive strength, provides an increased rate of crack resistance Kcr. ≥ 0.13, which exceeds the regulatory requirements ≈ by (8–10) % and gives self-compacting modified concrete increased resistance to cracking during operation. The assessment of the self-compacting modified concrete durability was carried out in terms of frost resistance and water resistance, which are presented in Table 2. Regardless of the filler used, B30 and B45 concrete is characterized by high durability; frost resistance corresponds to the brand F1300 and water resistance corresponds to the W8 brand for B30 concrete. For B45 concrete frost resistance corresponds to the brand F1 400 and waterproof brand W12.
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Table 2. Frost resistance and water resistance of self-compacting concrete with a developed complex chemical additive in the presence of fillers of different nature. No
Concrete class, B
Consumption of Filler name Portland cement for 1 m3 concrete mix, kg
Mark for the mobility of the concrete mixture, assessed by the cone spread
Frost resistance grade, F1
1
2
3
4
5
6
7
1
B30
370
Magnesian limestone
SF1
300
8
370
Blast furnace slag
SF1
300
8
2 3
Waterproof grade, W
370
Ash
SF1
300
8
470
Magnesian limestone
SF1
400
12
5
470
Blast furnace slag
SF1
400
12
6
470
Ash
SF1
400
12
4
B45
4 Conclusions It has been established that the developed chemical additive, consisting of a mixture of polycarboxylates of a different nature, a sol of silicic acid and organic electrolytes, is highly effective and has super plasticizing, stabilizing and reactive action effects. The use of a complex chemical additive increases the cohesion of the highly mobile concrete mixture and increases the hydration degree of the concrete mixture components, providing an increase in compressive strength and tensile strength in bending above the design values. It was experimentally determined that the effectiveness of the action of fillers of different nature on the concrete mixture properties is decreased in the following sequence:
Fine-ground magnesian limestone
Fine-ground blast-furnace slag
Ash from solid fuel combustion
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References 1. Soloviova, V., Stepanova, I., Soloviov, D.: High-strength concrete with improved deformation characteristics for road surfaces. Transp. Soil Eng. Cold Reg. 2, 339–345 (2020). https://doi. org/10.1007/978-981-15-0454-9_35 2. Soloviova, V., Stepanova, I., Soloviov, D., Yorshikov, N.: Increasing the level of properties of composite materials for civil engineering geoconstruction with the use of new generation additives. Transp. Soil Eng. Cold Reg. 2, 387–393 (2020). https://doi.org/10.1007/978-98115-0454-9_40 3. Benin, A., Guzijan-Dilber, M., Diachenko, L., Semenov, A.: Finite element simulation of a motorway bridge collapse using the concrete damage plasticity model. E3S Web Conf. 157, 06018 (2020). https://doi.org/10.1051/e3sconf/202015706018 4. Sakharova, A.S., Petriaev, A.V., Kozlov, I.S.: new construction solutions for geoenvironment protection of transport infrastructure. IOP Conf. Ser. Earth Environ. Sci. 272(2), 022220 (2019). https://doi.org/10.1088/1755-1315/272/2/022220 5. Shershneva, M.V., Chernakov, V.A., Bobrovnik, A.B.: Features of geoecoprotective properties’ manifestation of some silicate-containing waste products. IOP Conf. Ser. Earth Environ. Sci. 272(2), 022025 (2019). https://doi.org/10.1088/1755-1315/272/2/022025 6. Svatovskaya, L., Sychov, M., Drobyshev, I.: Geosphere protection on the base of foam building systems. IOP Conf. Ser. Earth Environ. Sci. 272(2), 022161 (2019). https://doi.org/10.1088/ 1755-1315/272/2/022161 7. Benin, A., Bogdanova, E.: Influence of storage conditions and corrosive environments on the mechanical properties of GFRP rebars. Civil Environ. Eng. 14(2), 86–90 (2018). https://doi. org/10.2478/cee-2018-0011 8. Svatovskaya, L., Britov, V., Drobychev, I.: Modern technologies of a mineral material surface improvement for transport construction. MATEC Web Conf. 239, 01006 (2018). https://doi. org/10.1051/matecconf/201823901006 9. Benin, A., Nazarova, S., Uzdin, A.: Designing scenarios of damage accumulation. In: Murgul, V., Pasetti, M. (eds.) EMMFT-2018 2018. AISC, vol. 983, pp. 600–610. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-19868-8_57 10. Soloviova, V., Stepanova, I., Ershikov, N., Soloviov, D.: Improving the properties of composite materials for civil engineering. E3S Web Conf. 91, 02015 (2019). https://doi.org/10.1051/e3s conf/20199102015 11. Maslennikova, L.L., Naginskii, I.A., Troshev, A.N.: Use of waste from aluminothermic welding of railroad tracks in structural materials science. Proc. Eng. 189, 94–98 (2017). https:// doi.org/10.1016/j.proeng.2017.05.016 12. Svatovskaya, L., Kabanov, A., Urov, O., Sychov, M.: Soling in transport construction technologies. J. Eng. Appl. Sci. 12(11), 9126–9128 (2017). https://doi.org/10.3923/jeasci.2017. 9126.9128 13. Temnov, V.G., Rusanov, G.E., Bolotin, S.A., Gelfond, A.L.: Ecology and architectonics construction objects of urban environmental. Water Ecol. 4, 95–102 (2017). https://doi.org/10. 23968/2305-3488.2017.22.4.95-102 14. Benin, A., Semenov, S., Semenov, A., Bogdanova, G.: Parameter identification for coupled elasto-plasto-damage model for overheated concrete. MATEC Web Conf. 107, 00042 (2017). https://doi.org/10.1051/matecconf/201710700042 15. Egorov, V.V., Sudakov, A.N.: Oscillation of combined strut-framed systems of buildings and structures in conditions of vibration subgrade. Proc. Eng. 189, 818–822 (2017). https://doi. org/10.1016/j.proeng.2017.05.127
Features in Calculating the Operating Standards Non-linearly Related to the Station Activity Size Maksim Chetchuev1
, Vladimir Kostenko1(B)
, and Nikolay Okulov2
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue,
St. Petersburg 190031, Russian Federation 2 Ural State University of Railway Transport, 66 Kolmogorova Street,
Ekaterinburg 620034, Russian Federation
Abstract. The article is devoted to the consideration of possible methods of operating standards’ calculation, non-linearly related to the station activity size. To determine the simplest method and evaluate the reliability of the calculation results obtained with its use. The paper outlines two approximate methods for taking into account fluctuations in the work content and throughput in determining the standards of the station activity. According to the proposed methods, calculations of the average values of wait time of unpacking and formation of trains at the marshal yard. Comparison of the calculation results showed that the differences in the obtained values of wait time for unpacking and formation of trains are insignificant. In view of this, a simpler method of accounting for instability in the transport process compared in the article is recommended for such calculations. The use of the method recommended in the article will significantly simplify the calculations of the operational standard, nonlinearly related to the station activity size. Keywords: Operating standards · Railway station · Unevenness of transport process · Amount of traffic · Capacity · Service waiting time
1 Introduction When substantiating a rational development stage of railway stations and nodes, the expediency period of transition to the next stage is established by comparing necessary capital expenditures (CAPEX) for strengthening of facilities capacity with savings in operational expenditures (OPEX) achieved due to this capacity strengthening and scheme improvement and technology of station operation [1–3]. The main part of operating cost savings is achieved by reducing rolling stock downtime waiting for service and train delays due to non-acceptance by stations [4, 5]. Difficulties in correctly estimating these costs, which are nonlinearly dependent on the size of work, are associated with the unevenness of transportation processes throughout the year [6, 7].
2 Materials and Methods The average values of downtime waiting for service depend on service utilization ρ, which is the ratio of the incoming flow density λ to the service intensity μ: ρ = λ/μ. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 906–914, 2022. https://doi.org/10.1007/978-3-030-96380-4_99
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The values λ and μ can be determined through the daily values of traffic sizes of traffic sizes N and available throughput (processing) capacity N a : λ=
Na N ;μ = . 24 24
(1)
Consequently, the system load can be represented as follows ρ=
N . Na
(2)
The used values ρ, obtained by formula (2) to calculate annual expenditures cause certain difficulties due to the inconstancy of N and N a values. At present, it is generally accepted that fluctuations of the daily dimensions of freight traffic N are subject to the normal law of distribution [8–11]. The available capacity of station facilities N a is also subject to random fluctuations. This naturally leads to fluctuations in the load factor of service devices ρ. Thus, in real conditions the station facilities operate under conditions of variable loading, varying on some days within some limits from ρmin to ρmax (see Fig. 1), where ρmin =
N min N max ;ρ = . max Namax Namin
(3)
Fig. 1. Density curves of the daily work sizes and available capacity distribution.
It is possible that due to fluctuations of movement sizes and available capacity, the service unit or channel load on any given day may exceed unity if the movement size is greater than the available capacity. In this case, the system overloading will occur, which probability will be characterized by the shaded area in Fig. 1. These situations arise for example in the winter period in front of marshal yards, when due to severe frosts or snowfalls the resistance to detachments rolling on hills sharply increases and the intensity of train dissolution decreases, while the size of trains coming to processing
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remains quite high. Special regulatory measures have to be taken, and the most common one is the temporary abandonment of a part of trains at preloading stations. Similar difficulties occasionally arise during adverse weather conditions and in front of port stations. In order to correctly estimate the losses associated with rolling stock downtime waiting for service, as well as train delays at non-receiving stations, it is necessary to know the average time of these downtimes per transport unit during the year. If the dependence of wait time t ex and delay time t d on the system load ρ, was linear, then the average values of these times, calculated for the annual average value ρ = N /Na , could be taken as the average for all transport units. However, the functions t ex = f (ρ) and t d = f (ρ) are nonlinear and convex, so the average waiting and delay times per transport unit during the year will always be greater than the values calculated for the average values ρ (see Fig. 2). The problem of accounting for random fluctuations in the loading of transport systems when determining the waiting time of service and delays of trains by non-receipt in general form cannot be solved exactly [12–15], because the empirical formulas obtained by statistical processing of the results of station operation simulation are valid for a limited segment of values ρ. Therefore, below two approximate methods for taking into account fluctuations in the volume of work and throughput capacity in determining the performance of stations are considered.
Fig. 2. Dependence nature of the service wait time on the system load.
The first of them (method 1) is based on the replacement of nonstationary flow by piecewise stationary one, and the second (method 2) on the use of numerical characteristics of a random quantity ρ which is a ratio of two random quantities N and N a with known distribution parameters. 2.1 The First Method of Accounting for Non-stationarity of Traffic Flow If the expression for the average service waiting time is presented in the general form tex = φ(ρ) = φ(N , Na ),
(4)
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then in the first method of taking into account non-stationarity of the traffic flow, the probability density function f (N) and f (N a ) (see Fig. 1) should be replaced with histograms with the number of digits at least of standard deviations σN i σNa and consider the combinational probabilities for each digit of one histogram with all digits of another histogram. Then the average service waiting time per transport unit during the year can be obtained from the expression av = tex
k i=1
(N )
pi
s j=1
(Na )
φ(Ni , Naj )pj
,
(5)
where k, s is a number of digits in which the values are divided by, respectively N and N a; (N ) (N ) pi , pj a are the probabilities of the values N and Na respectively in ith and jth spark discharges; Ni , Naj are the average values N and N a in the relevant discharges. In a similar way, the average values of the number of delayed trains Ndav and their downtime at the preloading stations tdav , for which it is only necessary to replace the function type φ(N , Na ). Considering the high complexity of calculations according to formula (5), it is advisable to perform them using computer technology. 2.2 The Second Method of Taking into Account the Non-stationarity of the Traffic Flow The implementation of the second accounting method for fluctuations in the volume of work and throughput capacity is considered below on the example of wait time for dis and forming t sh trains at marshal yards. unpacking tex ex Average wait time for unpacking of trains at marshal yards is determined by the following formula dis (6) tex = 14.4 · aν2en + bνen , where a and b are the empirical coefficients depending on the cargo load factor of the hump ρ h : a = 43.5069ρ2h − 20.2034ρh − 8.3783;
(7)
b = 7.3172ρ2h − 38.2992ρh + 24.288;
(8)
ν en is a variation coefficient for the incoming flow of processed trains. The average wait time for the train formation in the marshal yard when loading shunting locomotives working on the stretching tracks, at ρsep ≤ 0.55 it is recommended to take 1.5 min, and when ρsep > 0.55 – to determine from the expression sh = 146.4 − 526.2ρsep + 478.8ρ2sep . tex
(9)
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In order to take the influence of random fluctuations in the daily sizes of work and processing capacity of service units on the average daily downtime of trains waiting for service for a year into account, it is necessary first to solve the problem of determining the numerical characteristics of the ratio distribution of two random values. Suppose that random variables X and Y are independent, have finite moments and all possible values of X and Y are concentrated on the positive semi axis. It is necessary to obtain formulas for calculating the moments of the first two orders of magnitude Z = XY from the given moments of values X i Y: mX = MX > 0; σX2 = M (X − MX )2 = DX ; mY = MY > 0; σY2 = M (Y − MY )2 = DY , where mX , mY are the first moments of random values X and Y, equal to their mathematical expectations MX and MY. σX , σY are the standard deviations of quantities X and Y. As it will be seen further, the accuracy of the obtained approximations will be the higher, the smaller will be the variation coefficient of the value Y σY . mY
(10)
Y − mY , σY
(11)
νY = Let us consider the value Y0 =
that is the result of centering and normalization of the random value Y, so that mY0 = MY0 = 0; σY2 0 = DY0 = 1.
(12)
Then the value of Z can be represented as X , mY (1 + νY Y0 )
(13)
X 1 − νY Y0 + ν2Y Y02 − ... . mY
(14)
Z= or applying a series expansion, Z=
The validity of this expansion is guaranteed if the coefficient of variation ν Y is small enough, so that with a probability close to unity the following inequality is true ν[Y0 ] < 1.
(15)
Turning to the mathematical expectations in both parts of equality (14), we obtain an approximate formula mX MZ ∼ 1 + ν2Y . (16) = mY
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The calculation error MZ by the formula (16) is determined by the value of the residual in parentheses of expression (14), i.e., in the general case it is of the order ν2Y , and in the case of symmetric distributions, which include the normal −ν2Y . To calculate the second momentum of the value Z it is expedient to use the decomposition Z2 =
X2 2 2 1 − 2ν Y + 3ν Y − ... . Y 0 0 Y m2Y
(17)
As a result, the following approximation formula is obtained MZ 2 =
m2X + σX2 m2Z
1 + 3ν2Y ,
the calculation error is of the same order as in formula (16). From (18) and (16) a dispersion formula of the value Z is obtained 2 2 νY mX + 1 + 3ν2Y σX2 DZ = MZ 2 − (MZ)2 ∼ . = m2Y Knowing dispersion, it is easy to determine the standard deviation √ σZ = DZ, νZ = σZ /MZ.
(18)
(19)
(20)
The obtained formulas allow to establish the dependence of the numerical characteristics σ Z and ν Z on the initial values MX, MY, σ X and σ Y (Figs. 3, 4) for any considered distributions of random values X and Y. In addition, it seems possible by using expressions (16) and (18) to refine the calculated formulas for determining the average wait time of unpacking and formation of trains at the marshal yards. To do this, instead of values ρ and ρ2 substitute in the design formulas (7)–(9) their mathematical expectations determined from expressions. Mρ =
N Na
1 + ν2Na ;
N + σN 2 1 + 3ν , Mρ = N a 2 Na
(21)
2
2
where vNa is the variation coefficient of the available processing capacity.
(22)
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Fig. 3. Dependence σZ on σX and σY .
Fig. 4. Dependence νZ on νX and νY .
3 Results Comparison of some results in calculations of the average values for wait time of unpacking and trains formation by the first and second considered methods of accounting for fluctuations in system loading is presented in Table 1, which shows that the results obtained by both methods are very close. The discrepancy does not exceed 2%. This testifies to the expediency of application in practical calculations of the simpler second method to account the non-stationarity of the transport process, based on the representation of the daily load of service units as the ratio between random values in the volume of work and the available throughput or processing capacity.
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Table 1. The results of calculating the average values for wait time of unpacking and trains formation by the first and second considered methods of accounting for fluctuations in system loading. Input data for calculations
Average waiting time, min. Unpackings
Formations
N
Na
νN
νNa
Method 1
Method 2
Method 1
Method 2
72
90
0
0 0.02 0.04 0.06
11.22 11.41 11.97 12.92
11.22 11.40 11.91 12.77
31.87 32.07 32.69 33.73
31.87 32.07 32.67 33.67
0.03
0 0.02 0.04 0.06
11.52 11.71 12.27 13.22
11.50 11.68 12.19 13.05
32.15 32.35 32.97 34.01
32.15 32.35 32.95 33.94
0.06
0 0.02 0.04 0.06
12.42 12.60 13.17 14.13
12.34 12.52 13.04 13.90
32.99 33.19 33.81 34.86
32.98 33.18 33.78 34.78
0
0 0.02 0.04 0.06
30.98 31.24 32.04 33.40
30.98 31.22 31.96 33.19
60.65 60.93 61.78 63.22
60.65 60.92 61.75 63.13
0.06
0 0.02 0.04 0.06
32.49 32.75 33.56 34.93
32.39 32.64 33.38 34.62
62.06 62.34 63.19 64.64
62.04 62.32 63.15 64.54
72
80
As for the increase in operation wait time when taking into account the fluctuations in the size of work and available capacity, depending on the ratio of variation coefficients νN and νNa this increase can reach 40% or more compared to the calculations based on average values. This indicates the need for such consideration, which will significantly increase the validity of design decisions on the development of stations and nodes.
References 1. Timukhina, E.N., Kascheeva, N.V., Afanasyeva, N.A., Koscheev, A.A.: Feasibility study of solutions aimed to increase the capacity of serving facilities in systems of railway transport. Ural Transp. 1(56), 35–44 (2018). https://doi.org/10.20291/1815-9400-2018-1-35-44 2. Kukleva, N.V., Kuklev, D.N.: Study of bypasses for high-speed passenger trains, as an alternative to the reconstruction of railway stations. IOP Conf. Ser. Earth Environ. Sci. 459, 032022 (2019). https://doi.org/10.1088/1755-1315/459/3/032022
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3. Gozbenko, V.E., Belogolov, Y.I., Olentsevich, V.A.: Analysis of the level of reliability and stability of organizational and technical systems of the transportation process of railway vehicles. Mod. Technol. Syst. Anal. Model. 1(57), 147–156 (2018). https://doi.org/10.26731/ 1813-9108.2018.1(57).147-156 4. Kostenko, V.V., Bogdanovich, D.E.: Practical application of a digital model for a railway station reconstruction feasibility study. Res. Bull. 1, 61–73 (2021). https://doi.org/10.20295/ 2223-9987-2021-1-61-73 5. Macheret, D.A., Razuvaev, A.D., Ledney, A.Y.: Economic assessment of seasonal unevenness in railway infrastructure loading. World Transp. Transp. 18(1), 94–115 (2020). https://doi. org/10.30932/1992-3252-2020-18-94-115 6. Kozlov, P.A., Kolokolnikov, V.S.: Theoretical aspects of interaction of flow and structural elements in transport systems. Ural Transp. 4(63), 3–7 (2019). https://doi.org/10.20291/18159400-2019-4-3-7 7. Ivankova, L.N., Ivankov, A.N., Burakova, A.V.: Taking into account the peculiarities of the traffic of external and internal transport in the design of sorting devices at industrial sorting stations and ports. Mod. Technol. Syst. Anal. Model. 1(65), 165–171 (2020). https://doi.org/ 10.26731/1813-9108.2020.1(65).165-171 8. Pokrovskaya, O., Orekhov, S., Kapustina, N., Kizyan, N.: Formation of logistics facilities in transport corridors. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012032 (2020). https://doi.org/ 10.1088/1757-899X/918/1/012032 9. Kokurin, I.M., Timchenko, V.S.: Method for estimating the probability of ensuring the required capacity of the track used for transportation of seaport cargo with regard to the provision of “gaps.” Ural Transp. 2(49), 81–86 (2016). https://doi.org/10.20291/1815-94002016-2-81-86 10. Pokrovskaya, O., Fedorenko, R., Khramtsova, E.: Modeling of a system for organization of traffic via a terminal network. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1116, pp. 1162–1175. Springer, Cham (2020). https://doi.org/10.1007/9783-030-37919-3_114 11. Nerses, K., Levon, B.: Study of flow dynamics in the model of cargo transportation organization along a circular chain of stations. Econ. Math. Methods 1, 83–91 (2021). https://doi. org/10.31857/S042473880013024-5 12. Zhuravleva, N., Guliy, I., Polyanichko, M.: Mathematical description and modelling of transportation of cargoes on the base digital railway. Vide. Tehnologija. Resursi – Environ. Technol. Resour. 2, 175–179 (2019). https://doi.org/10.17770/etr2019vol2.4049 13. Potylkin, E.N.: Mutual work of industrial and mainline rail transport in the presence of private rolling stock. Transport. Transp. Facilities Ecol. 3, 69–78 (2018). https://doi.org/10.15593/ 24111678/2018.03.08 14. Shi, T., Zhou, X.: A mixed integer programming model for optimizing multi-level operations process in railroad yards. Transp. Res. Part B Methodol. 80, 19–39 (2015) 15. Ignatov, A.N., Naumov, A.V.: On the problem of increasing the capacity of a railway station. Autom. Telemechanic 1, 131–146 (2021). https://doi.org/10.31857/S0005231021010074
Feasibility of a Pylon Station Construction from Monolithic Reinforced Concrete in the Engineering and Geological Conditions of St. Petersburg Vladimir Kavkazskiy1(B) , Dmitry Olenich2 and Konstantin Korolev3
, Andrey Benin1
,
1 Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue,
190031 St. Petersburg, Russian Federation 2 Institute Giprostroymost Saint Petersburg, 7, Yablochkova Street,
197198 St. Petersburg, Russian Federation 3 Siberian Transport University, 191 Dusi Kovalchuk Street,
630049 Novosibirsk, Russian Federation
Abstract. In recent years, the structures made of monolithic reinforced concrete are increasingly developing in the field of underground construction. This became possible thanks to such modern tunneling technologies’ development as NATM and ADECO & RS, which have firmly established themselves abroad. Foreign experience of construction in soils similar in their physical and mechanical characteristics gives reason to assert the possibility of using new technologies in Russia. However, this task requires an integrated approach to its solution. This article provides an experimental and theoretical substantiation of the feasibility of a pylon station structure from monolithic reinforced concrete in the engineering and geological conditions of St. Petersburg, using the example of the planned station of the Petersburg metro “Chernigovskaya” of the “KrasnoselskoKalininskaya” line under construction from the station “Obvodny Canal - 2” to the station “Yugo-Zapadnaya”. Keywords: Monolithic reinforced concrete pylon station · NATM · ADECO and RS · Physical modeling · Equivalent materials method · Mathematical modeling
1 Introduction There has been an increased interest in the structures made of monolithic reinforced concrete in recent decades. So, using the methods “NATM”, “ADECO & RS”, as well as their varieties, it became possible to create large-span workings in soils of varying degrees of stability, and the use of flexible temporary lining made of sprayed concrete with combined reinforcing elements from arches and anchors made it possible to learn how to manage rock pressure on permanent lining, increasing the efficiency of using monolithic reinforced concrete structures [1–15]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 915–924, 2022. https://doi.org/10.1007/978-3-030-96380-4_100
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Petersburg Metro is located mainly in the layer of Proterozoic clays. The experience of world tunneling gives reason to assert that in soils similar in their physical and mechanical characteristics, the construction of monolithic reinforced concrete is fully justified from both technological and economic points of view (Table 1). Table 1. Comparison of physical and mechanical characteristics of clay soils. Name
Soil types London clays
Proterozoic clays
Volume weight γ, t/m3
2.0
2.23
Total deformation modulus E0, MPa
50
200
Adhesion C, kPa
135
150
Internal friction angle ϕ, °
20
22
Lateral expansion coefficient υ
0.20
0.18
* Data for Proterozoic clays are taken from the technical report “Investigation of the deformative and strength properties of Proterozoic clays and recommendations for their use in the design of underground reservoirs’ lining”
It follows from this that the introduction of the technology for the construction of deep underground stations from monolithic reinforced concrete in the conditions of St. Petersburg is an urgent task that requires a timely solution. In particular, in St. Petersburg, a version of the first deep-level metro station, completely made of monolithic reinforced concrete, has already been proposed. It should be “Chernigovskaya station”.
2 Analysis of Constructive Solutions of the Station “Chernigovskaya” The planned “Chernigovskaya” metro station of the “Krasnoselsko-Kalininskaya” line will be located in the Moskovsky district of St. Petersburg in the zone of public and business development on the territory of the historically formed city district. According to its constructive scheme, it will be a pylon station, consisting of three workings of a horseshoe-shaped cross-section, interconnected by side passenger passages. The vaults and walls of the tunnels will be completely made of monolithic reinforced concrete, and the reverse vault will be made of prefabricated elements. At the same time, Freyssinet jacks will be located between the trough blocks – this will speed up the process of including the reverse vault in the static operation of the entire station structure and reduce the possibility of shifting the wall bottom into the working. A typical platform station section is shown at the Fig. 1.
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Fig. 1. Design of a typical platform section of the “Chernigovskaya” station.
3 Physical Modeling of the Station by the Method of Equivalent Materials 3.1 General Information. Selection of Equivalent Materials Physical modeling of the “Chernigovskaya” station structure and the surrounding soil massif (Proterozoic clay) by the method of equivalent materials was carried out on a special hydraulic stand installed in the tunnel modeling laboratory of the Department of Tunnels and Underground Railways PGUPS. The selection of an equivalent material was carried out taking into account the modeling scale (1:20). Proceeding from the condition of observance of Newton’s mechanical similarity, the following values were chosen: modulus of total deformation E; specific adhesion C; internal friction angle ϕ; lateral expansion coefficient υ. According to the test results, a soil consisting of a mixture of quartz sand (fraction 0.05–0.60 mm), ground mica (fraction 0.05–1.0 mm) and technical petroleum jelly was adopted as a materialequivalent of Proterozoic clay as a binder material, and the equivalent material of the tunnel lining is an equivalent mixture of sand, gypsum, ground mica and water. 3.2 The Procedure for Carrying Out Preparatory Works Since during the test, not the entire soil massif was modeled, but only directly enclosing the station structure, which is a thick layer of Proterozoic clays, the load from the Quaternary sediments overlying layers’ weight had to be taken into account in the form of an additional weight. A typical platform station section was adopted as a model of the “Chernigovskaya” station (Fig. 2). When constructing a station model, it was necessary to take into account the sequence of tunneling proposed for natural conditions. So, according to the method statement (MS), the construction of the station is carried out in the following sequence: boring and construction of the middle station tunnel; sinking and construction of the right-side tunnel station; sinking and construction of the left-side tunnel station; opening of side openings between the station tunnels. The result of the preparatory work for physical modeling of a typical platform section of the “Chernigovskaya” station was the physical model shown in Fig. 3.
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Cross-section of the platform section of the station by pylon: by passage:
Fig. 2. Design of a typical platform section of the “Chernigovskaya” station.
Fig. 3. Layout of the testing bed (side passages are conventionally not shown). 1 – station model; 2 - simulation stand; 3 - working reservoir; 4 - manometer; supply pipeline; 6 - outlet pipeline; 7 working hydraulic cylinders; 8 - base plates; 9 - hydraulic system to create the required pressure in the working tank.
3.3 Method for Determining Structural Displacements and Contact Stresses Along the Lateral Surface of Tunnel Lining To determine the contact stresses along the outer contour of the station model, as well as to determine the station tunnels’ characteristic points displacements, the specially developed Geolab program was used. This program includes a software module installed on a PC, as well as a set of sensors designed to determine contact stresses on the outer lining surface (strain gauges) and to determine the lining contour movements. To check the results of the data obtained using the Geolab software package, the method of photographing the sediment of the soil massif and the contour of the station tunnels’ lining was applied. 3.4 The Process of Testing the Physical Model of the “Chernigovskaya” Station The physical model of the “Chernigovskaya” station was tested in 5 stages: on load 0.8 γh; on load 1.2 γh; on load 1.6 γh; on load 2.0 γh; on load 2.4 γh. At the same time, to create the required stress-strain state of the soil massif model, a system of vertical
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and horizontal hydraulic jacks connected in one closed loop was used (Fig. 3). The load was changed by creating additional pressure in the jacks’ hydraulic system. 3.5 Physical Simulation Results In the course of the “Chernigovskaya” station physical modeling by the method of equivalent materials, the following results were obtained: displacement of the characteristic points of the station model lining; vertical deformations of the station model; sediments of the soil massif model. So, according to the displacement sensors’ readings, as well as plastic joint displacement indicators, the displacements of the characteristic points of the station model lining were determined. The results obtained are shown on a conventional scale in Fig. 4.
Fig. 4. Lining displacements of station tunnels.
As it is seen, the upper and lower arches of the tunnels underwent the greatest displacements. In addition, due to significant lateral soil pressure between the middle and side tunnels, the vertical walls got deflections inside the station structure, and the extreme walls of the side tunnels shifted towards the ground. Based on the obtained displacement values, the station model deformations were determined, which is the difference in displacements of the upper and lower arches for each of the tunnels separately (Table 2). By scaling these values to full-scale values, it is possible to estimate the deformed state of the real station structure. Based on the photographic recording results, a plot of the soil massif daytime sur-face sediment containing the station tunnels was built. It also shows the total dis-placement of the station tunnels relative to their original position (Fig. 5). In the process of testing, the model of the station structure proved to be quite rigid and du-rable, which greatly influenced the nature of its work. So, until the end of the stage II (load 1.2 γh) no visible defects and cracks were observed in the station model. How-ever, by the end of the stage III (load 1.6 γh) cracks began to develop in the station model lining. Their first appearance was noted in the places of opening of the side passages in the middle station tunnel. Further, at the IV loading stage (load 2 γh) the cracks started to be observed in the walls and vaults of the station lining. By the end of the stage IV, the cracks appeared in the trough part of the tunnels, while their most intense manifestation was noted in the side station tunnels. At the stage V (load 2.4 γh) the station model collapsed, which
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V. Kavkazskiy et al. Table 2. Vertical deformations of the station model.
Download No.
Left-side station tunnel Middle-station tunnel
Right-side station tunnel
Vertical deformations, mm In the model
In the nature
In the model
In the nature
In the model
In the nature
0.017
0.34
0.199
3.98
0.019
0.38
Stage II – Load 0.09 1.2 γh
1.8
0.29
5.8
0.101
2.02
Stage III – Load 1.6 γh
0.228
4.56
0.588
11.76
0.255
5.1
Stage IV – Load 2.0 γh
0.288
5.76
0.659
13.18
0.323
6.46
Stage V – Load 0.754 2.4 γh
15.08
0.93
18.6
0.843
16.86
Stage I – Load 0.8 γh
entailed significant vertical deformations. At the same time, the structure destruction occurred in the trough part of the side station tunnels, which is explained by a significant concentration of tensile stresses in this area.
Fig. 5. Diagram of the soil massif sediment. Final displacements of station tunnels relative to their initial position.
Based on the physical modeling results, the following conclusions can be drawn: • The design of the “Chernigovskaya” station turned out to be quite rigid, which is confirmed by the deformability pattern of the station model, as well as the deformation values obtained in the course of step-by-step modeling; • The presence and nature of the cracks and defects development in the station model lining indicates an insufficient study of its design solutions. Thus, the horseshoe-shaped
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section of the station tunnels forms the characteristic zones of stress concentration in the places of a sharp break in the shape of the neutral axis, and the large thickness of the lining of the tunnels leads to an increased rigidity of its structure; • Vertical deformations of station tunnels from design load γh were 7 and 5 mm, respectively, for the side and middle tunnels. At the same time, precipitation of the day surface reached an average of 25 mm; • Stage-by-stage loading of the station model made it possible to obtain the displacement of the station tunnels relative to their initial position, which averaged 15 mm; • Taking into account the simulation of the penetration stages, the total settlements of the day surface on average reached 35–40 mm.
4 Mathematical modeling of the Station 4.1 General Information. Creation of a Mathematical Model of the Station As noted earlier, physical modeling does not give a complete picture of the station structure stress-strain state, in particular, it is not possible to determine the internal forces arising in the lining elements, as well as the characteristic stress concentration zones. This is followed by the need for mathematical modeling of the “Cherni-govskaya” station platform section. Thus, the calculation was carried out in the “Solidworks” software package by the finite element method. The soil massif was modeled in full accordance with the real engineering and geological conditions of the station construction. The calculation was made without taking into account the stage-by-stage construction of the station structures. The design diagram of the mathematical model is shown in Fig. 6.
Fig. 6. Calculation diagram of the station “Chernigovskaya” mathematical model (boundary conditions, as well as the load from the soil mass own weight are not shown; the dimensions are given in meters).
As a result of the calculation, the values of stresses, displacements and defor-mations in the station structure were obtained. The graphical results of mathematical modeling are shown at the Fig. 7.
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Fig. 7. a) Stresses σy, MPa in the structure of the station relative to the vertical axis OY; b) Stresses σx, MPa in the station structure relative to the horizontal axis OX.
4.2 Results of Mathematical Modeling So, the station design operates mainly in compression, which is facilitated by the correct outline of the tunnels’ arches. The upper vaults are predominantly subject to compressive forces - only minor tensile stresses occur on their inner contour. Also, small tensile stresses arise in the places where the upper vaults rest on the walls along the lining outer contour, as well as in the bottom of the walls. Wall sections in the openings of the side aisles are also subject to tensile stresses. In this case, as expected, tensile stresses reach their highest values on the inner contour of the inverse. The greatest compressive stresses arise in the places where the reverse vault rests on the bottoms of the tunnels’ walls. This area of compressive stresses concentration, significantly exceeding the design resistance of concrete to axial compression, can lead to a brittle resolution of the concrete lining in these places. The nature of the platform section deformability of the “Chernigovskaya” station is presented in Table 3. Table 3. Vertical deformations of the station model. Name
Left side station tunnel
Middle station tunnel
Right side station tunnel
Side aisles
9
2
Vertical deformations, mm 9
7
Horizontal deformations in level, mm: Upper arch bottom
3
1
3
–
Mid-height walls
2.5
1.2
2.5
–
Walls’ bottom
1
1
1
–
5 Conclusions The obtained results of physical and mathematical modeling showed that the station turned out to be quite rigid with an unjustifiably high reserve of carrying capacity. The vertical deformations of the station tunnels are small and amount to about 5–7 mm for the
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middle one, and also 7–9 mm for the side tunnels. At the same time, the precipitation of the day surface, taking into account the station tunnels’ displacement themselves, reaches 25 mm. Taking into account the simulation of the tunneling operation stages, the total settlements of the day surface on average reached 35–40 mm. Deformative characteristics obtained in physical and mathematical modeling coincide with the error 10 ~ 15%, which fully meets the engineering accuracy requirements. The horseshoe-shaped section of the station tunnels causes a sharp break in the neutral axis of the tunnel lining, as a result of which characteristic stress concentration zones are formed. So, the greatest stresses arise in the zones of the station tunnels’ upper and lower arches conjugation with the walls, as well as on the reverse arches’ inner surface. Despite the significant reserve of the station complex bearing capacity, as well as the high rigidity of the entire structure as a whole, it is possible to speak about insufficient elaboration of the station design solutions. The transition from the horseshoe-shaped section of the station to the smooth outline of all three tunnels will increase the tunnel lining flexibility, and the absence of sharp fractures of the neutral axis will reduce the characteristic stress concentration zones. These results indicate the possibility of using in the engineering-geological conditions of St. Petersburg modern low-settlement methods for the such underground structures construction as “NATM” and “ADECO & RS”. Such construction technologies will reduce the subsidence of the day surface near the existing historical buildings of the city, and the lining flexibility will reduce the load on structures, reducing their material consumption, as well as the cost of the structures being erected.
References 1. Ivanes, T.V., Kavkazskiy, V.N., Shidakov, M.I.: Geomechanical tasks solving in modelling of temporary support parameters in Sochi tunnels. Proc. Eng. 189, 227–231 (2017). https://doi. org/10.1016/j.proeng.2017.05.036 2. Ledyaev, A.P., Kavkazsky, V.N., Ivanes, T.V., Benin, A.V.: Study in the structural behavior of precast lining of a large diameter multifunctional tunnel performed by means of finite elements analysis with respect to Saint-Petersburg geological conditions. Civil Environ. Eng. 15(2), 85–91 (2019). https://doi.org/10.2478/cee-2019-0012 3. Ledyaev, A., Kavkazskiy, V., Grafov, D., Soloviev, D., Benin, A.: An assessment of the sewer tunnel stress-strain behavior during the reconstruction of an object of cultural heritage. In: E3S Web of Conferences, vol. 02008, pp. 1–9 (2020). https://doi.org/10.1051/e3sconf/202 015702008 4. Konkov, A.N., Kavkazskiy, V.N., Ivanes, T.V., Khomutov, V.I.: Assessment of the impact of forepoling maintaining the excavation face and the top heading on the stability of an excavation in tunnel driving of the road tunnel in Sochi. Ind. Civil Construc. 6, 23–26 (2012). https://doi.org/10.1016/j.proeng.2012.05.126 5. Benin, A.V.: The finite elements simulation of degradation processes in reinforced concrete structures. Ind. Civil Eng. 5, 16–20 (2011). https://doi.org/10.1016/j.proeng.2011.05.073 6. Ledyaev, A.P., Golitsynsky, D.M., Kavkazsky, V.N.: General issues of transport tunnels design and construction: a study guide. PGUPS, Saint Petersburg, p. 72 (2017). https://doi.org/10. 1016/j.proeng.2017.05.121 7. Basov, A.D., Romanovich, K.V.: Experimental stress-strain state study of rocks and structure supports during the North Caucasian railway line Sochi-Adler construction. Eng. Geol. 6, 36–45 (2013). https://doi.org/10.1016/j.proeng.2013.05.046
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8. Marinos, V.: Tunnel behavior and support associated with the weak rock masses of flysch. J. Rock Mech. Geotech. Eng. 6, 227–239 (2014). https://doi.org/10.1016/j.proeng.2014.05.087 9. Vrakas, V., Anagnostou, G.: A finite strain closed-form solution for the elastoplastic ground response curve in tunnelling. Int. J. Numer. Anal. Meth. Geomech. 38(11), 1131–1148 (2014). https://doi.org/10.1016/j.proeng.2014.05.113 10. Frolov, Y., Ivanes, T., Kavkazskiy, V., Konkov, A.: The solution of geo-mechanical problems of the Olympic Sochi road tunnels construction. Transport Russian Feder. 6(49), 12–18 (2013). https://doi.org/10.1016/j.proeng.2012.05.116 11. Frolov, Y.S., Konkov, A.N., Svintsov, E.S.: Appraisial of highway tunnels construction on the active railroad tunnel operational reliability in the city of Sochi. Proc. Eng. 189, 811–817 (2017). https://doi.org/10.1016/j.proeng.2017.05.126 12. Frolov, Y.S.: Provision of railroad tunnel operational reliability while driving above him of road tunnels on Kurortny prospect doubling route in Sochi city. Ind. Civil Construc. 6, 17–19 (2012). https://doi.org/10.1016/j.proeng.2012.05.103 13. Frolov, Y., Gursky, V., Molchalov, V.: The tunnel maintenance and reconstruction, Textbook. FGOU Training Center on Railway Transport Education, Moscow, p. 300 (2011). https://doi. org/10.1016/j.proeng.2011.05.099 14. Ledyaev, A.P., Konkov, A.N., Novikov, A.L., Soloviev, D.A.: Influence evaluation of buildings constructed in protected zone on St. Petersburg subway underground structures stress-strain state. Proc. Eng. 189, 492–499 (2017). https://doi.org/10.1016/j.proeng.2017.05.079 15. Ledyaev, A.P., Kavkazsky, V.N., Vatulin, Y.S., et al.: Mathematical modeling of aerodynamic processes in railway tunnels on high-speed railways. In: E3S Web of Conferences, vol. 157(47), pp. 1–9 (2020). https://doi.org/10.1051/e3sconf/202015706017
Current State and Prospects for Development of the Contract System in the Field of Public and Corporate Procurements Sergey Oparin(B)
and Maria Shcherbakova
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovsky Ave, Saint Petersburg, Russian Federation
Abstract. The paper discusses the current state and prospects for the development of the contract system in the field of public and corporate procurements. Particular attention is paid to issues related to the violation of the principle of ensuring competition, which generates contractual risks and directly affects the efficiency of procurements. The aim of the study is to develop a contractual system based on a risk-based approach and supplier selection based on reliability criteria, and integrating risk management with strategy, cost and efficiency of procurements. Reliability is seen as the ability of a supplier to continuously deliver products in accordance with requirements. The digital method of distributed efficiency assessment, based on the application of the mathematical apparatus of integral convolutions of numbers and a probabilistic description of the reliability of the supplier, is discussed. Based on the results of the study, a new digital visualization of contract risk management is proposed, which is based on a distributed assessment of cost and efficiency and reflects the relationship between strategy, risk level and procurement efficiency. The practical significance of the study lies in the concentration of efforts on the selection of a reliable supplier and the management of contract risks, which creates the basis for improving the efficiency of public and corporate procurement. Keywords: Contractual system in the field of procurements · The principle of ensuring competition · Supplier reliability · Reliability criterion · Contract risk · Contract risk management
1 Introduction On the way to the formation of a national market economy, many problematic issues arise that require scientific resolution, including those related to the building and operation of the contract system in the field of public and corporate procurements [1–3]. By accumulating and distributing significant resources, the contract system significantly affects the economic development of the state and society in general. In this regard, the issues of improving the efficiency of the contract system in the procurement sector are of particular importance for ensuring the rates of economic growth and achieving national goals [4, 5]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 925–935, 2022. https://doi.org/10.1007/978-3-030-96380-4_101
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According to the results of the monitoring of the system of public and corporate procurements in the Russian Federation for 2018, which are published on the official website of the Accounts Chamber of the Russian Federation, the volume of budget funds of all levels that circulate within the contractual system in the field of procurement increased by 36.2% in comparison with 2014 and amounted to 7.9 trillion rubles in 2018. The volume of concluded contracts for the period 2014–2018 increased by 29.2%. By methods of procurements (by amount), these are electronic auctions (68.2% of procurements), procurement from a single supplier (14.2%), open bidding (7.4%), bidding with limited participation (4.4%), and requests for quotes (0.8%). At the same time, the relative savings in procurement over the past two years have been reduced from 8.8% to 5.5%. In the course of the monitoring of public and corporate procurement carried out by the Accounts Chamber of the Russian Federation, the following problematic issues in the functioning of the contract system have been identified: – prevalence of non-competitive procurements: the total share of procurements from a single supplier and failed procurements amounted to 53.8% of the total volume thereof; – misregulating the issues of setting the maximum price and justification of the initial (maximum) contract price (IMCP) in the legislation, which gives rise to contract risks and directly affects the efficiency of procurements; according to the results of monitoring, violations when justifying IMCP have been identified for a total amount of 219.7 billion rubles or 74.6% of the total amount of identified procurement violations; – the orientation of the system of public and corporate procurements to the procurements of goods, works, and services at minimal prices, rather than to those of quality goods, works, and services. At the same time, in order to achieve procurement goals, organizations increasingly rely on the international quality management system of the ISO 9000: 2015 series and cost engineering methods, based on which the assessment and selection of suppliers should be performed according to their reliability, the ability to supply products consistently, in accordance with the requirements. Assessing this ability and ensuring the effectiveness of procurements in the face of uncertainty requires the construction and implementation of a contract risk management system and its integration with strategy, cost, and efficiency [6–8]. In this regard, there is a need to develop a concept for determining (selecting) suppliers according to the reliability criterion based on assessing their ability to supply products consistently, in accordance with the requirements, developing methods for quantitatively assessing the reliability of procurement participants, taking into account uncertainty and risk. This prompts the further development of the contractual system in the field of public and corporate procurements, which are accompanied by uncertainty in terms of procurement and contractual risks as a consequence of the impact of such uncertainty on goals [9]. The aim of this study is to develop a contractual system in the field of procurements of goods, works, and services based on price and non-price competition, a risk-based approach and supplier determination based on reliability criteria, as well as the concept
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of integrating contract risk management with the strategy, cost, and efficiency of the contract system. The contract system in the field of procurements of goods, works, and services means a set of participants in the contract system and their actions aimed at meeting public and corporate needs, including using a unified information system.
2 Concept and Methods of the Study One of the most famous and increasingly used documents in the world on the integration of risk management with strategy and performance is the COSO ERM-2017 Concept [10]. The concept is directly focused on the proactive identification and use of new organizational capabilities in order to create value and improve the quality of products and services. When forming a judgment on the effectiveness of risk management, it is necessary to assess the compliance of the strategy and goals, the completeness and reliability of the assessment of key risks, the effectiveness of measures to impact risks and to keep them within the risk appetite [11, 12]. The risk management process contributes to the creation of value. At the same time, the Concept does not sufficiently reflect the links between risk management and the process of creating value and efficiency, approaches to distributed risk assessment, and the possibility of practice-oriented visualization of risk management. It is as well obvious that, for the practical application of the new risk management graphics, it is required to determine the quantitative characteristics of the profile and build a “risk curve” with the accuracy and reliability necessary for practice. This paper considers the concept of integrating contract risk management with the strategy, cost, and efficiency of the contract system in conditions of price and non-price competition, its digital visualization and the method of distributed cost and efficiency assessment, which provide the ability to choose a reliable supplier with given reliability. Distributed risk assessment is based on the use of the mathematical apparatus of integral convolutions of numbers and a probabilistic description of the supplier’s reliability [2]. In assessing contract risks, the identification of risk factors, the completeness and reliability of the initial data and provisions, the accuracy of the description of the procurement process, as well as the validity of risk management methods and the distribution of responsibility and risk, are of particular importance [13, 14]. The implementation of a process approach in the field of procurement leads to a more reasonable choice of qualification requirements for procurement participants, cost indicators, and quality indicators of the procurement item, the choice of indicators and supplier reliability criteria, and the distribution of responsibility of participants and risks accompanying the procurement process. Currently, various methods, which differ in the ways of describing the sources of risk occurrence and risk factors, the models used, and the reliability of the assessments obtained, are used in risk management. Each method has its advantages and disadvantages but it is possible to obtain the risk function practically taking into account the quantitative characteristics of uncertainty only based on the simulation method and the digital method of integral convolutions of numbers [11]. If the method of statistical modeling is used, the mathematical expectation determines the expected result or effect of the procurement, and the standard deviation serves as
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an indicator of the reliability of the result obtained under conditions of uncertainty and risk. At the same time, if the universal Monte Carlo method is used, one should always remember that it is based on the laws of large numbers, limit theorems of probability theory, and the assumption of a normal distribution of output parameters. This makes it possible to draw correct conclusions only about their average values, whereupon with a probability of no more than 50%. In the general case, when the desired distribution differs from the normal one, the problem of its building is solved by trial and error. Beyond the assumption of the normal distribution, most economic theories and empirical papers are questioned since a trade-off between cost and risk, risk and efficiency, in this case, is actually impossible. The essence of the digital method of distributed cost and efficiency assessment consists of building a discrete risk function for the considered parameter of the efficiency of the contract system by repeatedly applying the operation of integral convolution of numbccers, conditional discrete distributions of the required parameter. In explicit form, a discrete risk function is determined by the vector of possible values of cost, effectiveness, or efficiency, result or effect, {Ej }, depending on the problem statement, and a numerical sequence, {rj }, each element of which characterizes the probability that the random variable, E, will be less than expected value, E0 : R Nˆ pv = rj = {ak } ∗ { bτ } , (1) where (2)
Integral convolution of numbers (1) is applied (z − 1) times for z random risk factors. In contrast to existing methods, the digital method of integral convolutions of numbers is based on the assertion of nonlinearity and an arbitrary (not necessarily normal) distribution of the required procurement parameters. The main advantage of the method of integral convolutions of numbers is a distributed risk assessment without taking into account and taking into account the impact on risk, with a given structure and known parameters of the contract system. This is what makes it possible to consider synergy through the uncertainty of a number of heterogeneous risk factors operating in the contract system, which have different nature and different sources of occurrence. Business processes implemented in the contract system become decentralized, interactive, and distributed. This makes it possible to implement a synergistic approach in the context of the digital transformation of the economy, to describe the uncertainty and dynamic chaos in the field of procurements using a discrete model of integral convolutions of numbers. Synergy, a synergistic effect is considered as an increase in the efficiency of the contract system as a result of the linkage, integration, and merging of separate parts into a unified economic system due to the so-called systemic effect, emergence [11].
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3 Results of the Study 3.1 Principles of Determining (Selecting) Suppliers by the Criterion of Reliability The analysis of the contractual system in the field of procurements and the specific features of the development of competitive markets indicate the need to more extensively use competitive methods of determining suppliers by the criterion of reliability based on their ability to supply products in accordance with the requirements. Ensuring price and non-price competition between procurement participants is a goal-setting principle of the contract system in achieving procurement efficiency. The use of the reliability criterion makes it possible to change the concept of a competitive procurement method and proceed from the rating assessment of tenders and the identification of the “best conditions” for the supply of goods, performance of work, and the provision of services to the determination of a “more reliable” supplier by its ability to supply products consistently, in accordance with the requirements in natural and relative indicators. For the purposes of this paper, the main principles for determining suppliers by the criterion of reliability are as follows [2]: – the principle of suitability, being implemented at the stage of qualification selection of procurement participants using the qualification criterion in the following form Kst,i (t0 ) ≥ K t , i = 1, . . . , n,
(3)
where {Kst,i (t0 )}, i = 1,…, n - the values of the qualification indicator of the procurement participants at the time of assessment, t0 ; Kt - the qualification requirement or standard value of the indicator; – the principle of superiority, higher reliability of the supplier, being implemented at the stage of competitive or other selection for concluding a contract, using the criterion of superiority in the following form Nsp,1 (t0 ) > Nsp,,2 (t0 ) > . . . Nsp,i (t0 ) . . . > Nsp,n (t0 ) ,
(4)
where {Tsp,i (t0 )}, i = 1,…, n - the values of the indicator that determines the reliability of the procurement participants at the time of assessment, t0 ; the goal is to select a more reliable supplier for concluding a contract based on price and non-price indicators; – the principle of taking into account uncertainty and risks that give rise to the possibility of non-fulfillment or improper fulfillment by suppliers of the requirements of the assignment and other terms of the procurement; and. – the principle of comparability of the results of assessing the reliability of suppliers. The implementation of these principles in practice leads to the need to divide the procurement procedure into the qualification selection of procurement participant and the procedure for determining (selecting) supplier.
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3.2 Indicators of Supplier Reliability The reliability of supplier has a pronounced stochastic nature, therefore, for its formalized description, it is required to apply a risk-oriented approach, the essence of which boils down to the choice of indicators, the identification and the assessment of contractual risk. The contractual risk is determined as a consequence of the influence of the uncertainty of the procedures operating in the contractual system on the goals, material terms, and efficiency of the procurement. Level of contractual risk directly determines the reliability of the supplier, i.e. the lower the contractual risk, the higher the reliability of the supplier. Given the variety of material terms of the contract, the possibility of assessing contractual risks for each of the material terms is under consideration. For example, the risk of exceeding the delivery time under the contract or the risk of exceeding the cost of work under the contract. For the purpose of the qualification and determination (selection) of suppliers, a system of deterministic and probabilistic reliability indicators is considered [11]. The probabilistic description of reliability is applicable in the case of taking into account the quantitative characteristics of the uncertainty of the existing risk factors and material terms of the contract, production capabilities, distribution of responsibilities and risks, the cost of work, and the financial standing of suppliers that constantly changes. With this approach, procurement participants should demonstrate a higher degree of ability to supply products and services compared to competitors, whereupon the integral criterion of reliability at the stage of supplier selection may have the form: (5) where Np is the reliability of a supplier; tp , kp , sp are random values of the delivery term, quality, functional or environmental characteristics of the product, its cost, respectively; Tk , Kn , Ck are planned or specified in the proposal of the procurement participant delivery term, product quality indicator, contract price. The reliability criterion of the form (3) is defined as the confidential probability of a complex event: compliance with the delivery term stated in the tender proposal AND the quality assurance specified in the tender, AND the absence of the need for additional funding, i.e. delivery at the price of the contract. 3.3 Identification and Profile of Contract Risk It is obvious that not all procurements are characterized by the same level of risk and the influence of uncertainty is not the same for the procurement participants. Table 1 shows a contractual risk profile based on the results of sensitivity analysis and identification of risk factors, material terms of government and corporate procurement. To assess contractual risks, both deterministic and probabilistic risk indicators, which reflect, respectively, the deterministic and stochastic nature of contract relations, can be used, as well as methods of point and distributed assessment with the help of a digital model of integral convolutions of numbers [11]. A significant impact on the reliability of suppliers and contractual risks is exerted by the availability of inventories, financial and labor resources, experience in the supply on
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Table 1. Contract risk profile in procurements. Risk factors
Sources of occurrence
Degree of influence, %
Market
• low competitiveness 10 of procurement participants • low demand level • high cost level • low level of income from sales of products
• level and elasticity of demand • fixed and variable costs • income from sales of products • break-even point and boundary • demand risk
Price
• uncertainty in 30 determining the initial (max) contract price • insufficient justification of the contract price • unforeseen work and costs • need for additional funding
• initial (maximum) contract price • cost of resources and work • amount of unforeseen work and costs • cost of risk • risk of exceeding the contract price • cost of risk
Production and process
• lack of reserves and 10 stocks • insufficient production capacities • low readiness of production • low qualification of participants • insufficient experience in the subject of procurement
• reserves and stocks • production capacities • production readiness factor • qualification of procurement participants • experience in the subject of procurement • risk of inadequate quality
Time
• inaccuracy in determining the delivery term • incorrect definition of the stages of work • incorrect determination of the contract duration
• delivery terms • procurement schedule parameters • work duration standards • risk of exceeding delivery terms
20
Parameters of the risk assessment model
(continued)
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Risk factors
Sources of occurrence
Degree of influence, %
Parameters of the risk assessment model
Financial
• unsatisfactory financial standing of procurement participants • insufficient financial stability of procurement participants • low level of contract security
12
• • • • •
Informational
• incompleteness or 10 lack of data on quality and reliability in the procurement documentation • inaccuracy of data in the tenders of participants concerning the quality of work • inaccuracy of the data in the tenders of participants concerning the contract price
• requirements of the procurement documentation • proposals of procurement participants on the quality of work • proposals of procurement participants at the contract price • indicators and criteria for assessing tenders • risk of using inaccurate information
Legal
• incorrect definition of 5 the material terms of the contract • inconsistency of the subject of the contract with the purpose of the procurement • non-compliance with legal regulations in the field of procurements
• subject and materials terms of the contract • rights and obligations of the parties • distribution of responsibility of the parties • risk of non-compliance with the requirements of legal regulations
Inflationary
• change in the cost of work and resources used over time
• index of the estimated cost recalculation • inflation index • inflation risk
3
coverage ratio total solvency ratio equity ratio leverage ratio financial instability risk
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the subject of the contract, current solvency, as well as the availability of own production capacities, reserves, and stocks. 3.4 New Digital Visualization of Contract Risk Management This paper considers contract risk management as a process performed by participants within a contractual system to identify factors and conditions that may affect the goals and effectiveness of procurements, including the management of measures to impact risk. The main tasks in the management of contractual risks are to reduce and (or) exclude the possibility of deviations from the purpose(s) of the procurement, deviation of the actual cost and efficiency indicators from the planned ones, as well as minimization of losses caused by contractual risks. Based on the results of the study, a new digital visualization of contract risk management (Fig. 1), which reflects the relationship between strategy, risk profile, risk appetite, limits of tolerance, and the effectiveness of the contract system, is proposed.
Fig. 1. New digital graphics for integrating risk management with the strategy and effectiveness of the contract system.
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Digital visualization of risk management opens up new possibilities for choosing a strategy, making decisions on risk management, and assessing efficiency within the boundaries of tolerance with given reliability.
4 Conclusion The practice of public and corporate procurements shows that contractual risks and reliability of suppliers have an increasing impact on the goals, effectiveness, and efficiency of the contractual system in the field of procurements, which in practice often leads to economic losses, changes in material terms, or termination of contracts. This indicates an insufficiently detailed exploration of the relationship between the contract system and the process of value creation and procurement efficiency. The current situation in the field of public and corporate procurements is characterized by the predominance of non-competitive procurements, unresolved issues of setting the maximum price, and justification of the initial (maximum) contract price, which indicates insufficient competition between procurement participants, i.e. one of the key principles of the contract system. To ensure price and non-price competition, it is required to use more competitive procurement methods and to determine suppliers (contractors, performers) based on their reliability. The study confirms that to assess this ability, it is advisable to use the criterion of reliability of suppliers (contractors, performers) and a risk-based approach, the essence of which boils down to identifying, assessing, and managing contractual risks in the field of public and corporate procurements. Compared to the criteria established in the Law on the Contract System, the criterion of reliability of suppliers (contractors, performers) fully reveals the competitive environment and the operating factors of contractual risks. The criterion of reliability may serve as a guarantee of the effectiveness of the activities of organizations on a professional basis with the involvement of bona fide and reliable suppliers of goods, works, and services. The organization in its activity should ensure that the procured product (goods, work, or services) and its supplier meet the reliability criterion. The new digital visualization of contract risk management is quite natural, provides for the rejection of the hypothesis of the normal distribution of the output parameters of the contract system under study, providing a link between risk management and the process of creating value in the procurement sector, the strategy and efficiency of the contract system with the reliability of assessments required for decision making. The practical significance of the study lies in the concentration of efforts on the selection of a reliable supplier and the management of contractual risks, which creates the basis for improving the efficiency of the contract system in the field of public and corporate procurements. Based on the results of the study, it can be concluded that the reliability of suppliers (contractors, performers) in the procurement of goods, works, or services may become an additional driver of growth of the national and corporate economy.
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References 1. Bykov, A.A.: About creation of risk management systems at the enterprises. Issues Risk Anal. 16(3), 8–9 (2019). https://doi.org/10.32686/1812-5220-2019-16-3-8-9 2. Oparin, S.G.: Contract risks and reliability of suppliers in the system of government and corporate procurement. In: Oparin, S.G. (ed.) Risk management Theory And Practice, Monograph, pp. 211–232. Polytech-Press, Saint-Petersburg (2020). https://doi.org/10.18720/SPBPU/2/ id20-92 3. Polovnikova, N.A., Chepachenko, N.V., Yudenko, M.N.: Study and evaluation of the competitiveness potential of the organizations in the construction industry. Mater. Sci. Forum 931, 1178–1181 (2018). https://doi.org/10.4028/www.scientific.net/MSF.931.1178 4. Karanina, E., Kartavyh, K.: Risk-based approach to the monitoring system for the implementation of state and municipal procurement of transport services. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012201 (2020) 5. Kleyner, G., Babkin, A.: Forming a telecommunication cluster based on a virtual enterprise. In: Balandin, S., Andreev, S., Koucheryavy, Y. (eds.) ruSMART 2015. LNCS, vol. 9247, pp. 567–572. Springer, Cham (2015). https://doi.org/10.1007/978-3-319-23126-6_50 6. Selyutina, L., Pesotskaya, E., Rybnov, E., Sitdikov, S.: Risks accounting when building a management system for innovative and investment processes in construction. E3S Web Conf. 217,11010 (2020). https://doi.org/10.1051/e3sconf/202021711010 7. Solozhentsev, E.D.: Logic and probabilistic risk models for management of innovations system of country. Int. J. Risk Assess. Manage. 18(3–4), 237–255 (2015) 8. Solozhentsev, E., Karasev, V.: The digital management of structural complex systems in economics. Int. J. Risk Assess. Manage. 23(1), 54–79 (2020) 9. Oparin, S.G.: Optimal risk management technology as a tool for ensuring the reliability of solutions made in the digital economy. St. Petersburg State Polytech. Univ. J. Econ. 13(2), 53–63 (2020). https://doi.org/10.18721/JE.1305 10. Concept COSO ERM: Enterprise risk management: integrating with strategy and performance (2017) 11. Oparin, S.G.: Synergy in integrated systems of risk management and its accounting in the digital economy. Issues Risk Anal. 17(6), 50–61 (2020). https://doi.org/10.32686/1812-52202020-17-6-50-61 12. Oparin, S.G.: The problem of exceeding the cost of construction and new opportunities to solve it at the stage of project preparation. Mater. Sci. Forum 931, 1122–1126 (2018). https:// doi.org/10.4028/www.scientific.net/MSF.931.1122 13. ISO 31000:2018: Risk management – guidelines (2018) 14. IEC 31010:2019: Risk management - risk assessment techniques (2019)
Operational Control of the Diesel Technical Condition of the Track-Laying Crane by the Signal of the Crankshaft Instantaneous Angular Velocity Maksim Panchenko(B)
, Vladimir Grachev , and Sergey Chuyan
Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, 190031 St.Petersburg, Russian Federation [email protected]
Abstract. The aim of the work is to develop and study a method for monitoring the technical condition of YaMZ-238D four-stroke V8 diesel engine of UK-25/25 laying crane by signal of the crankshaft instantaneous angular velocity. A refined mathematical model of the diesel shaft line has been developed taking into account both elastic properties of the shaft line sections and energy dissipation in the bearing units. The periodic nature of change in the shaft line instantaneous angular velocity makes it possible to use a Fourier transform to analyze amplitude spectra of the instantaneous crankshaft rotation speed, which spectral density depends on the shape of the total torque acting on the shaft line from the side of diesel cylinders. The results of modeling the diesel speed characteristics modes show that the spectral density of the signal of the crankshaft instantaneous angular velocity changes significantly when power of one of the cylinders decreases by 50% or more that allows to use this method for an integral assessment of the working process quality in diesel cylinders. At the same time localization of a faulty cylinder based on the analysis of the amplitude spectrum of the instantaneous angular velocity signal is possible only in the presence of a phase mark signal that is absent in serial engines. To solve this problem, it is proposed to use a wavelet transform of the crankshaft instantaneous angular velocity signal that converts the signal to the time-frequency domain and allows determining not only the general technical condition of the diesel engine, but also localizing the faulty cylinder. Keywords: Internal combustion engine · Technical condition · Instantaneous angular velocity · Fourier transform · Spectrum · Wavelet transform
1 Introduction High environmental, economic, power and dimensional requirements are imposed on modern internal combustion engines. The fulfillment of these requirements depends both on the engine design and on its technical condition. During operation a violation of the working process quality in the diesel engine cylinders is possible caused by a failure of the fuel equipment or the cylinder-piston group, which will result in both a deterioration © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 936–944, 2022. https://doi.org/10.1007/978-3-030-96380-4_102
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of the environmental and economic indicators of the diesel engine and a decrease in the effective torque developed by the cylinder. The issues of diagnostics of automobile, marine and locomotive diesel engines are traditionally in the focus of attention of researchers and specialists [1–6]. At the same time these issues have been little studied for railway track maintenance machines largely due to the traditionally low controllability of the power plants of these machines. Therefore, efforts aimed at developing tools and methods for monitoring the technical condition of power plants of railways special rolling stock is very relevant.
2 Materials and Methods The UK-25/25 laying crane used to replace rail-sleeper grid equipped with YaMZ-238D four-stroke V8 diesel engine manufactured by PJSC Avtodiesel (Yaroslavl). It has 8 cylinders, rated power – 330 h.p. and rated speed – 2100 rpm. To assess the possibility of monitoring the diesel engine technical condition in operation by the signal of the crankshaft instantaneous angular velocity a mathematical model of the diesel shaft line has been developed. A real shaft line with parameters distributed along its length has an infinite number of degrees of freedom. In the work the real shaft was replaced by its calculation scheme (Fig. 1) [7, 8]. With this the condition of equality of the kinetic and potential deformation energy of the actual and calculated schemes must be fulfilled.
Fig. 1. Discrete scheme of the YaMZ-238D diesel shaft line.
The diesel crankshaft instantaneous angular velocity is determined as a result of solving a system of five nonhomogeneous differential Eqs. (1) with constant coefficients obtained by converting the Lagrange’s equation of the second kind [9]. The number of differential equations in the system corresponds to the number of degrees of freedom
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of the shaft line (four – rotation of four coupled slider crank mechanisms with shifted connecting rods and one – rotating load mass).
(1)
where J 1 , J 2 , J 3 , J 4 , J 5 – moments of inertia of the corresponding masses, kg·m2 ; ϕ 1 , ϕ 2 , ϕ 3 , ϕ 4 , ϕ 5 – angles of rotation of the corresponding masses, rad; b1 , b2 , b3 , b4 , b5 – damping coefficients of the corresponding masses, N·m·sec/rad; b1,2 , b2,3 , b3,4 , b4,5 – damping coefficients of the corresponding sections, N·m·sec/rad; c1,2 , c2,3 , c3,4 , c4,5 – torsional stiffness of the sections between the corresponding masses, N·m/rad. M 1 , M 2 , M 3 , M 4 , M 5 – moments of disturbing forces of the corresponding masses, N·m. The moment of disturbing forces acting on the crank of the diesel crankshaft (M 1 , M 2 , M 3 , M 4 ) is the sum of the moments of the gas pressure forces on the piston and the inertia of translationally moving masses: (Pi −P0 )·π ·d 2 /4−(mPS +mCR )·j ·sin(ϕ+β) Mi = cos β (2) (P i −P0 )·π ·d 2 /4−(mPS +mCR )·j ·sin(ϕ−pi/2+β ) · R, + cos β where Pi , P’i – indicator pressure in the right and left cylinders respectively, Pa; P0 – atmospheric pressure under normal conditions, Pa; d – cylinder bore, m; mPS – mass of the piston set, kg; mCR – mass of a connecting rod performing a translational motion, kg; j, j’ – accelerations of translationally moving masses of the right and left slider crank mechanisms respectively, m/sec2 ; β, β’ – deviation angles of the axis of the right and left connecting rod, respectively, in the plane of its swing away from the cylinder axis, rad; R – crank radius of the crankshaft, m. The disturbing moment on the fifth mass is the load and depends on the angular velocity and acceleration of the crankshaft. The engine of the UK-25/25 laying crane operates in two speed modes: 750 rpm and 1500 rpm. In each of the modes two technical conditions of the engine were simulated: a good state in which all cylinders are active and a faulty one in which one cylinder was deactivated. The cylinder deactivation was achieved by turning off the fuel supply while the valves operate normally. The work on the compression and power strokes in the deactivated cylinder of a real engine is negative and is determined by the amount of charge leaks from the cylinder. In the model charge leaks from the cylinder was not taken into account, i.e. work on the compression and expansion strokes in the disabled cylinder was taken to be zero.
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The indicator diagram of the active cylinders was calculated using the DIESELRK software package that uses one-dimensional thermodynamic models and makes it possible to simulate the operation of an internal combustion engine under various working modes. As a result, indicator diagrams were obtained in tabular form for various working modes with a good and faulty state of the engine. The system of differential equations was solved using the MATLAB software package. It was used the ode45 solver that implements the explicit Runge-Kutta methods of the 4th and 5th orders. In the process of modeling the dependences of the crankshaft instantaneous rotation speed on time were obtained for one diesel engine working cycle with an integration step of 1 μsec at the rotation speed of 750 and 1500 rpm. The good technical condition of the diesel engine and the deactivation of each of the eight cylinders were simulated. As a result of modeling, curves of changes in the instantaneous angular velocity of the crankshaft were obtained. The periodic nature of the change in the crankshaft instantaneous angular velocity makes it possible to use the Fourier transform for its processing. The Fourier transform represents a signal in the frequency domain over the entire length of the signal [10, 11] that allows assessing the general technical condition while changing the number of the deactivated cylinder does not affect the shape of the amplitude spectrum that does not allow determining the number of the faulty cylinder. To determine the deactivated cylinder, it is necessary to move from the frequency domain representation of the signal to the time-frequency one. Such representation is possible using the short-time Fourier transform [12], the Hilbert-Huang transform [13], the wavelet transform [14, 15], etc. It was used a wavelet transform, in which the mother wavelet is shifted in time and changes its scale, that allows to represent the original signal both in the frequency domain (change in the scale of the mother wavelet) and in the time domain (shift of the mother wavelet in time). The continuous wavelet transform of the signal f(t) has the form: +∞ 1 ∗ t−τ dt, (3) f (t) · ψ ψ(τ, s) = √ · s |s| −∞ where f(t) – the original signal, rad/sec; τ – shift parameter; s – scale parameter; ψ* – complex conjugate mother wavelet. The mother wavelet is selected in such way as to match the shape of the signal under study as much as possible. The performed analysis showed that the best result is achieved using Morse wavelet as the mother wavelet. Its function in the frequency domain has the form [16]: γ
ψβ,γ (ω) = U (ω) · aβ,γ · ωβ · e−ω , where U(ω) – Heaviside step function; aβ,γ – normalizing constant; β – compactness parameter; γ – symmetry parameter.
(4)
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The determination of the faulty cylinder number was performed by comparing the cross sections with the maximum amplitudes of the scalogram with the diesel engine in good technical condition and one cylinder deactivated. To determine the cross section with the maximum values of the scalogram amplitude, the formula is used:
ψˆ i (τi , smax ) = max ψ1 τ1 , s1,m , ψ2 τ2 , s1,m , . . . , ψi τi , s1,m , . . . , ψn τn , s1,m , (5) where n – the number the shifts of the mother wavelet; m – number of scale parameters at one shift of the mother wavelet.
3 Results The simulation of the shaft line rotation was simulated for two modes at n = 750 and 1500 rpm. The change in the instantaneous angular velocity of the diesel crankshaft when the third cylinder is deactivated at n = 750 rpm is shown in Fig. 2. The figure clearly shows a decrease in the instantaneous angular velocity of the shaft rotation during the period of the third cylinder operation (the sixth in the firing sequence).
Fig. 2. Crankshaft instantaneous rotation speed with third deactivated cylinder at n = 750 rpm.
The amplitude spectra of the instantaneous angular velocity corresponding to Fig. 2 is shown in Fig. 3. The fundamental frequency at n = 750 rpm is 50 Hz. When one cylinder is deactivated the spectral density is redistributed to the frequency range lower than the fundamental frequency. In this case the number of the deactivated cylinder does not affect the shape of the amplitude spectrum. The problem of the deactivated cylinder localization was solved using the wavelet transform that represents the original signal in the time-frequency domain according to the formulas (3, 4). With the wavelet transform at low frequencies the results are distorted at the boundaries of the investigated signal interval. This makes it difficult to identify the condition of the first, fifth, seventh and eighth cylinders the operation of
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Fig. 3. Amplitude spectra of the instantaneous angular velocity at n = 750 rpm with third deactivated cylinder.
which occurs at the beginning and end of the diesel engine working cycle. To eliminate this difficulty, the wavelet transform was performed for two diesel working cycles (four revolutions of the crankshaft). Example of the result of such transformation is shown in Fig. 4, that shows the scalogram with the first deactivated cylinders. On the scalogram, there is a visible decrease in the amplitude of the wavelet transform at a frequency of 100 Hz at n = 1500 rpm. When the first cylinder is deactivated the amplitude occurs at about 80 ms.
Fig. 4. Scalogram of the crankshaft instantaneous rotation speed with the firse deactivated cylinder at n = 1500 rpm.
The selection of the cross section with the maximum value of the scalogram amplitude according to the formula (5) allows constructing a generalized graph of the change in the scalogram amplitudes for all active and one deactivated cylinders. An example of such a graph for n = 1500 rpm is shown in Fig. 5. A comparison of the values of the
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cross sections of the scalogram maximum amplitudes with all active and one deactivated cylinders at characteristic time points can be summarized in the table (Table 1).
Fig. 5. Dependences graph of the cross sections of the maximum amplitudes with different cylinder conditions at n = 1500 rpm.
Table 1. Cross sections values of the scalogram maximum amplitudes with all active and one deactivated cylinders at characteristic points of time at n = 750 and 1500 rpm. Cylinder number
1
2
3
4
5
t [msec]
160
225
105
205
185
Magnitude (all cylinder are active), 103
100
110
100
120
120
92
91
91
89
89
82
115
53
103
117
106
109
64
65
66
6
7
8
80
120
145
100
99
99
88
94
94
93
41
63
74
104
104
108
110
110
66
65
63
65
64
750 RPM
Magnitude (one cylinder deactivated), 103 1500 RPM t [msec] Magnitude (all cylinder are active), 103 Magnitude (one cylinder deactivated), 103
4 Discussion The following results were obtained in the work: 1. A refined model of the YaMZ-238D diesel shaft line has been developed. The law of change of the crankshaft instantaneous angular velocity for all active cylinders is
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close to the harmonic one. Deactivation the cylinder leads to zeroing of the cylinder effective moment and a corresponding decrease in the instantaneous rotation speed of the crankshaft during the operation of the deactivated cylinder (Fig. 2). 2. The periodic nature of the change in the crankshaft instantaneous angular velocity allows using the Fourier transform to determine the change in the diesel engine technical condition. The fundamental frequencies are 50 Hz at n = 750 rpm and 100 Hz at n = 1500 rpm. In the case of turning off the fuel supply to the cylinder the values of the harmonic amplitudes increase at frequencies lower than the fundamental frequency, this makes it possible to detect deterioration in the diesel engine technical condition (Fig. 3). However, deactivation of the different cylinders leads to an identical change in the signal amplitude spectrum that excludes the possibility of faulty cylinder localization using the Fourier transform. 3. Localization of the faulty cylinder is possible when moving from the representation of the original signal in the frequency domain to its representation in the time-frequency domain using the wavelet transform. Analysis of the scalogram (Fig. 4) shows that the cylinder deactivation leads to a change in the scalogram. The position of such change in the time interval depends on the number of the deactivated cylinder, which allows determining not only the general technical condition of the diesel engine but also the deactivated cylinder. For this purpose, the cross section with a maximum value of the scalogram amplitude was selected, this allows to determine the number of deactivated cylinder (Fig. 5, Table 1). The obtained results allow concluding about the possibility of using signal instantaneous angular velocity for control of diesel technical condition and localization of the faulty cylinder of the UK-25/25 laying crane. Further research will be aimed to experiments on full-scale diesel engine for experimental verification of the obtained results.
References 1. Sujesh, G., Ramesh, S.: Modeling and control of diesel engines: a systematic review. Alex. Eng. J. 57(4), 1033–4048 (2018). https://doi.org/10.1016/j.aej.2018.02.0112 2. Baoping, C., Xiutao, S., Jiaxing, W., et al.: Fault detection and diagnostic method of diesel engine by combining rule-based algorithm and BNs/BPNNs. J. Manuf. Syst. 57, 148–157 (2020). https://doi.org/10.1016/j.jmsy.2020.09.001 3. Jose Antonio, P.R., Francisco, V., Jose Hernandez, G., et al.: Marine diesel engine failure simulator based on thermodynamic model. Appl. Therm. Eng. 144, 982–995 (2018). https:// doi.org/10.1016/j.applthermaleng.2018.08.096 4. Xiaojian, X., Zhuangzhuang, Z., Xiaobin, X., et al.: Machine learning-based wear fault diagnosis for marine diesel engine by fusing multiple data-driven models. Knowl.-Based Syst. 190, 1–32 (2020). https://doi.org/10.1016/j.knosys.2019.105324 5. Agunov, A.V., Grishchenko, A.V., Kruchek, V.A., Grachev, V.V.: A method of using neural fuzzy models to determine the technical state of a diesel locomotive’s electrical equipment. Russ. Electr. Eng. 88(10), 634–638 (2017). https://doi.org/10.3103/S1068371217100029 6. Bardyshev, O.A.: About diagnostics of technical devices. Bezopastnost’ Truda v Promyshlennosti 7, 44–48 (2019). https://doi.org/10.24000/0409-2961-2019-7-44-48
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7. Krzysztof, N., Leszek, C., Lech, D.: Model-based estimation of the reaction forces in an elastic system supporting large-size crankshafts during measurements of their geometric quantities. Measurement 155, 1–14 (2020). https://doi.org/10.1016/j.measurement.2020.107543 8. Kareem, B.: Mechanical failure analysis of automobile crankshafts under service reconditioned modelling approach. Eng. Fail. Anal. 80, 87–101 (2017) 9. Shardakov, K.S., Bubnov, V.P., Pavlov, A.N.: Generating of the coefficient matrix of the system of homogeneous differential equations. CEUR Workshop Proc. 2341, 42–47 (2018) 10. Spindelera, T., Strungaru, N.: On the (dis)continuity of the Fourier transform of measures. J. Math. Anal. Appl. 499(2), 1–22 (2021). https://doi.org/10.1016/j.jmaa.2021.125062 11. Hidenori, O.: Numerical calculation of Fourier transforms based on hyperfunction theory. J. Comput. Appl. Math. 378, 1–13 (2020). https://doi.org/10.1016/j.cam.2020.112921 12. Ahmadi, H.R., Mahdavi, N., Bayat, M.: A novel damage identification method based on short time Fourier transform and a new efficient index. Structures 33, 3605–3614 (2021) 13. Hoseinzadeh, M.S., Khadem, S.E., Sadooghi, M.S.: Modifying the Hilbert-Huang transform using the nonlinear entropy-based features for early fault detection of ball bearings. Appl. Acoust. 150, 313–324 (2019). https://doi.org/10.1016/j.apacoust.2019.02.011 14. Dem’yanovich, Y.K., Degtyarev, V.G., Lebedinskaya, N.A.: Adaptive wavelet decomposition of matrix flows. J. Math. Sci. 232(6), 816–829 (2018). https://doi.org/10.1007/s10958-0183911-0 15. Hashima, M.A., Nasef, M.H., Kabeel, A.E., Ghazaly, N.M.: Combustion fault detection technique of spark ignition engine based on wavelet packet transform and artificial neural network 59(5), 3687–3697 (2020) 16. Lilly, J.M.: Element analysis: a wavelet-based method for analysing time-localized events in noisy time series. Proc. Royal Soc. A 473:1–28 (2017). https://doi.org/10.1098/rspa.2016. 0776
Analysis and Evaluation of the Cost and Effective Indicators of the Digital Transformation of Russian Railways Ilia Gulyi(B) Emperor Alexander I St. Petersburg State Transport University, 9 Moskovskiy Avenue, St. Petersburg 190031, Russian Federation
Abstract. Digital transformation means a revolutionary transformation and integration of digital technologies and services into all business processes of the company, from the creation of products and services, to employee communications, interaction of the company with consumers and other counterparties with the emergence of a new quality and business model based on the widespread embedding of digital resources and continuous end-to-end digital processes. To measure the digital transformation, it is necessary to evaluate the system of specific statistical indicators, their absolute values, relative level, dynamics. The article analyzes and evaluates the indicators of digital transformation in the Russian Railways holding. Objective: to form a sample of statistical indicators and conduct an assessment and analysis of the digital transformation of the Russian Railways company over a number of years. Methods: statistical analysis of dynamic series, benchmarking, big data analysis. Results: specific statistical indicators of digital transformation assessment for the world’s largest railway company “Russian Railways” are proposed, an analysis and interpretation of statistical indicators of the company’s digitalization in comparison with the average values for Russian transport is carried out. Practical significance: the conducted research allows transport companies to have a specific methodological basis and information base for conducting a statistical assessment of digital transformation. Keywords: Investments in digital technologies · IT specialists · Advanced technologies · Intangible assets · Russian Railways · Digital transformation
1 Introduction The economic assessment of trends in the processes of digital transformation occurring in companies and industry complexes is a specific tool on the basis of which it is possible to draw conclusions about the real situation of digitalization, its results, and efficiency. We emphasize that the methodological basis for assessing the economic consequences of digital transformation is at the stage of development. This area of research is currently extremely relevant due to its low level of study, high demand, and practical significance. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 945–954, 2022. https://doi.org/10.1007/978-3-030-96380-4_103
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Scientific publications of various authors-scientists and researchers – are devoted to the issues and problems of studying the digitalization of socio-economic systems in the world and national economy. In our study, we used some works that affect the methodology of assessing the digital economy as a whole [1–7]. The study of the digital transformation of transport, transport and logistics systems is reflected in scientific works [8–12]. We find some questions concerning the methodology of statistical assessment of the introduction of digital technologies in the activities of companies, including transport, in the scientific works of the authors [13, 14].
2 Research Methodology The research methodology is based on the use of specific statistical indicators included in the databases of international and Russian statistics. At the level of the Federal State Statistics Service of Russia (Rosstat) these indicators are included in the databases of the federal statistical observation in the following forms: No. 3-inform “Information on the use of information and communication technologies and the production of computer equipment, software and services in these areas”; No. 1-technology “Information on the development and use of advanced production technologies”.
3 Discussion The indicators that are proposed to be evaluated on the basis of these statistical forms are divided into cost-effective and effective. The cost indicators include: – investments in digital technologies, their level, dynamics and structure; – number of specialists in information and communication technologies; – the cost of intangible assets and the capital equipment of the company’s personnel with intangible assets (funds used in solving the problems of digitalization of the company, taken into account in the balance sheet). In our opinion, the following should be attributed to the effective indicators of evaluating the processes of digital transformation: – the number of advanced digital technologies used, their dynamics and structure; – the added value of services created with the use of digital technologies (as a necessary and integral basis for the implementation of the operational and commercial process of production and sale of services in the context of the transition to a digital economic model).
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4 Statistical Assessment and Analysis of the Cost Indicators of the Digital Transformation of Russian Railways The first key indicator, which, in our opinion, is an indicator of digital transformation, is investment in digital technologies. Their dynamics in the holding “Russian Railways” for 2015–2019 insignificant (an increase of 7% in absolute terms), while, as for the transportation over the same period, note the double investment growth (Fig. 1). Specific indicators of investment “in the figure” in the holding per ruble of revenue from the provision of transport services (revenues) in the RR 2 times higher than the average for all Russian transport companies. Thus, from the point of view of cost indicators, the digital transformation of Russian railway transport is not marked by pronounced dynamics. But the volume of investment per unit of financial result-revenue-is significant.
Fig. 1. Dynamics of absolute and relative values of the indicator of investment in digital technologies for Russian transport, including the holding “Russian Railways” from 2015 to 2019. Source: formed by the author on the basis of [15].
In our opinion, in addition to the absolute values of investment indicators in digital technologies, it is necessary to calculate their relative level per unit of financial result and economic effect. And at the same time - to compare data on the company with other industries, the national economy, other countries-major world economies. Figure 2 shows the contribution of investments in digital technologies to the added value of products and services for the Russian economy, the transport complex, including various types of transport, and separately for the company “Russian Railways”. The share of digital investments in the Russian economy, as well as in its transport complex, is growing. This indicates a gradual movement towards digital transformation. In the Russian economy, this figure exceeded 1% only in 2019. The highest value and
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dynamics of the indicator for a 5-year period is noted for air transport: in 2019, the value was 2.5%. The high dynamics of the specific indicator of digital investment was also noted in the logistics infrastructure sector: warehouse complex, terminals, etc.: an increase of 2.4 times over 5 years. In the company “Russian Railways”, the indicator is higher than the industry average. In 2019, it was 1.6%, which is slightly lower than the value in 2015. Thus, the dynamics of investment in digital technologies in the Russian railway transport is not marked by growth, but, at the same time, the level of investment is high.
Fig. 2. Dynamics of the values of the indicator “investment in digital technologies per 1 ruble of gross value added” for the Russian economy, transport and the holding company “Russian Railways” from 2015 to 2019, rubles/ruble (or percent). Source: formed by the author on the basis of [15].
The next indicator of the digital transformation assessment, which we attributed to the group of costly ones, is the number and share of information and communication technology specialists in the total number of employees. According to Fig. 3, we can see that its value for the Russian Railways holding is high in comparison with the industry. Although by 2019, in comparison with 2015, the value has slightly decreased (from 2% to 1.6%). This indicates that Russian Railways has the human potential necessary to implement the tasks and projects outlined in the company’s digital transformation strategy until 2025 and 2030. In terms of staffing with IT specialists, only Russian air transport is comparable to rail transport. For other types of transport, including water, urban passenger, pipeline, logistics infrastructure, this indicator is less than 1%.
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Fig. 3. The share of personnel-specialists in information and communication technologies in the total number of employees for Russian transport and its types, in 2015, 2017, 2019, %. Source: formed by the author on the basis of [15].
5 Evaluation and Analysis of Indicators Reflecting the Results of the Digital Transformation of Russian Railways The key indicator reflecting the results of the development of digitalization processes is the indicator of the number of advanced technologies used, including their dynamics, structure, etc. The specific structure of the advanced technologies used is shown in Fig. 4. Based on these data, we can assess what specific technologies have been implemented in the holding, what is the speed of implementation of technologies of a specific type. About 56% of the total number of technologies falls on the type group “communication and management”. The technologies of the company’s local computer network and electronic information exchange prevail in terms of the number, and in terms of the dynamics of implementation in 2015–2019, programmable logic controllers and transmission systems with spectral compaction on transport networks prevail. The specific classification group “automated monitoring and control equipment” accounts for 12% of the total number of technologies. Design and engineering ranks third in terms of quantitative coverage in the company (11%). The largest topics of implementation within this group are the technologies of digital representation of the results of computer design used in supply management (growth from 18 to 39 units). The almost twofold growth of technologies is characterized by the Production Information System group. Since 2017, the company has implemented one artificial intelligence technology. The number of supervisory control systems and information collection and accumulation systems used has increased from 16 to 29 units.
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Fig. 4. Structure of the number of advanced technologies used by type in the Russian Railways holding from 2015 to 2019, units. Source: formed by the author on the basis of [15].
More specifically, the presence of individual units of digital technologies in the Russian Railways holding can be estimated according to the data of statistical forms 1-technology [11] - summarized in Table 1. Ranking the quantitative data in the context of 9 groups of end-to-end technologies, we note the most common types of technologies: 1. Distributed registry systems (462 units in total), including: inter-company computer networks, including Extranet and electronic data exchange (EDI) (319 units), software for customer relationship management (CRM) (140 units); 2. Wireless communication technologies (265): including wireless communication technologies for production (254 units); 3. Industrial Internet (260 positions): in particular, global navigation systems (GLONASS, GPS, etc.) (164 units); automated control systems (56 units); 4. Big data (189 units), within which the largest number by type is: enterprise resource planning (ERP) (59); technologies for processing streaming data/real-time monitoring (40); production resource planning (MRP II) (37); software for demand forecasting or demand planning (24); warehouse management system (WMS) (12); transportation management system (9); big data processing technologies (8). Currently, there is no information on the indicator “value added created with the predominant use of digital technologies” in statistical databases. Therefore, the formation of a methodology for calculating this indicator is a direction for further promising research.
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Table 1. Quantitative assessment of end-to-end digital economy technologies in the Russian Railways Holding (reporting data for the end of 2020). Key technologies of the digital economy
The number of installed units of digital products and systems in the Russian Railways holding
1. Big Data
Enterprise Resource Planning (ERP) (59 units) Streaming data processing/real-time monitoring technologies (40) Production Resource Planning (MRP II) (37) Software for demand forecasting or demand planning (24) Warehouse Management System (WMS) (12) Transportation Management System (9) Big Data processing technologies (8)
2. Neurotechnologies and artificial intelligence
Artificial intelligence technologies (including predictive analytics and decision support) (5) Industrial robots with sensor/vision systems (2)
3. Distributed registry systems
Inter-company computer networks, including Extranet and Electronic Data Interchange (EDI) (319) Customer Relationship Management (CRM) Software (140) Spatial Data infrastructure (1) Automated Storage (AS) and Retrieval (RS) System (1) Supply Chain Management System (SMC Systems) (1)
4. Quantum technologies
High-performance computing for technical and industrial tasks (using a supercomputer and / or distributed computing power for design, modeling, testing, etc.) (6)
5. New production technologies
Production (Manufacturing) Management System (MES) (36) Additive technologies for production/rapid prototyping, 3D printing-plastics (3) (continued)
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Key technologies of the digital economy
The number of installed units of digital products and systems in the Russian Railways holding
6. Industrial Internet (Internet of Things)
Global navigation systems (GLONASS, GPS, etc.), except for individual use by employees (164) Automated control systems (for example, based on vision, laser, X-ray, high-definition (HD) cameras or sensors) (56) Geographic Information Systems (GIS) (18) Sensor networks, industrial Internet of Things (15) Remote sensors that transmit data wirelessly/over the Internet (7)
7. Robotics and sensor components
Unmanned vehicles, devices of a similar purpose (60) Industrial robots/automated production processing lines (welding, cutting, painting, etc.) (53) Industrial robots/automated equipment for sorting, transporting or assembling parts (16)
8. Wireless communication technologies
Wireless communication technologies for manufacturing (254) Radio Frequency Tags (RFID) (1) Automated identification of products and parts (for example, barcodes or QR codes) (10)
9. Virtual and augmented reality technologies
Virtual production, digital doubles (4)
Source: formed by the author on the basis of [15]
6 Conclusion According to the results of the study, we can conclude the following. Based on the data of statistical forms of Russian and international statistics, it is proposed to reduce all the indicators for assessing digital transformation to costly and effective ones. Among the cost indicators, it is proposed to evaluate such as investments in digital technologies, their level, dynamics and structure; the number of specialists in information and communication technologies; the cost of intangible assets and the capital equipment of the company’s personnel with intangible assets. The effective indicators include: the number of advanced digital technologies used, their dynamics and structure; the added value of services created using digital technologies.
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In the process of evaluating and analyzing the indicators, the effectiveness of digital transformation in the field of Russian railway transport was confirmed – in the Russian Railways holding, as evidenced by the fact that the number of advanced digital technologies used in the holding increased by 62% from 2015 to 2019, while investments increased by only 7% per year over the same period. The value of the indicator of the share of IT specialists in the total number of personnel for the Russian Railways holding is high and significantly higher than the average value in the industry, which confirms that the company has the human potential necessary to implement the tasks and projects outlined in the company’s digital transformation strategy until 2025 and 2030. The value of the indicator of the fund-equipment of personnel with intangible assets in Russian Railways increased by 1.5 times from 2015 to 2019. Thus, it can be argued that the digital transformation according to this criterion is marked by significant dynamics, and the provision of employees with digital systems is growing at a faster pace.
References 1. Behdani, B.: Evaluation of paradigms for modeling supply chains as complex socio-technical systems. Paper Presented at the 2012 Winter Simulation Conference, pp. 3794–3808 (2012) 2. BlancoNovoa, O., FernandezCarames, T.M., FragaLamas, P.: A practical evaluation of commercial industrial augmented reality systems in an industry 4.0 Shipyard. IEEE Access 6, 8201–8218 (2018) 3. Clark, A., Zhuravleva, N.A., Siekelova, A., Michalikova, K.F.: Industrial artificial intelligence, business process optimization, and big data-driven decision-making processes in cyber-physical system-based smart factories. J. Self-Governance Manage. Econ. 8(2), 28–34 (2020) 4. Gray-Hawkins, M., Michalkova,. L, Suler, P., Zhuravleva, N.A.: Real-time process monitoring in industry 4.0 manufacturing systems: sensing, smart, and sustainable technologies. Econ. Manage. Financ. Mark. 14(4), 30–36 (2019) 5. OrozcoRomero, A., AriasPortela, C.Y., MarmolejoSaucedo, J.A.: The use of agent-based models boosted by digital twins in the supply chain: a literature. In: Paper presented at the 2nd International Conference on Intelligent Computing and Optimization, ICO, vol. 1072, pp. 642–652 (2019) 6. Saks, N.V., Kazanskaya, L.F., Egorov, Y.V.: Digitalization as a factor of formation of new economic opportunities under globalization conditions. globalization and its socio-economic consequences. Paper Presented at the 18th International Scientific Conference Proceedings (Part V. - Digital Single Market), pp. 2152–2158 (2018) 7. Zhuravleva, N.A., Wright, J., Michalkova, L., Musa, H.: Sustainable urban planning and internet of things-enabled big data analytics: designing, implementing, and operating smart management systems. Geopolit. History Int. Relat. 12(1), 59–65 (2020) 8. Gulyi, I.: Economic assessment of the implementation of distributed data registry platforms in multimodal transport. E3S Web Conf. 220, 01068 (2020) 9. Suvorova, S., Naumova, E., Scherbanyuk, I., Nos, V.: Digital transformation in man-agement of container-on-flatcar transportation: evaluation of business effects. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012044 (2020) 10. Vanderroost, M., Ragaert, P., Verwaeren, J., et al.: The digitization of a food package’s life cycle: Existing and emerging computer systems in the logistics and post-logistics phase. Comput. Ind. 87, 15–30 (2017)
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11. Zhuravleva, N., Volkova, E., Solovyev, D.: Smart technology implementation for road traffic management. E3S Web Conf. 220, 01063 (2020) 12. Zhuravleva, N.A., Nica, E., Durana, P.: Sustainable smart cities: networked digital technologies, cognitive big data analytics, and information technology-driven economy. Geopolit. History Int. Relat. 11(2), 41–47 (2019) 13. Dev, N.K., Shankar, R., Gupta, R., Dong, J.: Multi-criteria evaluation of real-time key performance indicators of supply T chain with consideration of big data architecture. Comput. Ind. Eng. 128, 1076–1087 (2019) 14. Miethlich, B., Kvitka, S., Ermakova, M., et al.: Correlation of educational level, labor potential and digital economy development in Slovakian Ukrainian Russian Experience. TEM J. 9(4), 1597–1605 (2020) 15. The results of federal statistical observations in Russia according to the forms: No. 1technology “Information on the development and use of advanced production technologies”; No. 3-inform “Information on the use of information and communication technologies and the production of computer equipment, software and services in these areas”. https://rosstat. gov.ru
Assessing the Impact of Railroad Modernization on the Socio-Economic Regional Development Yuliya Popova(B) Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk 630049, Russian Federation
Abstract. Russian railroads are a major factor in the economic development of the regions. To date, they provide the volume of freight and passenger traffic and are a link between the territorial entities of the country, near and far abroad. In modern conditions, the transport efficiency criterion is the constant growth of the freight and passenger traffic volume, which ensures the economic links, thereby creating prerequisites for the socio-economic regional development. Therefore, the task of maintaining the technical condition of the railroads that meets modern conditions of science and technology, as well as their modernization is relevant, which is reflected in the objectives of the Strategy for the Development of Rail Transport in the Russian Federation until 2030. A comprehensive methodology for assessing the impact of modernization of railroads on the socio-economic regional development, based on the synthesis of theoretical and methodological tools, enabling to assess the socio-economic effectiveness of regional railway infrastructure development from the position of security and functional purpose and, on this basis, to achieve agreement on socio-economic and transport benchmarks in the design of regional development programs is proposed. Keywords: Railway transport · Modernization · Railroads · Transport system · Multimodal transportation
1 Introduction Rail transport is the most important infrastructure component of the economy, forms a significant share of the gross domestic product (GDP), ensures the functioning of other industries, thereby largely determining the vector of national development. In this regard, the formation of a mechanism to assess the impact of modernization of railroads, the development of which satisfies the demand for transportation services, ensures territorial integrity, and affects the results of economic activity, economic growth, achievement of targets and benchmarks, including in the social sphere, while having a multiplier effect, is of particular relevance. The formation of modern transport infrastructure in the country’s regions, allowing to provide increased accessibility and efficiency of transport complex services and, as a consequence, the positive dynamics of socio-economic development remains an urgent research problem. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 955–963, 2022. https://doi.org/10.1007/978-3-030-96380-4_104
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2 Materials and Methods Theoretical and methodological basis of the study includes: fundamental and applied works of foreign and domestic scientists, as well as the specialists in the field of regional transport infrastructure development; conceptual approaches to the issue of assessing the effectiveness of transport infrastructure development, in particular its impact on socioeconomic development; developments of research institutions and materials of scientific and practical conferences on the topic under study, as well as the research and analysis results of the survey. When solving the set tasks, the methods of comparative economic analysis, systematic approach, methods of regression analysis, logical modeling and a number of general scientific and special methods and techniques (abstract-logical, graphic interpretations), economic and statistical methods of collecting and processing information, etc. were correctly applied.
3 Problem Statement Scientific research pays much attention to solving the problems of the state, functioning and development of transport infrastructure as one of the components of the production efficiency of economic entities. At the same time, research into the comprehensive impact of transport infrastructure on regional development as a whole remains relevant. To analyze the role of transport infrastructure as a factor of socio-economic development of the country and the region, there are a number of approaches, which can be united into two directions, based on the differences of estimates of the transport component in the socio-economic development: 1. Assessment of the transport component’s impact from the point of view of the country’s economic security. 2. Assessment of the transport component’s impact in terms of its contribution to the final indicators of socio-economic development [1–3]. The analysis provides a basis for determining the indicators of socio-economic development, clarifying the directions of the transport impact on socio-economic development and determining the evaluation indicators of transport infrastructure. Let us note that the assessments of transport infrastructure should take into account both the physical characteristics of the infrastructure state and the characteristics of its use. The emphasis should be made on a comprehensive consideration of the transport component’s impact on socio-economic development. The complexity of the assessment is achieved through the use of a system of indicators, which makes it possible to assess the totality of socio-economic processes occurring in the region, related to the transport system development. Comprehensive approach differs from the sectoral approach, in which the development of transport is considered as a means of improving the efficiency of the economy.
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Comprehensive assessment of the transport infrastructure impact, in our view, should include the socio-economic approach, in which the development of transport infrastructure is considered as a necessary component to ensure sustainable development of the regions and the country as a whole [4]. A comprehensive consideration based on the socio-economic approach, which implements a comprehensive analysis of the impact of transport, most fully meets the requirements of society to the development of transport infrastructure in modern conditions; it involves the study of the conditions of functioning of the socio-economic system and understanding the role of its four components - social, natural, technological and economic [5, 6].
4 Results Railroads modernization, including Trans-Siberian and Baikal-Amur Mainlines, is carried out by implementing the organizational and technological processes including supply, general construction and special types of activities. The principal peculiarity of reconstruction, modernization, overhaul of linearly dispersed objects is the displacement of work scope, entailing the need to move labor, technical and material resources as reconstruction activities are performed, otherwise, as construction and erection works are performed. In this case labor resources are redeployed, and material resources are completed by production and processing departments and delivered to the previously prepared construction sites. Such work arrangement requires the creation of inventories, which causes additional expenses for their storage and intermediate transportation in the chain: the supplier-object. Therefore, the problem of optimizing the transportation costs of the railroad being modernized requires additional solutions [7–10]. In the process of modernization of any railway infrastructure facility, a fairly wide range of imported resources is consumed. For organizations that perform practically homogeneous work and consume a small list of resources, the costs of delivery and storage change little when moving from one product to another, so the author proposed a single-product cost management model. The assessment of the operation quality of the transport and storage system (TSS) can be made on the basis of the function of transport and logistics costs associated with the storage of the product in the points and links of the TSS, the costs of transporting the product on the links, the costs of relocation of the MSP, the total costs of the TSS. The integral criterion for the quality of the system functioning is the minimum of total logistics (transport and storage) costs [11]. The aforementioned is presented in a formalized form: z(t) determines the coordinate of the MSP location at the moment of time t; aj is a location coordinate of j supplier ((j = 0, m)); m is the number of suppliers. Interval of changes in the main system parameters: ai−1 ≤ z(t) < ai , ∀t ∈ ti−1 , ti , i = 1, m − 1; (1) am−1 ≤ z(t) ≤ am , ∀t ∈ tm−1 , tm , i = m.
(2)
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Movement of the scope of work on the ith link of the route for the time interval can be represented as follows: z(t + t) = z(t) +
ω dz t, or = qi ω, Qi dt
(3)
Where ω is MSP performance; Qi is a specific amount of work (amount of work per unit length of the route) of the i-th section; qi is the value inverse of the specific amount of work Qi . The balance of product consumption for a small period t, when the work scope changes by the amount of z, is expressed in the form of equation: ρ(t)t = h(z)z. t After the transformation ρ(t)t = h(z) dz dt = h(z)qi ω or. ρ(t) = πi qi ω∀t ∈ ti − 1, ti, = 1, m − 1; ∀t ∈ tm − 1, tm, i = m.
(4)
Here h(z) is the law of change of track demand for the product; πi is the amount of product necessary to perform works on a unit of length i-part of the track. Balance ratio for the product stock in the MSP warehouse: w(t + t) = w(t) + (μ − ρ)t, or = μ − πi qi ω, ∀t ∈ ti−1 , ti , i = 1, m − 1 (5) Where w is the MSP product stock; μ defines the rate at which the product arrives at the warehouse MSP. Product balance at an arbitrary point of the track j(j = 1, m − 1) ⎧ γ0 − δ0 , j = 0 ⎨ dAj = γj + βj − δj , j = 1, m − 1 (6) ⎩ dt γm − βm , j = m Here Aj is a product stockpile held in j location; γj is the intensity of product manufacture in j location; δj is the intensity of product shipment from j location; βj is the intensity of product intake in j location from an adjacent link; Where Bj defines the stock of product in transit on the j link. The intensity of the product intake to the MSP warehouse, when the work is carried out on the i site, can be presented in the following form: dμ = αi (η − w) + Si (Bi − yi ) μ(t + t) = μ(t) + αi (η − w) + Si (Bi − yi ) t, or dt (7) Where yi is a normative level of product stock, located at the i link of the track; η is an insurance level of product stock in the MSP warehouse; Coefficients αi and Si show the change in the intensity of product intake to the MSP warehouse, if the value of discrepancy between the actual product stock and the insurance stock and, accordingly, the value of discrepancy between the actual volume of transported cargo and the normative ones is unity. Change of product intake intensity to the warehouse of an arbitrary point j.: d βj Sj Bj − yj , j = 1, i − 1 = (8) Sj+1 Bj+1 − yj+1 , j = i, m − 1 dt
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Combined expenditures consist of the cost of storage in the MSP warehouse, the cost of storage at points along the route, the cost of storage at all the links of the route during transportation, the cost of moving the product along all the links of the route, the cost of MSP redeployment. ⎤ ⎡ m m m ti tm Cj3 Bj + Cj4 Bj δj−1 + Cj4 Bj βj ⎦dt + Cj2 Aj + Ci5 ∫ wωdt. L = ∫ ⎣C w + 0
j=0
j=1
i=1
ti−1
(9) Here C1, C2, C3, C4, C5 show the cost of storing a unit of product in the MSP warehouse, at the points of the route, at all the links of the route during transportation, movement of the product along all the links of the route, MSP redeployment. Let us formulate the problem of increasing the efficiency of transport and warehouse system management in the form of the following optimal management problem. It is required to find a piecewise continuous control U(t), 0 ≤ t ≤ tm, regionally owned by ω ≤ ω ≤ ω,η ≤ η ≤ η, yi ≤ yi ≤ yi (j = 1, m), which transfers the system (2–5) from the initial state Z(0) = 0, W(0) = W0, Aj(0) = Aj0, (j = 0, m), Bj(0) = Bj0,(j = 1, m), μ(0) = μ0, βj(0) = βj0, (j = 1, m − 1), δj(0) = δj0, (j = 0, m), γj(0) = γj0, (j = 0, m) to the finite state Z(tm) = Qm (tm is the time of track construction completion), W(tm) = Wm, Aj(tm) = Ajm, (j = 0, m), Bj(tm) = 0, (j = 1, m − 1), δj(tm) = 0, (j = 0, m), γj(tm) = 0, (j = 0, m), while satisfying the constraints 0 ≤ Z ≤ am, 0 ≤ W ≤ W , 0 ≤ Aj ≤ Aj , (j = 0, m), 0 ≤ Bj ≤ Bj , (j = 1, m), 0 ≤ μ ≤ μ, 0 ≤ βj ≤ βj , (j = 1, m), 0 ≤ δj ≤ δj , (j = 0, m), 0 ≤ γj ≤ γj , (j = 0, m) and delivering a minimum of the functional [12]. When developing and analyzing the model of poly-product supply management used by organizations in the modernization of dispersed facilities, the author used the principle of formation of the production intensity and loading and unloading works as the basis. The expression for the intensity of receipt of the product to the warehouse MSP, when the work is carried out at the i site, can be written out in the following form: (10) μ(t + t) = μ(t) + αi (η − w) + Si (Bi − yi ) t, Where η is an insurance level of product stock in the MSP warehouse; w is MSP stock; Bi is the stock of product in transportation at the ith site; yi is the normative level of the product stock located at the ith track section; M is the number of sites. As a result of the limiting transition at t → 0 we obtain the following: dμ = αi (η − w) + Si (Bi − yi ) dt
(11)
The speed of movement of the k-type work scope (movement speed k-MSP): dzk Tk k = qik ωk − qik φk , dt
(12)
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Taking into account the product consumption for the manufacturing of basic and auxiliary works, the balance equations of each link are also modified: ⎧ k k ⎪ ⎨ δj−1 − βj , j = 1, ik − 1 dBjk k + δ k − μT − μ, j = i = δj−1 (13) k , j k k ⎪ dt ⎩ δ k − β k , j = i + 1, m k j j−1 The model introduces a system of constraints on the control systems. The expression for the system functional for total costs: L=
N Lk + lk ,
(14)
k=1
Where Lk are the total costs by the k-type works, lk defines the support work expenses. lk =
m j=1
tj
p
∫ Cjk γjk dt +
tj−1
1 tj c k 1 tj 0 k ∫ Cjk δj + βjk dt + ∫ Cjk δj−1 + βjk dt 2 2 tj−1 tj−1 m
m
j=1
j=1
(15) p
Where Cjk , Cjk0 , Cjkc are the capital costs for the development of production facilities, loading and unloading equipment capacity, transportation links and means of delivery associated with processing for the k-product. A generalized formulation of the problem of optimal supply and inventory management for many products is formulated as follows. It is required to find a piecewise continuous control u(t)0 ≤ t ≤ tm , corresponding to the control area, which transfers the system from the initial state to the final state, satisfying the constraints, intermediate conditions, and giving a minimum to the functional. The proposed concept of optimizing the supply and consumption of poly-product in the investment and construction projects’ execution in the areas of industrial development can be implemented effectively on the basis of optimal management methods. Linear and dynamic programming methods are offered as tools for the solution of the tasks in question, which increases the adequacy of the results obtained to the actual state of implementation of such projects. The reduction of transport and storage costs compared to the traditional solutions used by construction and installation organizations in practical work is up to 15% or more [13, 14]. The actual task of any transformations is to assess the state of socio-economic development of the region and to understand the degree of influence of one or another type of activity on its change in indicators. Therefore, the development of a methodological approach to assessing the impact of the performance indicators of the infrastructure complex of railroads on the GRP of the region is extremely important for a reasonable and optimal management of changes in the external and internal environment [15]. The structural and logical scheme of the comprehensive assessment methodology is presented in Fig. 1.
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Preliminary stage Information gathering on features and factors of traffic development and the state of railway infrastructure at the national and regional levels
I unit Stage 1: Evaluating the role of railway infrastructure in the socio-economic development of the country 1. Selection of indicators characterizing the railway infrastructure condition in the Russian Federation 2. Comparative analysis of the railway infrastructure condition in the countries 3. Identification of problems and prospects for the railway infrastructure development in the Russian Federation 4. Assessment of compliance of the Russian Federation railway infrastructure state with the needs of foreign economic activity in the current geopolitical situation Stage 2. Evaluating the effectiveness of the region's railway infrastructure development 1. Calculation of indicators of the effectiveness of the region's railway infrastructure development 2. SWOT-analysis of transport (railway) infrastructure of the region
II unit Stage 1: Developing models to improve the efficiency of the regional transport and logistics system 1. Assessment of transport infrastructure compliance with the needs of the region in the implementation of transport and economic relations 2. Rationale for the choice of promising areas of transport infrastructure development in the region 3. Development of a model to optimize the cost management of mono-product supply in the railroad modernization 4. Development of a model to optimize the cost management of poly-product supplies in the railroads’ modernization
Stage 2. Assessing the impact of railroad modernization on the socio-economic development of the region 1. Development of models to assess the impact of railroads on the socio-economic development in the region 2. Forecasting indicators of social and economic indicators according to the chosen scenario
Formation of a comprehensive methodology for assessing the impact of railway infrastructure on socio-economic development of the region based on cost management optimization models to modernize the railroads
Fig. 1. Structural and logical schematic diagram of the comprehensive assessment methodology of railroad modernization on the socio-economic development in the region.
5 Conclusions The methodology suggested by the author for a comprehensive assessment of the railroad modernization impact on the socio-economic development of the region is based on the use of theoretical and methodological tools. It makes it possible not only to assess the level of provision of transport infrastructure with the necessary structural elements and the effectiveness of its development, but also to establish its compliance with the needs of the region in the implementation of transport and economic relations, as well as to assess the impact of railroad modernization on the socio-economic development of the region. The advantages of the proposed algorithm for applying the comprehensive assessment methodology for the modernization of railroads on the socio-economic development of the region compared to the traditional algorithm are the following: – ensuring a high level of adaptability of transport infrastructure to the dynamic conditions of the regional environment development in accordance with the existing needs of the region in the implementation of transport and economic relations,
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– the possibility of planning and forecasting the development of industry, agriculture and trade of the RF subjects. The resulting multiplier effect will ensure GRP growth, increase investment attractiveness, business activity and, ultimately, the level of socio-economic development of territories in the railroad modernization zone.
References 1. Kazaryan, R.: The concept of development of the integrated transport system of the Russian Federation. Transp. Res. Proc. 54, 602–609 (2021). https://doi.org/10.1016/j.trpro.2021. 02.112 2. Pichler, M., Krenmayr N., Schneider, E., Ulrich, B.: EU industrial policy: between modernization and transformation of the automotive industry. Environ. Innov. Soc. Trans. 38, 140–152 (2021). https://doi.org/10.1016/j.eist.2020.12.002 3. Simionescu, V., Silvius, G.: Assessing sustainability of railway modernization projects. a case study from Romania. Proc. Comput. Sci. 100, 458–465. (2016). https://doi.org/10.1016/ j.procs.2016.09.182 4. Novoselov, A.S., Faleev, A.V.: Modern approaches to the evaluation of indicators of regional economic development efficiency. Sci. Method. J. “Probl. New Econ.” 2(58), 72–78 (2021). https://doi.org/10.52170/1994-0556_2021_58_72 5. Zhou, Y., Kundu, T., Goh, M., Sheu, J.-B.: multimodal transportation network centrality analysis for belt and road initiative. Transp. Res. Part E Logist. Transp. Rev. 149, 02–123 (2021). https://doi.org/10.1016/j.tre.2021.102292 6. Farhadi, M.: Transport infrastructure and long-run economic growth in OECD countries. Transp. Res. 74, 73–90 (2015). https://doi.org/10.1016/j.tra.2015.02.006 7. Hodgson, C.: The effect of transport infrastructure on the location of economic activity: railroads and post offices in the American West. J. Urban Econ. 104, 59–76 (2018). https:// doi.org/10.1016/j.jue.2018.01.005 8. Sukhodolov, Y.A.: Torgovo-ekonomicheskoye sotrudnichestvo Kitaya so stranami Tsentral’noy Azii (Trade and economic cooperation of China with the countries of Central). Proc. Baikal State Univ. 30(1), 50–58 (2020). https://doi.org/10.17150/2500-2759 9. Yudnikova, E.S.: Metodologicheskiye aspekty organizatsii konteynernykh zheleznodorozhnykh perevozok transportnymi organizatsiyami (Methodological aspects of the organization of container railway transportation by transport organizations). Proc. Baikal State Univ. 31(1), 80–89 (2021). https://doi.org/10.17150/2500-2759 10. Makarov, I.N., Makarov, O.A.: Rol’ i znacheniye zheleznodorozhnogo transporta v ekonomicheskoy sisteme Rossiyskoy Federatsii (The role and importance of railway transport in the economic system of the Russian Federation). Russian Entrepreneur. 16(14), 2271–2284 (2015). https://doi.org/10.18334/rp.16.14.523 11. Gibbons, S., Lyytikäinen, T., Overman, H., Sanchis-Guarner, R.: New road infrastructure: the effects on firms. J. Urban Econ. 110, 35–50 (2017). https://doi.org/10.1016/j.jue.2019.01.002 12. Chen, Z., Haynes, K.E.: Regional impact of public transportation infrastructure: a spatial panel assessment of the U.S. Northeast Megaregion. Econ. Dev. Quart. 29(3), 275–291 (2015). https://doi.org/10.1177/0891242415584436 13. Vinichenko, V.A., Nekhoroshkov, V.P.: Napravleniye razvitiya sotrudnichestva gosudarstvchlenov SHOS v oblasti transporta (The direction of development of cooperation of the SCO member states in the field of transport). Sci. Method. J. “Probl. New Econ.” 1(57), 66–73 (2021). https://doi.org/10.52170/1994-0556_2021_57_66
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14. Chechenova, L.M.: Resheniya po optimizatsii ekspluatatsionnykh raskhodov na zh/d transporte (Solutions to optimize operating costs on the railway transport). Sci. Method. J. “Probl. New Econ.” 2(58), 61–66 (2021). https://doi.org/10.52170/1994-0556_2021_58_61 15. Tretiak, V.P.: Platforma biznes dlya transportnoy infrastruktury (Platform business for transport infrastructure). Sci. Method. J. “Probl. New Econ.” 2(58), 54–60 (2021). https://doi.org/ 10.52170/1994-0556_2021_58_54
Interurban Travel Mode Choice Model Which Based on Departures Frequency and Passengers’ Preferences Mark Koryagin(B)
and Alexander Chistyakov
Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk 630049, Russian Federation
Abstract. The article deals with the issue of intercity passenger transportation. The main issues considered in the scientific literature concern the formation of the correspondence matrix, the choice of travel mode, the composition of carriers and their competition for passengers, interaction with intracity transport, the environmental aspect of transportation. The authors propose a mathematical model of transportation mode choice based on the theory of sets: passengers are divided into categories, each of which has its own set of potential alternatives. The frequency of traffic also affects the choice of transportation mode. The mathematical model makes it possible to predict the number of passengers carried when the composition of the market participants and the frequency of transport movement change. The authors propose the solution of the inverse problem - on the basis of real data on passenger traffic to determine the categories of passengers. The model is considered using the example of passenger traffic in the directions NovosibirskTomsk and Tomsk-Novosibirsk. The categories of passengers are defined. It is shown how passenger traffic on the railway will change with the increase in the number of trips. Keywords: Intercity passenger transportation · Travel mode choice · Competition · Passenger traffic redistribution model · Railway transport
1 Introduction An important area of passenger transportation research is the modeling of market interaction between different transport modes, passengers and the state. This provides an opportunity to understand the essence of the competitive processes taking place in the market and determine the external and internal factors affecting them. The work [1] describes the theoretical and game model of urban passenger transport market. In turn, the study [2] presents an analysis of intra-industry competition in the regional market of suburban passenger transportation in order to work out an optimal development strategy. An advanced method of research on urban and intercity passenger movements is the analysis of mobile operators’ data [3]. In this paper, the hypothesis of the type of model describing the subscriber belonging to a certain stratum of the population is tested on the basis of proxy factors in the form of a decision tree and stratification of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 964–973, 2022. https://doi.org/10.1007/978-3-030-96380-4_105
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subscribers. A methodology for generating passenger flow matrices using regression analysis is proposed. According to forecasts, the number of intercity trips will only grow, so the quality of communication between intercity and urban modes of transport will become increasingly important. In [4] a study of the parameters of intermodal passenger transportation influence on demand. The standard parameters of the model are the cost of travel, travel time, the time it takes to use the transport and leave it, socio-economic variables. Additional parameters were the availability of automatic luggage transfer service from one mode of transport to another, the availability of ticket insurance, transition time or waiting time when transferring from one mode of transport to another. The study [5] analyzed the potential competition of high-speed train and air transport between Madrid and Barcelona. A disaggregated demand model was developed using a mixed database of identified and stated preferences. The different willingness of the population to pay for improved service was determined. The results of the work questioned the effectiveness of the high-speed rail introduction in the markets of intercity transport with the priority choice of the population for air service. The competition of intercity transport modes on the Milan-Rome route was analyzed in [6, 7]. This transportation direction is unique in the fact that with a large passenger flow there is a low level of competition within modes of transport. From 1995 to 2008 air transportation services were provided by two companies. In 2008, the companies merged, and the air transportation market became monopolistic. Rail transport is also represented by one company. The authors showed how the passenger flow would be redistributed depending on the changes in tariffs, as well as the appearance of new companies-competitors among the existing types of transport. It is important to note that the consequence of increased competition is an increase in the cost of environmental protection. The work [8] notes the complexity of modeling intercity passenger transport, which is due to the interconnected behavior of the main market participants. The authors proposed two two-level models of intercity passenger transportation. To enhance economic growth, the Taiwanese government initially relied on the development of motor transport. As the population’s wealth increased, the number of cars also increased. Types of public transportation were forced to either increase prices or reduce the frequency of departures. Such measures served as another impetus for the development of automobile transportation. The Downs-Thomson paradox manifested itself in full measure [9]. As a result, there was a situation where road transport ceased to bring the necessary benefit due to the high congestion of the highways, and public transport became less preferable because of the high cost and inconvenient schedule. The authors see the solution in the development of passenger public transport, the most promising among which is high-speed rail transport. The environmental aspect of intercity passenger transportation is considered in detail in [10]. The authors draw attention to the unreasonableness of the widespread judgment about the construction of high-speed rail lines as part of the solution to the problem of climate change. The main advantages of high-speed rail are time savings and high throughput capacity, rather than the reduction of greenhouse gas emissions. Investments for a new high-speed rail line should only be considered if the volume of passenger traffic is high enough. Otherwise, gas emissions during construction may exceed the expected
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reduction in environmental damage for several decades to come. Therefore, the authors suggest upgrading existing rail lines to increase train speeds to the required level. The market for intercity passenger transportation services fully meets the criteria of a buyer’s market: supply is higher than demand, strong competition, high consumer demands for transportation service. The passenger in the process of choosing a way of transportation is focused not only on the cost of the service, but also on the travel time, convenience of the schedule, comfort and safety of the vehicle [11]. To form the most effective economic strategy, companies need to study not only the needs of passengers, but also the behavior of the main market players, which are: passengers, competitor firms and the state. Thus, it can be concluded that the market of intercity passenger transportation is a complex socio-economic system. Regional passenger transportation is carried out by the following types of transport: air, rail, bus and automobile. Rail transport is divided into long-distance trains and electric trains. Road transport can be both own and found with the help of Internet services, the largest and most popular of which is “BlaBlaCar”. It should be noted that not all of these modes of transport are engaged in passenger transportation for specific destinations. The main factor influencing the participation of a mode of transport in transportation activities is infrastructure. However, even if the necessary infrastructure is in place on the selected direction, a certain type of passenger transport may perform a minimum number of trips or not function at all. The following modes of transport are engaged in passenger transportation on the direction Novosibirsk-Kemerovo: air, rail, bus and motor transport. In turn, in the direction of Novosibirsk-Tomsk transportation activities are carried out by the same modes of transport, except aviation. In January 2021 the Novosibirsk-Tomsk direction was excluded from the list of subsidized air transport directions. Table 1 shows the main Table 1. Main parameters of passenger traffic Transport mode
Rail
Bus
Private car «BlaBlaCar»
Distance, km
308
267
267
from 4 h 44 min to 7 h 18 min
4 h 10 min 3 h 50 min 3 h 50 min
267
Novosibirsk-Tomsk route Travel time
Average frequency of departures, 1.3 trips per day Fare, rub
17
from 466 to 1179 770
–
23
–
550
Tomsk-Novosibirsk route Travel time
from 4 h 26 min to 6 h 39 min
Average frequency of departures, 1.5 trips per day Fare, rub
4 h 10 min 3 h 50 min 3 h 50 min 17
from 466 to 1207 790
–
29
–
540
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parameters of passenger traffic for each mode of transport on Novosibirsk-Tomsk and Tomsk-Novosibirsk directions, observed in March 2021. When comparing transport modes, it should be taken into account that the use of air transport for movement involves additional costs and time to cover the distance to the airport on departure and back to the city on arrival, because the airports are located at a considerable distance from the cities. Novosibirsk International Airport “Tolmachevo” (OVB) is geographically located in the small city Ob. The distance from the center of Novosibirsk to the airport “Tolmachevo” is 21 km. In turn, the international airport of Tomsk “Bogashevo” (TOF) is removed from the city center by 25 km. In addition, the additional cost of time due to the fact that airlines recommend to arrive at the airport well in advance. There may also be delays in flight departures due to adverse weather conditions. These factors indirectly increase the actual travel time and the cost of travel by air for passengers (statistics of average delays are needed). Car transportation can depart from any point in the city and arrive at any point as well. Self-trip by private car can reduce the expected level of comfort, as you need to carefully monitor the situation on the road. As a result, the driver is advised to take time to rest after the trip upon arrival. In this case, it may be more convenient to use the Internet search service “BlaBlaCar” hitchhikers. However, there is a possibility of getting to an unreliable driver, which increases the risks of untimely departure and arrival, and can also significantly reduce the perception of comfort and safety of the trip [12]. In addition, there are no guarantees of the technical condition of the car. Bus and rail transport compete most strongly in the intercity passenger transportation market. Based on the data collected in Tables 1 and 2, we can observe that the travel time and cost of travel by bus and rail are approximately the same. A significant difference lies in the comfort of the trip, as well as the luggage requirements. It is necessary to pay attention to the difference in the cost of passenger bus fare on the routes under consideration, which differ from each other by only 2 km. Tariff policy of rail transport has a significant impact on the ticket price of bus companies. So, the average fare from Novosibirsk to Kemerovo is 860 rubles, and from Novosibirsk to Tomsk - 770 rubles. This phenomenon in game theory is called Bertrand equilibrium, when the company that offered the lowest price in the market for the same product, satisfies the demand of the predominant share of customers [13]. Between Tomsk and Novosibirsk railway transport offers a lower price than bus transport, so road transport companies are also forced to reduce the cost of travel. In [7] it is noted that when choosing the mode of travel, the travel time and the frequency of departures are of the greatest importance for passengers. If the travel time is the same, then passengers pay attention only to the frequency of departures. However, passengers’ subjective perception of time should be noted. In other words, passengers who choose shorter travel times subjectively value their personal time more dearly than passengers who choose longer modes of travel.
2 Materials and Methods In the short term without substantial investments companies have no opportunity to improve such parameters as travel time, comfort and safety. Besides, the government
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supervises the tariff policy of transport companies. Under such conditions, it is possible to achieve growth in passenger traffic flow only by increasing the number of trips, i.e. forming a more convenient schedule. That is why a model of the intercity passenger transportation market was developed, in which the only variable parameter is the frequency of departures. We will assume that K modes of transport are engaged in passenger transportation between two cities in region A and B. Let us assume that there are such groups of passengers for whom it is subjectively perfectly equivalent to use a certain number (from 1 to K) of modes of transport to move between cities A and B. For example, a certain group of population equally estimates for itself the ticket price, travel time, comfort and safety of bus and rail transport in a given direction, considering it acceptable to travel with both modes of transport. There may also be another group of people who prefer to travel only by private car and do not consider other modes of transport at all. The number of people in each group depends on a number of non-economic factors: weather conditions, day of the week, holiday, time of year, force majeure, etc. However, it is assumed that the proportion of each population group to the total number of passengers varies around a certain value. The size of each population group in terms of equal preference for modes of transport can be established by conducting passenger surveys. The number of possible population groups N, taking equal preference from 1 to K modes of transport, respectively, is equal to: (1) N = 2K − 1 The only criterion for choosing between equally preferred modes of transport for the n-th group of population is the convenience of the schedule (frequency of departures). Let ank be a Boolean coefficient corresponding to the preference of the n-th population group for the k-th transport mode (where 0 – non-preferred, 1 - preferred). Let μk be the frequency of departure of the k-th transport mode. Then the probability of choosing the n-th population group of the k-th transport mode is determined by the formula: ank · μk Pnk = K (2) k=1 ank · μk Let λn be the total number of passengers of the n-th population group. Then the average total number of passengers of the k-th transport mode λk for a certain period of time is determined by the formula: λk =
N λn · ank · μk K k=1 ank · μk 1
(3)
Due to considerable complexity of initial determination of population groups by equal preference of transport modes, it becomes interesting to solve the inverse problem, i.e., determination of population group values from total number of passengers by means of existing passenger flows and departure frequencies of transport modes. Population group ratios calculated in this way are of interest for marketing research of transport enterprises, and may be the basis for further modeling of passenger traffic flows in the passenger transportation market.
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3 Results Here is an example of a reverse problem for the Novosibirsk-Tomsk direction. We assume that passengers can choose between buses, trains and “BlaBlaCar” service to make a trip. People who use personal vehicles to travel between cities are excluded from the initial group of the population we are considering. This is explained by the attached logit-model [14], according to which the self-driving vehicle refers to another group of ways of movement. Data on the frequency of departures and the number of passengers of each mode of transport for March 2021 are presented in Table 2. Since it is not possible to determine the exact number of passengers who used the “BlaBlaCar” online service, the average number of passengers is assumed to be two. Table 2. Frequency of departures and passenger traffic by transport modes Month day
Number of train trips
Number of train passengers, people
Number of bus trips
Number of bus passengers, people
The number of “BlaBlaCar” service trips
Estimated number of passengers of the “BlaBlaCar” service, people
1
0
0
18
236
21
42
2
2
91
17
122
33
66
3
0
0
16
186
29
58
4
1
66
17
164
31
62
5
1
20
18
282
18
36
6
2
224
18
365
23
46
7
1
19
18
282
20
40
8
2
150
18
468
5
10
9
1
20
15
258
14
28
10
2
104
18
222
28
56
11
0
0
19
193
35
70
12
2
126
19
322
43
86
13
1
28
17
215
32
64
14
2
112
20
368
35
70
15
1
10
20
247
34
68
16
2
84
16
175
41
82
17
1
13
14
123
37
74 (continued)
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M. Koryagin and A. Chistyakov Table 2. (continued)
Month day
Number of train trips
Number of train passengers, people
Number of bus trips
Number of bus passengers, people
The number of “BlaBlaCar” service trips
Estimated number of passengers of the “BlaBlaCar” service, people
18
1
96
16
220
34
68
19
1
25
17
207
28
56
20
2
133
16
201
19
38
21
1
19
17
362
35
70
22
2
188
16
280
12
24
23
1
26
16
261
14
28
24
2
140
17
200
23
46
25
0
0
17
192
14
28
26
2
197
18
270
15
30
27
1
19
17
260
8
16
28
2
194
18
337
8
16
29
1
28
18
268
8
16
30
2
141
18
196
16
32
31
1
45
19
240
10
20
Total:
40
2318
538
7722
723
2169
Formally, the task is to find such values Pnk , so that the total square of the deviation of daily passenger flows by modes of transport was the smallest. In the process of selecting the values Pnk A number of conditions must be met: the potential for Pnk is strictly positive, and the sum of all Pnk is equal to one. As a result of the calculations, the probabilities of Pnk are obtained and are summarized in the final Table 3. Table 3. Distribution of population by groups of equal preference for transport modes of Novosibirsk-Tomsk and Tomsk-Novosibirsk directions Population groups by equivalent preference for transport modes
T
B
Share of the total number of passengers 0.16 0 for Novosibirsk-Tomsk direction
BBC T-B B-BBC T-BBC T-B-BBC 0
Share of the total number of passengers 0.26 0.26 0 for Tomsk-Novosibirsk direction
0.60 0
0
0.24
0.25 0.11
0
0.12
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Based on the results obtained for the direction Novosibirsk-Tomsk, it can be concluded that there are no groups of people who prefer to use only buses, only “BlaBlaCar” service, buses and “BlaBlaCar” service, trains and “BlaBlaCar” service during their travel. Thus 16% of passengers prefer rail transport to other transport modes. Buses and trains are perceived equally by 60% of passengers. The remaining 24% of passengers are so eager to travel that they have no priorities when choosing between transport modes. In other words, every passenger considers travelling by rail. The number of passengers who want to travel by bus is slightly lower. In turn, the group of passengers who are ready to use the Internet service “BlaBlaCar” is the smallest in number. The Tomsk-Novosibirsk direction is characterized by a smaller preference of the population for rail transport, buses and the service “BlaBlaCar” separately. This observation is explained by the fact that passengers are more preferential in their choice of mode of travel, i.e. there are groups of people who will definitely not use trains or buses. Graphically, passenger preferences are presented as a Venn diagram in Fig. 1.
Fig. 1. Diagram of equal importance of passenger preferences on the routes Novosibirsk-Tomsk (left) and Tomsk-Novosibirsk (right)
It is appropriate to note the high preference of the population for rail transport. However, the number of passengers traveling by train is quite small. This fact indicates a high potential for attracting passenger traffic from other transport modes. It should be noted that the increase in the number of passengers will not be linear.
4 Discussion It is necessary to mention the subsidized nature of rail transport. The total cost of sending one train from Novosibirsk to Tomsk is about 300 thousand rubles. For break-even operation with ticket price at the level of 600 rubles it is necessary to ensure 500 passengers boarding each trip. Based on the information provided, we can conclude that with low passenger traffic, the marginal cost per passenger will always be higher than the marginal revenue, which makes it impossible to make a profit. Thus, due to the chronic unprofitability of rail transport, there are no market mechanisms for increasing the departure frequency.
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5 Conclusions 1. The relationship between the main participants in the market of intercity passenger transportation is described. It is proved that this market belongs to complex socioeconomic systems. Modeling of complex socio-economic systems is a promising research trend. 2. A model of intercity travel mode choice on the basis of departure frequencies and equal passenger preferences by modes of transport has been developed, in which the only variable parameter is the departure frequency. 3. An inverse problem solution is proposed for determining the values of population groups from the total number of passengers using the existing passenger flows and departure frequencies of transport modes. Calculations and population groups from the total number of passengers in the directions Novosibirsk-Tomsk and TomskNovosibirsk have been performed. The Venn diagrams have been built. The solution of this problem is of particular interest for marketing research. 4. The total costs and revenues per train in the direction Novosibirsk-Tomsk are presented. It is proved that at low passenger traffic the marginal cost per passenger will always be more than the marginal income, which makes it impossible to make a profit. Thus, there are no market mechanisms for increasing the frequency of departures due to the persistent unprofitability of rail transport.
References 1. Koryagin, M.: Urban planning: a game theory application for the travel demand management. Period. Polytechn. Transp. Eng. 46(4), 171–178 (2018). https://doi.org/10.3311/PPtr.9410 2. Dementyev, A.P., et al.: Assessment of the level of intra-industry competition in the regional suburban passenger transport market. IOP Conf. Ser. Mater. Sci. Eng. 918(1) (2020) 3. Tesselkin, A.A., Tesselkina, K.V., Khabarov, V.I.: Elements of data mining for the development of mathematical transport models. In: 2016 13th International Scientific-Technical Conference on Actual Problems of Electronics Instrument Engineering (APEIE), vol. 2 (2016). https://doi.org/10.1109/APEIE.2016.7806488 4. Allard, R.F., Filipe, M.: Effect of transport transfer quality on intercity passenger mode choice. Transp. Res. Part A Poli. Pract. 109, 89–107 (2018). https://doi.org/10.1016/j.tra.2018.01.018 5. Concepción, R., l Espino, R., Martín, J.C.: Competition of high-speed train with air transport: the case of Madrid–Barcelona. J. Air Transp. Manage. 13(5), 277–284 (2007). https://doi. org/10.1016/j.jairtraman.2007.04.009 6. Varun, R., Verma, A.: Analyzing competition between high-speed rail and bus mode using market entry game analysis. Transp. Res. Proc. 25, 2373–2384 (2017). https://doi.org/10. 1016/j.trpro.2017.05.264 7. Mancuso, P.: An analysis of the competition that impinges on the Milan–Rome intercity passenger transport link. Transp. Poli. 32, 42–52 (2014). https://doi.org/10.1016/j.tranpol. 2013.12.013 8. Chiou, Y.-C., Lawrence, W., et al.: Sustainable consumption, production and infrastructure construction for operating and planning intercity passenger transport systems. J. Clean. Product. 40,13–21 (2013). https://doi.org/10.1016/j.jclepro.2010.09.004
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9. Mogridge, M.J.H., et al.: The downs/Thomson paradox and the transportation planning process. Int. J. Transp. Econ. 1987, 283–311 (1987) 10. Kageson, P.: Environmental aspects of inter-city passenger transport 2010: 429–457 (2010). https://doi.org/10.1787/9789282102688-17-en 11. Horowitz, J.: A self-instructing course in disaggregate mode choice modeling. Federal Transit. Admin. (1986) 12. Slee, T.: Some obvious things about internet reputation systems. Accessed 6 Oct (2013) 13. Dastidar, K., Krishnendu, G.: On the existence of pure strategy Bertrand equilibrium. Econ. Theory 5(1), 19–32 (1995). https://doi.org/10.1007/BF01213642 14. Moshe, B.-A., Lerman, S.R.: Discrete choice analysis: theory and application to travel demand. Transp. Stud. (2018). https://doi.org/10.2307/1391567
Assessment of Comparative Effectiveness of Projects to Increase BAM Capacity: Selection of the Ways to Overcome the Severomuysky Barrier Evgeny Kibalov1
and Maksim Pyataev2(B)
1 Institute of Economics and Industrial Engineering of the Siberian Branch of the RAS,
17 Academician Lavrentyev Avenue, Novosibirsk 630090, Russian Federation 2 Siberian Transport University, 191 Dusi Kovalchuk str, Novosibirsk 630049, Russian Federation [email protected]
Abstract. The purpose of this article is to identify a strategically effective option to increase the throughput capacity of the Baikal-Amur Mainline by overcoming the “barrier object” - the Severomuysky ridge. The existing system “Severomuysky tunnel plus bypasses” does not solve the problem of increasing the carrying capacity of the Baikal-Amur Mainline, and the problem arises of choosing the ways to increase it. The range of possible solutions from construction of a second tunnel parallel to the existing one to reconstruction of the existing system is considered. This problem is solved on the basis of expert technology, when a group of specialists - tunnel and IT-specialists of Siberian Transport University, who participated in the construction of the first tunnel and bypasses, evaluates in a questionnaire survey possible variants of crossing the Severomuysky Ridge and indicates the most preferable option of crossing in a situation of uncertainty. The software product ASPER, developed at the Department of “System Analysis and Project Management” of the Siberian Transport University, is used for computer support of the assessment procedures of competing options. As a result of the group examination the Reconstruction of the existing Severomuysky Tunnel was indicated as the most preferable variant. It is also recommended to conduct additional rounds of expertise to take into account the high dynamics of changes in the external environment of the activities discussed in this article. Keywords: Severomuysky tunnel · Northern Mujsk tunnel · Baikal-Amur mainline · Trans-Siberian railway · Geopolitical challenge · Megaproject · Large-scale project · Expert technologies · Multiple-criteria decision analysis · Decision-making software
1 Introduction Nowadays, the Baikal-Amur Mainline, together with the Trans-Siberian Railway (TransSiberian Railroad), is a key element of the transport strategy of not only Russian Railways © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 974–982, 2022. https://doi.org/10.1007/978-3-030-96380-4_106
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on the eastern range of the country’s railway network, but also the skeleton basis of Russia’s response to the geopolitical challenge of the collective West led by the United States. The challenge is an attempt to encapsulate Russia in northeast Asia, to strangle it economically and, by exacerbating domestic social problems, to achieve the political disintegration of the country. “The railroad aspect of the problem that Russia is facing is the need to increase the carrying capacity of the Baikal-Amur Mainline in a multiple and short time frame and thereby ensure that most of the freight flow from Russia, which has been oriented westward so far, turns to the east, specifically to the Pacific Basin countries. This problem was raised long ago; the development of the BAM-Transsib system is financed and controlled at the federal level and is solved by the state corporation JSC “Russian Railways” [1], which is the customer of the BAM and Transsib reconstruction project [2]. The urgency of the problem, the need for its urgent solution has become more acute today, which is reflected in the recent steps taken by the Russian Government to strengthen the financial support for the reconstruction of the Baikal-Amur Mainline. The same topic and its strategic determinants were discussed by Russian President V.V. Putin at the meeting with the General Director of JSC “Russian Railways” O.A. Belozerov. Mobilization actions followed: military engineers, who built the eastern flank of the single-track BAM in the past, are again involved in the construction of the second track of the existing mainline and are already being redeployed to work on the Ulak-Fevralsk section. There is a systemic approach to solving the global problem of Russia’s economic security. Below we consider its projection on a local problem: how to overcome the barrier object - the Severomuysky ridge, without repeating past mistakes and increasing carrying capacity, including for the fields in the gravity zone [3]. The Severomuysky Tunnel (hereinafter, SMT-1) has been under construction with interruptions for 26 years and was commissioned in 2003. [4]. The estimated service life is 100 years. According to our tentative calculations, taking into account the ruble/dollar ratio and the price index, the total current cost of 1 km of the tunnel was 266 billion rubles. The cost of 1 km of the main variant of the second Severomuysky tunnel (hereinafter referred to as SMT-2), which parallels SMT-1, would amount to 110 billion rubles. The relative cheapness of SMT-2 is clear. Its predecessor, SMT-1 was actually built as a risky-experimental facility. The tunnel through the Severomuysky Ridge was built under the unique combination of high seismicity of the area, waterlogged rocks and high groundwater radioactivity [5, 6]. There was no experience of working in such conditions with foreign tunneling equipment and proper safety measures were not taken. The number of exploratory boreholes along the SMT-1 tunnel route was insufficient. According to various sources, the number of construction workers who died as a result of unforeseen accidents ranged from 31 to 57 people. The knowledge gained during the construction of SMT-1 helps to avoid previous mistakes, but this knowledge is not enough to make an optimal investment decision when designing options for re-crossing the Severomuysky Ridge. The range of possible solutions is quite wide [7–11], and the choice of the most preferable in a system approach should take into account not only the direct technical and economic consequences of this or that decision, but also the “external effects”, in particular the undefined geopolitical ones. The need for such an approach in the current situation was pointed out by Russian
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President V.V. Putin in his address to the Federal Assembly on April 21, 2021 “We are dealing with absolute uncertainty” - said the President of Russia, referring to the opinions of experts and leaders of foreign countries with regard to epidemic of covid-19. In our opinion, uncertainty as such does not only take place in this sense. The complexity of the modern world, its turbulent development generates the uncertainty of the future permanently and multidimensional and affects the problem of interest directly and in full. Proceeding from the above said, we consider it necessary to carry out an additional systematic analysis to assess the effectiveness of the planned large-scale construction to overcome the Severomuysky ridge. Especially since there has already been a failure in the implementation of the project with the participation of an American company, which, in fact, is a manifestation of the geopolitical uncertainty factor, which was mentioned above.
2 Materials and Methods Structuring the problem solution. In order to demonstrate the structure of the problem solution it is represented by the following set of elements: X, Y, S, E, U, E; it is required to find x*, where: X is a set of the project realization alternative variants; Y is a set of alternative scenarios for external conditions of realization in the Severomuysky barrier bypass; S is a system of alternatives interaction outcomes x ∈ X and y ∈ Y; U is the set of criteria for evaluating the elements set efficiency S; E is the system of MOC goals, the degree of achievement of which is measured with the help of criteria U; x* ∈ X is one of the options for implementing the project, which is preferred by the set of criteria U. The listed elements of the task and the connections between them will be hereinafter referred to as the logical model of project evaluation. This model is schematically shown in Fig. 1.
Fig. 1. The logical model for assessing MOC
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Processes of design (development) of alternative variants for the project and scenarios of its external environment development, briefly, at the level of principles, let us describe the corresponding basic techniques. 1. Aggregated representation of the set of possible alternative options of projects (controlled factors) by the set of optional (mutually exclusive) alternatives X. 2. Non-controllable alternatives yj∈Y should be interpreted as scenarios-contrasts of development of the “external environment”: state policy, the market of transport services, the behavior of competitors, etc., because the combinations of factors characterizing these scenarios are on opposite limits of their permissible values. For example, in one scenario (pessimistic) all the negative combinations are grouped, in another (optimistic) - all the positive, in the third (most likely) - the most credible combinations, etc. 3. Each outcome s is the result of a combination of the project implementation option (set X) and the scenario, which is uncontrollable (set Y), so different outcomes are also mutually exclusive (alternative). Each outcome corresponds not only to a set of performance indicators (obtained with the help of criteria from U), but also the organizational and economic mechanism for its implementation, which is also subject to development and evaluation in the design process. 4. In the final choice of the preferred alternative, it is necessary to consider the totality of all criteria, which generates a systemic effect. If different alternatives turn out to be the best for different criteria, one possible approach is to construct a combined, synthetic criterion. Evaluation rules. Outcome s ∈ S is unambiguously defined by a pair (xi, yj), xi ∈ X (i = 1, …, n), yj ∈ Y (j = 1, …, m). For each target ek ∈ E it is necessary to formulate a criterion uk, which would assess the outcomes in terms of their fitness for purpose ek. Let us fix the pair (xi, yj), which corresponds to the supposed realization of the alternative xi in a scenario yj. Particular criteria uk form the set U. The application of these criteria can be imagined as follows. We choose the best alternative for each criterion. If we manage to make a final choice from the resulting set of “unilaterally good” alternatives, the procedure is finished. Otherwise, we need to form an integral criterion, which we mentioned above, and use it to select an alternative. To select the most preferable variant of the project implementation under uncertainty, a model of strategic games is used. The model is used for making multi-criteria problems in conditions of high degree of uncertainty, that is, in cases where it is not clear which of the scenarios can be implemented. The peculiarity of this model is that the external environment (scenarios) does not pursue any goals and objectives, but poorly predictable. In this situation, the choice of options for the implementation of the project is based on a pre-selected criterion u (xi, yj). At the next stage, an individual strategy is evaluated by the selected criterion under the conditions of each scenario. Thus, the evaluation matrix presented in Table 1 is filled. The elements of this matrix show the evaluation of the outcomes, in pairs “alternative - script” by a given criterion.
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Alternatives xi ∈ X
Scripts yj ∈ Y y1
…
yj
…
ym
x1
u11
…
u1j
…
u1m
…
…
…
…
…
…
xi
ui1
…
uij
…
uim
…
…
…
…
…
…
xn
un1
…
unj
…
unm
Decision theory recommends using one of the following special rules to select an alternative from the evaluation matrix: the maximine rule (Wald); Savage, Hurwitz, Maximax, Laplace, and Bayes rules. The following describes the proposed approach to incorporating uncertainty and risk factors into relevant estimation procedures. The approach is based on the expert technologies and on the software products developed at STU, the pioneering testing of the first versions of which was carried out back in 2001, when the university participated in the project of creating an automated control system of SMT-1 operation [12, 13]. By now, the methodological methods of evaluation have taken the form of a hybrid model, and the software products have been integrated and provide computer support for the work of experts and decision-makers. Evaluation procedures. The first step in the evaluation process was aimed at forming an information base for calculating the comparative effectiveness of competing options in a situation of uncertainty. For this purpose, an expert questionnaire was developed, which is provided in the inset. Expert Questionnaire. Dear expert! On the initiative of the President of Russia V. V. Putin, “Russian Railways” is currently increasing the carrying capacity of the Baikal-Amur Mainline up to 200 million tons of cargo per year, even to the point of involving the railway forces. The “barrier object” (hereinafter referred to as the “barrier” in solving this problem is the operating Severomuysky Tunnel (SMT-1) and the Severomuysky Bypass (SB), which is maintained in operating condition and through which individual trains are passed. “SMT-1 + SB”, operated as a system, ensure the passage of 16 pairs of trains per day today. In order to pass three times as many freight trains, which guarantees the throughput capacity of the reconstructed BAM at the level of at least 200 million tons per year, the tunnel should either be radically reconstructed, or SMT-1 should be parallel to SMT-2 through the Severomuysky ridge, or the SB should be overhauled, or a decision should be made to implement one of the possible combined options (see Fig. 2). STU participated in the development of an engineering system for monitoring the state of SMT-1 during operation and in parallel, on the example of this unique in its complexity artificial construction, developed a methodology to assess the effectiveness of construction and operation of such objects in a situation of uncertainty.
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Fig. 2. The reconstructed Baikal-Amur Mainline and the place on it of the “barrier object” (4) “SMT-1 + SO” as a system to ensure the passage of 16 pairs of trains per day
In continuation and development of this tradition you are proposed to express your opinion on the most preferable variant of overcoming the “barrier” which prevents to increase the carrying capacity of Baikal-Amur Mainline in the form of answers to the questions of this survey. Your constructive participation in the expertise will help to make the right decision in a situation of radical uncertainty, complicated by the attempts of external forces to interfere in the realization of Russia’s national security strategy on its Eastern Railway. If you agree with this suggestion, refer to Fig. 3 and use it to fill out Table 2.
Fig. 3. Operating Severomuysky Tunnel (SMT-1) and bypasses (SB)
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How to work with the Table? Question 1. Which of the options indicated in the Table do you consider the most effective in the Optimistic scenario? If, for example, you think it is option II, then in the Optimistic column put 1 on the intersection with the line with the option II. Against the name of the next most effective option in the same column, put the number 2, and so on. Table 2. The questionnaire table posted in the expert questionnaire Description of the option to overcome the “barrier” that reduces the BAM throughput capacity
Scenarios-contrasts of increasing the capacity of the Baikal-Amur Mainline to the following level Optimistic 200 mln tons/year
Most likely 150 million tons/year
Pessimistic 30 mln tons/year
I. Reconstruction of the existing SMT-1
0.0778
0.2668
0.8424
II. Construction of SMT-2, parallel to SMT-1
0.8285
0.4974
0.0300
III. Capital reconstruction of the existing bypasses (SB)
0.0174
0.1154
0.0996
IV. Combined version
0.0764
0.1204
0.0280
Question 2: Which of the options identified in the Table do you consider most effective in the Pessimistic scenario? When arranging the options according to their effectiveness, follow the logic of the answers to Question 1. Question 3. Which of the options outlined in the Table do you consider to be the most effective in the Most Likely scenario? When ranking the options by their effectiveness, follow the logic of the answers to Questions 1 and 2. Note. When ranking the projects by efficiency, proceed from the efficiency/cost ratio for each of the options you are comparing.
3 Results and Discussion The survey was conducted by means of personal interviews. Eleven experts from Siberian Transport University participated in the survey, both specialists from the Faculty of Business Informatics as well as the professionals from the Faculty of Bridges and Tunnels who took part in the efficiency assessment of SMT-1. As a result of processing the questionnaires, an Assessment Matrix has been generated. Analysis of Table 3 using the criteria of the theory of decision-making in a situation of uncertainty gave the result shown in Table 4.
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Table 3. Results of processing the opinions of the group of experts Scripts Options
Optimistic Most likely Pessimistic 200 mln tons/year 150 million tons/year 30 mln tons/year
I. Reconstruction of the existing 0.0778 SMT-1
0.2668
0.8424
II. Construction of SMT-2, parallel to SMT-1
0.8285
0.4974
0.0300
III. Capital reconstruction of the 0.0174 existing bypasses (SB)
0.1154
0.0996
IV. Combined version
0.1204
0.0280
0.0764
Table 4. Results of alternative selection according to the decision theory criteria
Alternative
Wald
Maximax
Savage
Hurwitz
Bayes
Laplace
I
I
I
I
I
II
Table 4 shows that according to most of the criteria of the theory of decision-making the most preferable option is “I. Reconstruction of the existing SMT-1”. The analysis of the consistency of the experts’ point of view regarding the most preferred alternative shows that the degree of consistency of the experts’ opinions is satisfactory, since the coefficient of concordance is 0.52. At the same time the concordance coefficient is significant as χ 2 calculated is greater than χ 2 tabulated (17.04 and 11.35 respectively), at a significance level of 0.01, then the values of expert opinions are recognized as finally agreed.
4 Conclusions The analysis results are unambiguous with regard to the first alternative - reconstruction of the existing Severomuysky Tunnel, but nevertheless, the final choice will be made by the decision-maker, who may rely on his own system of values and experience. The experience of the authors of this publication in conducting such evaluations shows the need for additional rounds of expertise, as well as the use of cross-sectoral effectiveness evaluation [15]. It is advisable to expand the expert group and conduct a comparative analysis of two different groups of experts, as well as to conduct a general evaluation of different groups of experts.
References 1. Bykadorov, S.A., Kibalov, E.B., Kin, A.A.: On the development of structural reform for Russian rail transport). Reg. Res. Russ. 7(1), 45–52 (2017). https://doi.org/10.1134/S20799 70516040055
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2. Kin, A.A.: The regional transport megaproject of the Baikal-Amur mainline: lessons of development. Region. Res. Russia 5(4), 316–322 (2015). https://doi.org/10.1134/S20799705150 40097 3. Mironov, A.G., Zhmodik, S.M., Borovikov, A.A., et al.: The Kamennoe gold sulfide deposit (Northern Transbaikalia, Russia) as a representative of the Riphean epithermal gold-telluridesilver ore mineralization. Geol. Ore Deposits 46(5), 353–371 (2004) 4. Mitrofanova, I.V., Zhukov, A.N., Batmanova, V.V., Mitrofanova, I.A.: Implementation of mega-projects for the development of problematic territories of Siberia and Ural of Russia. Mediterran. J. Soc. Sci. 3, 586–591 (2015). https://doi.org/10.5901/mjss.2015.v6n3s1p586 5. Doser, D.I.: Faulting within the eastern Baikal rift as characterized by earthquake studies. Tectonophysics 196(1–2), 109–139 (1991). https://doi.org/10.1016/0040-1951(91)90292-Z 6. Lebedeva, M.A., Sankov, V.A., Zakharov, A.I., Zakharova, L.N.: Surface deformations near the Baikal-Amur Mainline from differential SAR interferometry data. Geodyn. Tectonophys. 7(2), 315–328 (2016). https://doi.org/10.5800/GT-2016-7-2-0209 7. Gendler, S.G., Sokolov, V.A.: The results of ventilation tests during practical use of the Severomujsky railway tunnel. In: 12th International Symposium on Aerodynamics and Ventilation of Vehicle Tunnels, vol. 1, pp. 451–461 (2006) 8. Kononov, V.M.: Influence of explosive charge cavity shape on energy requirements for rock fracturing. Gornyi Zhurnal 4, 66–70 (2015). https://doi.org/10.17580/gzh.2015.04.12 9. Lugin, I.V., Krasyuk, A.M., Kulikova, O.A.: Application of turbojet two-circuit engine for sustained thermal environment in railway tunnels in severe climatic conditions. Min. Inf. Analyt. Bullet. 2, 103–110 (2018). https://doi.org/10.25018/0236-1493-2018-2-0-103-110 10. Gendler, S.G., Belov, M.R.: Justification of engineering solution on rebuilding severomuysky railway tunnel ventilation. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 521–529. Springer, Singapore (2020). https:// doi.org/10.1007/978-981-15-0450-1_54 11. Gendler, S.G., Sokolov, V.A.: The choice of operation regimes for an air quality maintenance system in the Northern Mujsky railway tunnel. In: International Symposium on Aerodynamics and Ventilation of Vehicle Tunnels, vol. 1, pp. 289–308 (2003) 12. Pishchik, B.N., Khundoyev, A.A., Shevchenko, D.: Signal transmission in SCADA system. In: Proceedings of the TASTED International Conference “Automation, Control and Information Technology” (ACIT-2002). Anaheim - Calgary - Zurich: ACTA Press, p. 65 (2002) 13. Chernakov, D.V., Okol’nishnikov, V.V.: Control program development system. Proc. of the Second IASTED Intern. Multi-Conf. Automation, Control and Information Technology (ACIT-ACA). Anaheim - Calgary - Zurich: ACTA Press, p. 142 (2005) 14. Pyataev, M.: Rail transport in the system of Russian national input-output tables. IOP Conf. Ser. Earth Environ. Sci. 403(1), 012215 (2019). https://doi.org/10.1088/1755-1315/403/1/ 0122
Cost Overruns in Russian Transport Megaprojects Maksim Pyataev(B) Siberian Transport University, 191 Dusi Kovalchuk street, Novosibirsk 630049, Russian Federation [email protected]
Abstract. The article presents the results of comparing the estimated cost with the actual costs of a number of large-scale transportation projects that have been implemented in Russia. The conclusion about the necessity of system analysis in evaluating the efficiency of such projects is made. The conclusion is that the external environment makes significant adjustments in any project, especially the large-scale one, which involves many aspects: economic, ecological, political, technological, demographic and others. Projects of such type are mainly financed from public funds, as they are of public importance, and those who promote them are not always interested in the accuracy of forecast values of the project. Mechanisms of responsibility regulation are absent, and institutional environment is not ready for error-free efficiency forecasting, there are no examples of successful practice in this direction. In the course of the study, the author concludes that the statistics of cost overruns in Russian transport projects corresponds to the global practice. The author concludes that it is not necessary to use the system analysis to assess the effectiveness of large-scale projects, because the problem of assessment is poorly structured to take into account quantitative and qualitative project parameters. Keywords: Cost overrun · Project management · Large-scale projects · Transport infrastructure · Project appraisal · Megaprojects
1 Introduction The infrastructure development level is a predetermining factor for the creation of added product value; the ability to move people and products depends on the infrastructure development level. At the same time, large-scale projects play a decisive role in shaping the development of transport infrastructure. In the previous half century, not a few megaprojects have been built, with China accounting for the bulk of the construction of such projects in the last two decades. If we look at the sources of funding for these pro-jects, most of them were financed by public funds. Cost overruns, as well as actual cash inflows on megaprojects are lower than predicted at the de-sign stage. It is worth noting that cost overruns and returns less than projected affect subsequent megaprojects, as a negative public opinion is formed around all megaprojects. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 983–991, 2022. https://doi.org/10.1007/978-3-030-96380-4_107
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Cost-benefit analysis of megaprojects is most often criticized by both public organizations and the environment of the project developers’ organizations. For each argument in favor of some project, there is always a counter-argument against. As [1, p. 14] notes “… the development of mega-projects nowadays is an area where little can be trusted, even figures, and some would say: especially figures presented by analysts”. This is due to the high degree of uncertainty in the external and internal environment in which pro-jects are implemented. Increase of the cost of large transport projects during their implementation is a common phenome-non and sometimes reaches about 50–100%. This fact indicates a high degree of uncertainty in the external environment in which all large-scale transport projects are implemented without exception, such as the construction of a tunnel under the La Manche, the Great Belt and Øresunn transport links. The reason for many of the overruns is attributed to “insufficient realism in the original estimates” [1], which do not take into account unforeseen costs, or do not take into account, but not significantly, the cost of stoppages during construction, which may occur not only for organizational reasons, but also due to technological difficulties arising during the construction, a unique object. Safety and environmental compliance costs are not fully taken into account and since each project is unique, modern forecasting tools are unable to account for all the possible factors that may affect the progress of the project. A well-known example of cost overruns is the Channel Tunnel project, which cost 140%. But this is not the limit, the record-breaker by the overspending is such a project as the Suez Canal, the expenditures on it exceeded 1 900% of the planned level at the time of taking the decision on construction [1, p. 33].
2 Materials and Methods One of the first studies on cost overruns was done in the 70’s at the University of California, Berkeley [2]; in this study the author analyzed such projects as the Bay Area Rapid Transit System, known as BART, as well as highways, buildings and military procurement in the US. He found that the average cost overrun was 50 percent. Twenty years later, a study by the US Department of Transportation [3] also showed average overruns of 42% on rail projects. The RAND Corporation published the results of researches [4–6] of the overruns for the large infrastructure projects including not only transport objects but also other objects, such as atomic stations, extraction of minerals, oil refinery, which showed the average value of overruns 88% [7, p. 32]. Thus, the maximum value of the over expenditure was equal 353% (in one of transport projects). The researches on money overruns are carried out mainly by the European scientific schools. And in all these studies are not comforting results, which show significant exceeding of the planned values of the cost of projects [8]. An official study done and published by the US Cour des Comptes in 1997 analyzed 30 large-scale transmissionport projects and concluded that 23 of them exceeded the costs (77%). The range of overruns is (2–211%) [9]. The highest citation rate is observed in studies conducted at Aalborg University in Denmark under the direction of B. Flyvbiorg (now a professor at Oxford). The results
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of these studies are similar to those conducted earlier, namely it was shown that among those projects, which were involved in the analysis, in nine out of ten there is cost overrun, the real cost of all types of projects is higher by 28% than the estimated. At the same time, for railway projects the excess is 45% [1]. One of the study’s objectives is to show how ineffective current methods for assessing the efficiency of large-scale transport projects are. Similar studies are carried out by a number of European scientists, but these studies provide information on projects implemented on the territory of Europe and the U.S., and the latest research is conducted in China [10]. In this context, it is necessary to subject the pro-jects implemented in the territory of the Russian Federation to similar analysis. For this purpose, it was necessary to select a number of projects. As in the studies conducted in [4, 9, 11–13], the main problem for the analysis of project and actual cost remains the search for primary sources of the cost of these projects, but in the territory of the Russian Federation. And this is the main difficulty of this study. Additional difficulties are associated with the inability to publish classified information on a number of pro-jects. In addition, the very comparison of the planned and actual cost in the Russian Federation is inconvenient for those who conducted the efficiency evaluation and made the decision to build. In this regard, not all projects that should have been included in this study were selected. A number of the projects were rejected due to the lack of possibility to reconcile the planned and actual prices for the projects in the transition period of Russian economy. When comparing the actual and planned cost of the project, the actual cost of the project was brought to the initial date of formation of the projected cost, that is, at the time of the decision to build. The criterion for selecting projects was the cost of the project, but the key one was the availability of information in the public domain. The difference between the forecast and actual costs is likely to be lower than what we got during the study, as information on projects in which costs exceeded the planned, trying to hide, and vice versa, the projects that managed to reduce the implementation costs are more open to public view. This should be kept in mind at the stage of interpretation of the results. It is worth noting that the reliability of the results depends mainly on the accuracy of collected data on pro-jects. In cases where there was available conflicting information on the actual cost of the project was used the least of them.
3 Results Table 1 shows the list of projects and the level of cost overruns for the projects that were involved in the study. The average level of overspending was 43%. Whereas in the study [1, p. 29], which analyzed 258 projects, only 28%, and in an earlier study [13], 14%. Such a high value of cost overruns cannot but affect the lack of interest among investors, for whom this fact is an additional factor constraining investment in such large-scale projects. The table shows that out of 14 projects considered, 12 projects were completed with additional funding, that is, there is an overspending of funds. This fact confirms the global statistics of overspending on large transport projects. Frequency of cost overruns in the analyzed projects. We can clearly see that the overspending in the range from 0 to 50% is actually the norm, not the deviation. The Baikal-Amur Mainline (BAM) is the largest construction project in the USSR. In fact, the construction period covered 50 years (1938–1989). BAM is 3 507 km of
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Table 1. Excess of actual construction costs for large-scale transportation projects over the estimated costs Large-scale transportation project
The difference between estimated and actual cost, %
The Neva Highway
57
Baikal-Amur Mainline
17
Eastern Siberia - Pacific Ocean 1
42
Eastern Siberia - Pacific Ocean 2
1
Blue Stream
7
Railroad to Krasnaya Polyana The Moscow Central Ring Bridge over the Kerch Strait Bridge over Yuribey
68 81 –20 0
Nord Stream
19
North-Muisk Tunnel
75
Power of Siberia
37
Route to Krasnaya Polyana Turkish Stream Turkistan-Siberia Railway
213 17 –14
track from Eastern Siberia to the Pacific Ocean. In 1969 prices by Ministry of Transport Construction (Mintransstroi) the construction cost was 12 272.3 mln rubles. On June 23, 1976 Presidium of USSR Council of Ministers commissioned Goss-troy, Gosplan, State Committee on Science and Technologies, Ministry of Railway Communication (MPS) and Mintransstroy with assistance of USSR Academy of Sciences to reexamine the project prepared by Mintransstroy. As a result, the estimated cost was reduced to 8 388 million rubles. This fact is very interesting for further research, because if the estimated cost had remained at the same level, there would have been overrun? Later on, by the Decree of Central Committee of CPSU and USSR Council of Ministers the cost was corrected and approved at the level of 9 580.7 million rubles in 1984 prices [14, p.559]. The final cost of the construction was 17.7 million rubles at 1991 prices. Using Gosstroy construction cost reduction methods the difference between initial cost and actual cost is 17%. If we recalculate the estimated and the actual cost in U.S. dollars and adjust for inflation, the cost overrun is 278%, but the difficulty of this meth-od is that the dollar exchange rate in the transitional period, namely in 1991 was official, commercial and actual. In this regard, the use of this method of comparing prices remains controversial. If at least the most cautious rule of thumb is followed, even a 17% overrun is significant for the country as a whole. Despite the start of cargo and passenger traffic, the designed capacity in 1989 was not reached due to a number of unfinished objects, the main of them was the North-Muisk Tunnel. Due to the complexity of this tunnel’s construction and constant delays in its commissioning, a temporary bypass was built.
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Financing of the temporary bypass was not included in the total cost estimate for the BAM construction, which also in-creased the actual cost of the BAM construction. The length of this additional line is 54.3 km. This route is unique because it passes through permafrost, regular earthquakes of 9 points on the Richter scale, with mudslides and snow drifts of up to 2 m high on the railroad bed. The Crimean Bridge (also called Kerch Bridge) is a transport crossing over the Kerch Strait connecting Kerch and Taman Peninsulas. The length of the Crimean bridge is 19 km, making it the longest bridge in Russia. Construction and installation work on the Crimean bridge started in February 2016. The bridge was put into operation on May 15, 2018. On December 18, 2019, the construction of the railway Crimean bridge was completed. On the same day the act of acceptance was signed, authorizing the commissioning of the railway bridge, and on December 23, traffic on the bridge was launched. Adler-Krasnaya Polyana is a combined high-speed railway and highway (also called the New Krasnaya Polyana Highway), which was put into operation in late 2013. The length of this road is 48.2 km. Construction of this highway was timed to coincide with the 2014 Winter Olympic Games in Sochi. The highway runs through the Adler district of Sochi, Krasnodar region. Construction of the highway was started in 2009. The freeway has provided the delivery of the spectators and participants of the 2014 Winter Olympics to the sport venues of Krasnaya Polyana and to the ice palaces of the Olympic Park located in the Imperial valley. A total of 14 tunnels were built along the 48 km of the combined rail-way and automobile highway. The total length of those tunnels was 26.5 km, of which: - 6.7 km were automobile tunnels, - 10.3 km - railway tunnels, 9.5 km - adits. Moreover, 40 road and 37 railway bridges and flyovers were built. Their total length was 35 km. In November 2013, the construction of the road and railroad to Krasnaya Polyana was completed. The Turkestan-Siberian Mainline (or Turksib) is a large-scale transportation project, a railroad running to Central Asia from Siberia. The construction of this railroad was carried out during the period from 1927 to 1930. The decision to build the Turk-Sib was made in early December 1926 by the Council of Labor and Defense of the USSR, and in April 1927 the preparations for the construction began. Construction work on the Turkestan-Siberian railway was started on September 15, 1927. In May 1929, 562 km of railroad track in the north and 350 km in the south was laid. Despite the construction work that was still in progress, trains were already going by the railroad. Completion of Turksib construction was marked by its so-called coupling that took place on April 21, 1930. The bridge over the Yuribey (bridge crossing over the Yuribey River floodplain) is a railway bridge in the Yamalo-Nenets Autonomous District. The bridge is almost 3 900 m long. The bridge was built in the period from 2008 to 2009 within 349 days (it was put into operation in June 2009). It is the longest bridge beyond the Arctic Circle. No data on the planned construction cost of the bridge was found. However, due to the short construction period of the bridge, it should probably be stated that the actual cost of the bridge does not differ much from the actual cost (i.e., the construction cost has remained un-changed). The cost of the construction of the bridge over Yuribey was actually 130 billion rubles.
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Moscow Central Ring Road (MCR) is a railway line, the length of which is 54 km. The number of stations on the MCR is 31. It is planned that since 2021 on the MCR implementation of driver-less trains will start. Traffic on the Moscow Central Ring was opened on September 10, 2016. Due to the incorrect interpretation of the effectiveness of a particular large-scale project, there is an inefficient distribution of funds, as cost estimates at the stage of ranking projects by priority mislead about its viability, not to mention its public effectiveness. The actual results obtained show that there is a possibility of poorly designed projects, for which resources will be misallocated, and investments in these projects will pay off over a longer period of time than it was planned at the stage of evaluation. Since the scale of these projects is such that the implementation of such projects affects GDP, the increase in the costs of these projects, as well as the time of commissioning increase the burden on the country’s GDP. In research [15] the extensive review of the reasons of overexpenditures of large-scale projects, the authors of the given research allocate 17 such reasons. In our opinion, two reasons deserve special attention: un-certainty and use of inadequate methods of decision-making [11, 12, 16]. Considering the cost structure related to appreciation of actual costs against estimated ones, ac-cording to Sibgiprotrans data it is the following: provision of new railway lines with high carrying capacity - 30%; difficult accessibility and uninhabited regions of development - 27%; unfavorable topographic, climatic, engineering and geological conditions - 22%; permafrost and high seismicity - 21% [14, p. 558]. However, the authors of the monograph [1] list seven more significant reasons for failed forecasts: inadequacy of the effectiveness assessment methodologies used; lack of accumulated data on similar projects; inconsistent model of human behavior and, as a consequence, demand and supply; changes in external influencing factors; changes in the political situation; subjectivity of those interested in implementing the project. All these factors in one way or another represent the game of a person with the external environment. Decision making for such a multifaceted project should be done taking into account all these factors.
4 Discussion At the moment, there are two scientific points of view regarding the effectiveness of large-scale infrastructure projects, in the previously mentioned studies of the University of Aalburg come to the conclusion that large-scale projects are inefficient, because the results do not cover the costs in the planned period. But there is also the opposite point of view [17]. If we consider such projects as the Great Belt Bridge and Øresund, then indeed, if we use the usual methods of comparing costs and results, these “rules” projects are malefficient, but nevertheless, new large-scale projects continue to develop. And indeed, the costs of infrastructure projects burden the residents of the whole country, but if we look at the stage of construction from the perspective of decades or even centuries, we can establish the importance of these projects. The most striking example here is the decision made at one time to build the Trans-Siberian Rail-way. At this stage of modeling and forecasting development, it was quite difficult to model the Russian economy without this highway. The importance of this highway is now difficult to overestimate, not only in terms of economy, but also the integrity of the country.
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The projects of such class are mostly financed by the government, as they are of public importance and those who promote them are not always interested in the accuracy of the predicted values of the project. There are no mechanisms to regulate the responsibility and institutional environment is not ready for error-free efficiency prediction, there are no examples of successful practice in this direction. In this context, it is not enough to use the methodology of conventional comparison of costs and results or popular in business planning methods based on the discount rate. Large-scale projects involve a high degree of uncertainty, which must be “uncovered” using systems analysis techniques. When it comes to the fact that these projects involve many spheres of activity, interests of many organizations and even countries (the example of “North Stream 2”), then to evaluate only the comparison of costs and results means that the evaluation does not involve a number of complex non-quantitative indicators, which should be reduced to a single scalar, and then compared with the results of other projects or compare with no action (inertial development).
5 Conclusion Large-scale projects by their nature are multidimensional, and therefore have multiple subgoals from their implementation, and the achievement degree of these subgoals serve as criteria for achieving the main (general) goal of the project. Herein lies the main difficulty for a decision-maker if the analyst who is promoting the project provides a one-sided vision of the project mainly from a position of commercial effectiveness or payback of a complex pioneer project. Such projects should also be considered by such criteria as political, military, demographic, environmental, and such criteria are difficult to cost, as measured in different jackals. That is why it is necessary to use a comparative scale for such evaluation. This means that the importance (priority) of the criterion of economic efficiency will be considered on a par with other criteria such as political, military, strategic, environmental, demographic and other necessary conditions for the public welfare development. Here it is necessary to remember the works of Nobel laureate G. Simon, who proved the necessity to replace the simplified (one-factor) approach to economic modeling and replace it with a rational choice [18]. Many parameters of projects at the ideological stage have no quantitative characteristics, even such as freight flow, passenger-flow and cost of operation in permafrost conditions, not to mention such parameters as ecological consequences or ability to ensure the country’s military defense. Such project parameters can only be handled on a qualitative or ordinal scale. In this regard, it is not possible to compare costs and results by traditional methods explicitly. There is a need to use inter-branch transport models [19]. In addition, the variability of the modern world, that is, the external environment makes significant adjustments to any project. Moreover, during the implementation of a large-scale project, there are factors that adversely affect the implementation of such projects, and this is the uncertainty of the external environment. The fact that geopolitical, demographic and technological situation can change during project realization is worth mentioning. That is the production technology of building materials can change, and accordingly the need for some and refusal of others, as for example it happens in energy sector, namely, the gradual transition to so-called “green energy”, the gradual refusal of
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coal, the means of movement of people and goods, and even changes in political map of the world can also change. All these factors must be taken into account when choosing a methodology to assess the effectiveness of the project in or-der to make more precise forecasts. RAND corporation can be considered as an advanced organization in this direction, and, as was shown in the review, has long ago made a calculation of costs and results and made a conclusion about the necessity of using the system analysis to assess the effectiveness of large-scale projects, and not only transport but also military. System analysis is used to assess weakly structured problems, including infrastructure projects, and suggests using such techniques as a project goal tree, which includes both qualitative and quantitative criteria in the process of processing the goal tree should be quantified (digitized) into quantitative scales using expert technology.
References 1. Flyvbjorg, B.: Megaprojects and risks: anatomy of ambition. Int. J. Public Sect. Manag. (2020). https://doi.org/10.1108/09513550410530199 2. Merewitz, L.: How do urban rapid transit projects compare in cost estimating experience? University of California, Institute of Urban & Regional Development (1973) 3. Pickrell, D.: Urban rail transit projects: Forecast versus actual ridership and costs. Final report (1989) 4. Merrow, E.W.: Cost Growth in New Process Facilities. RAND Corporation, Santa Monica (1983) 5. Merrow, E.W., Kenneth, P., Myers, C.W.: Understanding Cost Growth and Performance Shortfalls in Pioneer Process Plants. RAND Corporation, Santa Monica (1981) 6. Merrow, E.W., Chapel, S.W., Worthing, C.: A Review of Cost Estimation in New Technologies: Implications for Energy Process Plants. RAND Corporation, Santa Monica (1979) 7. Merrow, E.W., McDonnell, L.M., Arguden, R.Y.: Understanding the Outcomes of MegaProjects: A Quantitative Analysis of Very Large Civilian Projects. RAND Corporation, Santa Monica (1988) 8. Wee V.: Large infrastructure projects: a review of the quality of demand forecasts and cost estimations. Environ. Plann. B Plann. Des. 34(4), 611–625 (2007). https://doi.org/10.1068/ b32110 9. GAO/RCED-97–47 Managing the Costs of Highway Projects//United States General Ac-counting Office. Washington, D.C. 20548. https://www.gao.gov/assets/rced-97-47.pdf. Accessed 25 Mar 2021 10. Flyvbjerg, B., Bruzelius, N., Rothengatter, W.: Chinese edition of megaprojects and risk. Cambridge University Press and China Science Publishing and Media (2018). ISBN: 978–7– 03–056514–3 11. Hall, P.: Great Planning Disasters, p. 308p. Penguin Books, Berkeley (1982) 12. Kaliba, C., Muya, M., Mumba, K.: Cost escalation and schedule delays in road con-struction projects in Zambia. Int. J. Project Manage. 27(5), 522–531 (2009). https://doi.org/10.1016/j. ijproman.2008.07.003 13. Skamris, M.K., Flyvbjerg, B.: Accuracy of traffic forecasts and cost estimates on large transportation projects. Transp. Res. Record 1518, 65–69 (1996). https://doi.org/10.3141/ 1518-12
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14. BAM - the road of our destiny: yesterday and today: Anniversary edition. In 3 parts. Part III. Komsomol Region of the Far Eastern Railway. Novosibirsk, Publishing house of Siberian State University, 672 p (2013) 15. Cantarelli, C.C., Flyvbjerg, B., Molin, E.J.E., Wee, V.: Cost Overruns in large-scale transportation infrastructure projects: explanations and their theoretical embeddedness. European J. Transp. Infrastruct. Res. 10(1), 5–18 (2010). https://doi.org/10.18757/ejtir.2010.10.1.2864 16. Kahneman, D., Lovallo, C.: Timid choices and bold forecasts: a cognitive perspective on risk taking. Choices Values Frames. 1, 393–413 (2019). https://doi.org/10.1017/CBO978051180 3475.023 17. Serikov, P.Y.: Regarding investments in infrastructure sectors and acceleration of economic growth. Naukatekhnol. truboprov. transp. neftiinefteprod. Sci. Technol. Oil Oil Products Pipeline Transp. 7(6), 72–81 (2017). https://doi.org/10.28999/2541-9595-2017-7-6-72-81 18. Simon, H.A.: Rational choice and the structure of the environment. Psychol. Rev. 63(2), 129–138 (1956). https://doi.org/10.1037/h0042769 19. Pyataev, M.: Rail transport in the system of Russian national input-output tables. IOP Conf. Ser. Earth Environ. Sci. 403(1), 012215 (2019). https://doi.org/10.1088/1755-1315/403/1/ 0122
Peculiarities of Ice Breaker Ships’ Use on the Northern Sea Route, Taking into Account Seasonality Alexey Dmitrenko1 , Elena Lesnykh1(B) , Alexey Lesnykh2 and Nadezhda Buryanina3
,
1 Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk
630049, Russian Federation 2 Siberian State University of Water Transport, 33 Schetinkina Street, Novosibirsk
630049, Russian Federation 3 Republic of Sakha (Yakutia), North-Eastern Federal University named after M.K. Ammosov,
58 Belinsky Street, Yakutsk 677000, Russian Federation
Abstract. In the future, the Northern Sea Route (NSR) could be one of the options for developing the increasing volume of cargo shipments between the countries of the western and eastern parts of the Eurasian continent. Its shorter route, compared with the existing route around Asia, provides significant savings during the ice-free navigation period. However, the long winter period and the presence of ice cover will cause deterioration of economic indicators in freight transportation along this route. The proposal to use icebreakers in this case will cause additional costs associated with their guidance of ships during the long winter period. If the navigation period is short and icebreakers are used when the ice thickness is low, the cost of icebreakers is small. As the duration of navigation with icebreakers increases, the possible ice thickness increases, and the range and duration of icebreaker escort for ships increases. For the 3 harshest winter months, there are peak (sharply increasing) costs associated with both low vessel speeds and increased need for icebreakers. Therefore, during the harshest winter months, it is inexpedient to operate transit cargo shipments along the Northern Sea Route. Keywords: Arctic · Rail transport continent Eurasia · Ice breaker ships · Ice · Ports · Delivery speed
1 Introduction Economic development of the countries of the world and expansion of economic and trade relations have caused an increase in cargo flows by various modes of transport. The volume of cargo shipments between the rapidly developing countries of East Asia and the industrial countries of Western Europe has increased particularly significantly over the past few decades on the Eurasian continent. Due to the large distances between producers and consumers of goods at the present stage, the possibility of using different © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 992–1001, 2022. https://doi.org/10.1007/978-3-030-96380-4_108
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modes of transport in the organization of cargo transportation on the Eurasian continent has been created [1–5]. In recent decades, the fastest rate of increase in the capacity of freight turnover is by sea transport. For example, the tonnage of ships has increased significantly. The technical speed of their movement on sea areas has increased. STORMs became less disturbing for big vessels: both in organization of vessel traffic on waterways of seas and oceans and in case of performance of loading and unloading during technical operations in ports. That is why the most part of cargo transportation between the developed countries of Western Europe and Eastern Asia at the modern stage of technical progress functioning was undertaken by sea transport. The existing way of the cargo transportation organization mainly in containers turned out to be the most effective in the transportation of goods by sea between the states for a long distance [6–8].
2 Materials and Methods But long-lasting practice showed that the existing way of organization of maritime traffic along the existing routes, which had the route around Africa in the beginning, increased significantly the distance of cargo transportation in comparison with the shortest way along the land by more than 20 thousand km. That is why this route required considerable transportation expenses due to the long distance of cargoes’ routing by sea around Africa. At the same time, the Suez Canal, which came into operation in 1869, made it possible to reduce the distance between Western Europe and East Asia by more than 5 thousand km. That is why in modern conditions this way turned out to be the most economical for the countries of South-East Asia, sending their cargoes to Western Europe. However, the accident on March 23, 2021 in the Suez Canal and the resulting long break in its work for a full week revealed serious shortcomings in general for maritime transport and in this case a strategic and most frequently used shorter sea route. A more detailed analysis showed that there are options where the transport route through the Suez Canal turns out to be costlier compared to other possible transport routes, including different modes of transport, which currently have a place in the technical progress worldwide [9]. a. There is the NSR (Northern Sea Route), which runs along the outskirts of Russia. It is more than 1/3 shorter than the route of cargoes to Western Europe from the northern parts of the Eurasian continent around the southern part of Asia. b. Large-scale use of railroads, primarily the Trans-Siberian Railway, is possible. The construction of a third main track on this main line becomes a more feasible measure. This option will make it possible to significantly increase the capacity and speed of freight trains. It will make it possible to significantly reduce the costs caused by train stops during track overhaul work. The Northern Sea Route (NSR) has certain advantages for freight transportation between East Asia and Western European countries, compared with the existing option of cargo transportation by sea through the Suez Canal.
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a) It is 1/3 shorter. It considerably reduces both the distance of cargoes’ travel and the time of cargoes’ delivery as a whole. b) There are few states along the Northern Sea Route, lack of piracy along this route of cargoes. c) Low temperatures and harsher climate make it more efficient to transport hazardous cargo (LNG and oil) along the Northern Sea Route compared to the southern sea routes around Asia or even Africa. d) It becomes more efficient to build and operate vessels carrying fewer containers. This makes it possible to drastically reduce container downtime in major seaports. Thus, practice has shown that particularly large container ships cause significant difficulties in the operational work of the ports. This leads to a significant increase in costs associated with the organization of operation of especially large container ships. The Northern Sea Route has disadvantages that reduce the effectiveness of the NSR under existing conditions. These are the presence of seasons and long absence of navigation in case of ice. The increase in the navigation period provides our country with additional income from the work of the ports. However, at the same time there is a deterioration of economic indicators of some other countries in the world. They have reduced the volume of maritime transport, which will provide transportation of goods around Asia using the new phase of the Suez Canal. The implementation of navigation with the NSR during periods of ice allows the use of Russian-made icebreakers. Their use will bring income to Russia. But it will be a loss for other countries, which currently provide such transportation around Asia. In turn, the cost of icebreakers, maintenance costs: energy and time, as well as the icebreakers themselves, which largely depend on the navigation period, which will be carried out in the presence of ice cover on the NSR route [10]. In case of a short period of free navigation in the absence of ice, limited cargo transportation is ensured. During all other periods of the year, when ice cover appears, the absence of transportation leads to deterioration of operational work on the route. Producers and consumers incur costs associated with the need for long-distance transportation around Asia. a) to create stocks of different types of goods for a long winter period for cargoes, which according to technologies of their creation and use have a seasonal character of their work. These are most often agricultural products, construction materials, etc. b) Carrying out transportations for these types of cargoes along the NSR route during the period of ice cover formation. The following main factors influenced the possibility of organizing large-scale navigation on the NSR in the newly developed conditions of technical progress in the maritime transport in recent decades. a) There was a significant increase in the technical speed of movement of sea ships.
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b) Increase in the duration of navigation in the Arctic Ocean due to changes in climate through the emergence of global warming on Planet Earth. c) The possibility of shipping massive heavy cargoes in huge quantities for people living in northern areas with a harsh climate. d) The possibility of obtaining an additional effect together with aviation from organizing the functioning of the more severe northern areas of our country has been created. Each of these factors influenced different technical and economic indicators of the development of Russia’s economy as a whole during different periods of history [11]. Global warming of the Northern Hemisphere had a significant impact on the possibility of navigation in the Arctic, in the use of the Northern Sea Route to organize the transportation of both transit cargo and to serve the northern territories of the Eurasian continent. For example, in March 1913, the largest steamer Titanic on the route between England and the United States collided with a large ice floe and sank. Over the past hundred years, the ice cover has moved far to the north. Every year, the area of ice in the Arctic Ocean during the summer is greatly reduced. The ice is gradually shifting far to the north [12]. The possible navigation period in the Arctic, free of ice, has increased more than 4 months in the current period in 2020. Here it will be necessary to use the specific features in the functioning of maritime transportation and for different categories of costs in their implementation. After all, compared to the railway mode of transport, the cost categories of maritime transport differ significantly between each other for the following cost categories [13]. a) Rolling stock and energy costs on the way, costs in ships. b) Infrastructure and road network. c) Cargo technical devices at the initial and final technological operations, crane facilities in ports. d) Transport hubs. These are sorting stations and cargo points. In maritime transport in ports and at the junction of different modes of transport. The main share of costs on the railway transport are: transport road network, track facilities, electrification of main lines. In maritime transport, these costs associated with the creation of technical means of road infrastructure have a minimum value. Expensive technical infrastructure is usually located on the territory of certain states, and it is usually its property [14]. There are absolutely different possibilities with the rolling stock for different types of transport. In maritime transport, for example, a ship (container ship) can go to any port in Eurasia. Moreover, small vessels with low draft can follow all seas and oceans, as well as rivers. Heavy-draft vessels, however, cannot sail to all ports, e.g., to the Baltic Sea ports. The possibility of the ships to go to any part of the sea across the globe makes it possible to efficiently use the availability of low-capacity rolling stock on the whole world scale. It makes possible to achieve increase of transport costs efficiency in fulfillment of cargo transportation by sea routes in the whole territory of the globe.
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In order to reduce the total costs of the transport process during favorable summer period, it becomes advisable to carry out increased traffic along the NSR instead of the southern route around Asia through the Suez Canal. In this case, the load on the ports in the Arctic will significantly increase, compared with the average level during the whole period of the year. This conditional variant allows, by regulating the loading in the summer favorable period (without icebreakers), carrying out increased volumes of transportation along the NSR without using the southern passage around Asia. During this period, the availability of navigation will be carried out without the presence of ice on the NSR route. The temperature in the north during such favorable periods for navigation is comfortable and provides transportation with low transport costs, especially for perishable goods. Here significant volumes of heavy-weight or bulk cargo can be shipped [5, 8]. Completely different transportation conditions are created during the long winter period each year. During these periods, it is not only the low temperatures and unfavorable climate that create difficulties with cargo transportation in the Arctic. Ice that interferes with the safe movement of ships creates significant difficulties during such periods. The ice thickness increases with prolongation of the navigation period, which will be tried to put into practice on the NSR route. Thus, there are proposals to organize year-round cargo transportation along the Northern Sea Route. Special icebreakers were created to ensure icebreaking. While moving, the icebreaker breaks the ice by regulating the weight of its head and tail parts with water, which makes it possible for the ships following it to traverse the NSR route at a reduced speed. It is also necessary to take into account that with the increase of ice thickness and the increase of navigation time, the energy costs associated with overcoming the obstacles increase. The speed of ships and icebreakers decreases, and the length of the route to be overcome in the case of ship traffic along the entire NSR route increases. It should also be taken into account that the most severe frosts, where there is the thickest ice, are in the area of Dixon and Tiksi. In other areas of the NSR route the ice thickness is less [4–8]. In modern conditions, even with the increase in the period of ice-free passage of the NSR route, there is a short period of its navigation, which is not enough to ensure the long-term functioning of the economic activity of the northern regions and the normal functioning of transport. In order to increase the efficiency of the NSR it is set to increase the navigation period by using special icebreakers. They will guide the ships that will create possible development of the northern regions of our country. On the technical and economic indicators of the operational work and on the value of the costs associated with the transportation process as a whole on a global scale the speed of both icebreakers and vessels during different periods of the year, depending on the ice thickness in different values of the winter period for some points of the Arctic have a significant influence. Technical and economic indicators will be considered for the following main periods of vessel traffic in navigation on NSR for different periods of the year in favorable conditions, when there is no ice on the water areas along the route of the Northern Sea Route. In this case the movement of mobile means of transport is unobstructed. A day in the Arctic in summer has a longer duration.
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During this period, the speed of the ships can reach the maximum value according to its technical and economic indicators: both depending on the capacity and the availability of climatic conditions. High speed of vessel traffic gives the opportunity to reduce the cost of time for the passage of ships of the NSR route during the favorable summer period, compared with the length of the sea route around Asia. The short NSR route, as compared with the southern route, leads to the fact that in this option for the high speed of vessel traffic the time of passage of the NSR route in the summer period is significantly lower than in the more extensive southern route around Asia, including the Suez Canal. In this case the direction of cargo flow along the NSR, instead of the southern route around Asia, provides an opportunity to sharply reduce the operating costs associated with the passage of ships to organize further trade. This option of organizing maritime traffic on the continent of Eurasia is especially beneficial for Russia [15]. The situation is quite different during the cold period of the year, when there is an ice cover. In this case, its overcoming is carried out with the use of ice breakers. In turn, the speed of vessels with icebreakers is limited by ice thickness. The thicker the ice, the more effort is required to move vessels in such conditions. This will cause an increase in costs, including those associated with energy consumption in the case of resistance to motion. Additionally, expensive icebreakers are required to pave the way for ordinary merchant ships. As the navigation period increases, with the beginning of the winter period, the ice thickness will gradually increase. This will result in both increased travel time in the use of icebreakers and increased costs associated with passing conventional vessels. Due to the reduced speed of traffic with a long period of navigation in the Arctic, the time for ships to be on the way will increase. For our country in this case there is a loss, in comparison with the existing option of passing ships along the southern route around Asia. a) During the winter period, the time of vessels’ stay in traffic along the NSR route increases significantly in case of navigation during the ice period. b) Energy costs associated with overcoming ice cover (breakage, obstacles) increase. c) There is a need for icebreakers. This is a very high cost associated with the vessels’ traffic through the ice cover on the NSR. d) Risks associated with the use of maritime transport on the NSR are increasing, especially in the harsh climatic conditions of low temperatures in the North. To assess the effectiveness of using the NSR technical facilities in the transportation of goods throughout the year, two completely different operational situations along the NSR route should be taken into account. a) An ice-free period along the NSR route. b) The period of ice along the NSR. During the ice-free period it will be possible to make effective use of the means of transport along the NSR to organize the transportation of goods between the states located in the western and eastern parts of the Eurasian continent. In this
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case cargoes can be transported only by merchant ships providing transportation of various categories of cargoes or goods. There are no additional obstacles to the ships’ traffic. The speed of ships is high, and their safety is ensured at a proper level [16].
3 Results Depending on the navigation period in the presence of different ice thickness, the technical and economic indicators will be estimated as follows. – the ice thickness, which becomes possible to overcome in case of merchant ships traffic, will increase with the growth of the navigation period in the NSR. – with the long duration of the navigation period and the increase in the ice thickness the average speed of the vessels together with the icebreakers will decrease. – the average range as well as the duration of the icebreakers’ route for each vessel following the NSR route will increase. – The average icebreaker turnaround time for escorting one vessel will increase. This will lead to an increase in their demand.
ICE BREAKER SHIPS
As for technical and economic calculations, let us assume that favorable navigation period is only 4 months for modern ice-free conditions. Subsequently, during the period of global warming, this period of navigation without ice cover can be increased (Fig. 1).
Navigation period, months
Fig. 1. Value of costs in icebreakers depending on the navigation period of the Northern Sea Route.
These figures show that the need for icebreakers arises only in the period of ice cover availability. Moreover, in case of cargo transportation organization and implementation of navigation period from 4 to 8 months with low ice thickness, there is little need for icebreakers. At the same time, with further increase in navigation period and cargo transportation during the harshest months of the year in the Arctic, the need for
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icebreakers will increase dramatically. At the same time, the costs associated with a decrease in the speed of sea vessels will also increase significantly. Therefore, operation of the Northern Sea Route and cargo transportation organization becomes a technically and economically inexpedient measure (Table 1). Table 1. Indicators of the NSR technical means use depending on the length of the route navigation with the use of icebreakers Indicators of the use of technical means for the NSR route
Change of technical and economic indicators with the increase of navigation time with ice cover
Ice thickness
As the navigation period increases, the following parameters increase: - average ice thickness; - the period of traversing the route in the presence of ice on the NSR
Vessel speed in the period of ice cover
The speed of ships is reduced. The time required to traverse the ice increases
Icebreaker speed
The speed of icebreakers is decreasing. The range of each merchant ship is increasing. The need for icebreakers increases dramatically
Need for ice breakers
The need for icebreakers per commercial vessel is increasing
Range of ships with ice breakers
For additional costs and for the total costs At the initial stage, the ice range is relatively short. The range along the NSR increases
4 Conclusion 1. The shorter route of cargoes along the Northern Sea Route, compared with the southern route around Asia, makes it expedient to use it in the organization of mass transportation of goods between the states of the eastern and western parts of the Eurasian continent. 2. Extension of the ice-free period and increase of the speed of sea ships makes it expedient to organize large-scale freight traffic along the Northern Sea Route. 3. Organization of cargo transportation during the favorable summer period of ice cover absence along the Northern Sea Route is the most effective. 4. Organization of cargo transportation and functioning of the Northern Sea Route in severe winter conditions requires the use of special icebreakers for escorting commercial sea ships. 5. During the harshest winter months, when the ice is thickest, there is a sharp increase in demand for icebreakers. Therefore, during the harshest winter months, the use of the Northern Sea Route becomes technically and economically inexpedient.
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Implementation of CLIL Approach via Moocs: Case Study of Siberian Transport University Artyom Zubkov(B) Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk 630049, Russian Federation [email protected]
Abstract. The study explores the implementation of content and language integrated learning concept to teaching professionally oriented foreign language to economics students of a transport university using massive open online courses. The paper demonstrates the case study of Siberian Transport University in determining the potential of MOOCs in relation to teaching a foreign language at transport university within the framework of the concept of content and language integrated learning, developing a methodological model of CLIL-based teaching a foreign language using MOOCs, conducting a learning experiment and subsequent determination increase in professional foreign language competence in the organization of the educational process in accordance with the methodological model developed. At the final stage of the study, a survey of students and teachers participating in the implementation of the model to find out their opinions on the use of MOOCs for professionally oriented teaching and learning of a foreign language in higher education institution in the framework of the CLIL approach was conducted. Keywords: Content · Language · Massive open online course · MOOC · CLIL · Transport university · Integrated learning
1 Introduction Nowadays, scientists, methodologists and foreign language teachers at all levels of education are actively involved in the discussion regarding bilingual education, teaching a foreign language using content and language integrated learning (CLIL) concept. This approach allows actively engaging and forming interdisciplinary connections in the learning process. The CLIL concept was introduced by David Marsh (Finland, University of Jyväskylä) at the end of the 20th century to discuss two-way learning, when a foreign language is used by a teacher of a professional discipline to teach students the content of a non-linguistic discipline. Mutual benefits are achieved, both for linguistic competencies and for professional ones. A feature of this approach is that the educational process is focused on linguistic aspects and on the content of a non-linguistic discipline simultaneously. At the same time, a foreign language loses its traditional role of the goal of the educational process and acquires the role of a means of instruction. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1002–1010, 2022. https://doi.org/10.1007/978-3-030-96380-4_109
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Traditionally, in Russian higher educational institutions, teaching a foreign language is focused on the acquisition of the language for specific purposes (ESP). The attention of teachers of a foreign language is usually focused on working with texts of a professional orientation, lexical and grammatical characteristics of the discourses being studied. In modern higher education, teaching of foreign languages and intercultural communication using a communicative approach prevails. Today, teachers are armed with such breakthrough technologies and concept as CLIL (Content and Language Integrated Learning) and EMI (English as Medium for Instruction), CBI (Content-based Instruction), CBLT (Content-based Language Teaching), LAC (Language Across the Curriculum), which represent an effective addition to the teaching of linguistic disciplines in line with the ESP approach. Technologies of teaching language for specific purposes are not focused mainly on specific disciplines of the curriculum of the major, which demonstrates the basic degree of interdisciplinarity of the disciplines content. Thus, if a group of future economists at the transport university study a professionally oriented foreign language course with the use of the authentic Guide to Economics textbook, the content of which consists of 21 topics related to economic theory (for example, macroeconomics, international trade, economic growth, the open economy, consumer choices, inflation etc.), while the content of only two of them correlates with the content of the professional discipline “Worldwide Economy”, which, according to the decision of the faculty, should be studied by students in the 2nd year in a foreign language. From this, it follows that the correlation between the topics of an authentic textbook on a foreign language and professional disciplines is definitely low, despite the fact that this textbook is especially focused on the profession being mastered by students and there is an absolute correspondence to the specialization of study. We are faced with the question: how to increase the degree of interdisciplinarity, when students in the course of a professionally oriented foreign language would be better prepared to master the discipline “Worldwide economy”? An obvious tool is the integration of content with an integrative nature into the process of teaching a professionally oriented foreign language. Such material can be a massive open online course on worldwide economics in a foreign language. As for researchers, certain aspects of CLIL approach implementation in higher education institutions are covered in the works of the following researchers who studied engineering lecturers’ views on CLIL and EMI [1], assessment in a CLIL-based approach [2], quality factors in bilingual education at the university level [3], learner views on motivation for bilingual education [4], training and accreditation of teachers for English medium instruction in European universities [5], conceptualization of English-medium teaching in higher education [6], collaborative reflections on content and language integration at universities [7], ESP in CLIL degree programs [8], the changing use of language learning strategies in content and language integrated learning at the tertiary level [9], high mobility and employability of university undergraduates under the content and language integrated learning approach [10], role of foreign language lecturers in content and language integrated learning at tertiary institutions [11], massive open online courses in blended English teaching and learning for students of technical curricula [12], content, structure and formation of professional foreign language competence of technical students [13] and language learners communication in MOOCs [14].
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The objectives of this study are: 1) to find out what MOOCs can offer for professionally oriented teaching of a foreign language in a transport university within the framework of the CLIL approach; 2) to develop a methodological model of CLIL-based teaching a foreign language using MOOC; 3) to conduct a preliminary study of the growth of foreign language competence in the control and experimental groups of economics students of a transport university; 4) to find out the attitude of students and teachers of a transport university to CLIL-based teaching a foreign language through the integration of MOOCs.
2 Materials and Methods Massive open online courses (MOOCs) are a type of open educational resources on the Internet. This breakthrough technology has long been the focus of vocational education scholars [12, 14]. The best university practices are available to everyone in the authorized access mode via the Internet. Referring to professionally oriented teaching of a foreign language at a university, each MOOC is an array of subject content in a foreign language, mainly English, which can be effectively used in the educational process of the university when implementing the CLIL approach to teaching. The platform also presents specializations - a set of open online courses united by a common topic. Since MOOC materials contain video lectures, audio fragments, articles for reading, subtitles for video lectures in several languages and much more, this array of language material can be used to create language exercises, teaching aids, as well as the MOOC themselves can be integrated into the educational process to organize learning within blended learning and flipped classroom concepts. In the course of the study, the method of content analysis was applied to find out the potential of MOOCs for professionally oriented teaching of a foreign language at university within the framework of the CLIL approach. The author has completed and reviewed dozens of MOOCs on the leading online platform Coursera in terms of content, pedagogical design, teaching methods and technologies and teaching approaches usev. After a criteria-based consideration of the variety of online courses on the platform, we chose the «Earth Economics» course developed by Erasmus University Rotterdam. The course is 6 weeks long and has an approximate completion time of 21 h. It offers: 31 videos ranging from 2 to 8 min long, the total duration of all microlectures is 2 h 50 min; 36 self-study texts, 2 practice tests, 6 tests based on the results of each weekly module, 2 questions for discussion in the forum, 1 final written assignment for peer assessment. Considering the above content of the online course, it can be concluded that it has a high potential for teaching a professionally oriented foreign language at university within the framework of the CLIL approach. However, taking into account the peculiarities of the implementation of the work program of the discipline (time allotted for classroom and independent work), learning conditions (low input level of students’ language skills, different levels of foreign language proficiency among students of the same group), there is a need to create a methodological model of CLIL-based foreign language teaching in transport university through the integration of MOOCs. Among many components, this model includes the developed educational materials aimed at language support
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of the process of completing the MOOC. This language support includes tasks aimed at mastering the lexical minimum necessary for students to study MOOC materials independently. As is known from the theory of content and language integrated learning, the educational process with this approach is based on the 4Cs principle - content, communication, cognition and culture. Table 1 proposes to consider the potential of MOOCs in relation to this principle. Table 1. Reflection of the 4Cs principle in teaching a foreign language through MOOCs Content
Goals and objectives of training. The content of the MOOC is filled with theoretical concepts and practical cases in professional disciplines. There are both MOOCs that provide the foundations of a science, as well as highly specialized online courses. Lexical and grammatical minimum implemented using language support tasks in a tutorial and an interactive course in LMS Moodle
Communication The opportunity to enter a discussion with teachers (native speakers) and fellow students (peer students for whom the target language is foreign) on the forum, the ability to leave comments under the lecture videos, as well as communication that goes beyond the online MOOC environment (hackspaces, social networks, etc.) Cognition
Low-order and high-order thinking skills, especially critical thinking skills, are actively involved in study activities such as writing essays, leaving comments on the forum, practice and final tests
Culture
Students master the learning materials through the cultural educational paradigm of the culture represented by the authors and developers of the online course. There is a possibility of online interaction with representatives of foreign culture by evaluating the work of fellow students and communicating on the forum
The experimental basis for this study was the process of teaching a professionally oriented foreign language at the Siberian Transport University at the Faculty of Worldwide Economics and Law. The department “English Language” is involved in the process of developing a methodology for integrating massive open online courses into the process of professionally oriented teaching of foreign languages for the formation of professional foreign language communicative competence of transport university students [11, 14]. The participants in the experimental training were 6 groups of undergraduate students majoring in “Economics” with such specializations as “Worldwide Economics”, “Entrepreneurship” and “Finance and Credit”. The learning experiment involves blended learning using the flipped classroom model, where students, after an introductory seminar and registration on the MOOC platform, study the materials of a massive open online course independently.
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To implement the experiment, a methodological model of CLIL-based teaching a foreign language using MOOC integration was developed, including target, content and procedural components, demonstrating the interaction of MOOC pedagogical design, the 4Cs CLIL approach principle and revealing procedural aspects. According to the model developed, the target component is the formation of professional foreign language competence among future economists at transport university in the process of content and language integrated learning. In this case, the pedagogical tasks were: 1) to increase the level of students’ motivation for cognitive activity when studying professional content in a foreign language; 2) to develop thinking skills of a higher order - the skills of argumentation, analysis, synthesis, proof, judgment, the ability to determine the general and the different in the content studied; 3) the formation of skills in professional economic discourse in the native and foreign languages; 4) strengthening students’ knowledge in the discipline of the curriculum “Worldwide Economy” through the use of the means of the foreign language studied. The content component is an content and language integrated training of economics students of a transport university in the discipline “Worldwide Economy” by means of the native and target languages through the integration of MOOC materials into the work program of the discipline of the curriculum in compliance with the 4Cs principle (see Table 1). The procedural component includes scaffolding, which is fading support for students to master MOOC materials. At the initial stage of implementing the model developed, organizing the introductory seminar, a foreign language teacher introduces students to the theory of MOOCs, introduces them to independent learning strategies on the platform, deadlines, forum opportunities, a variety of study assignments and assessment forms, provides pre-developed language support tasks, thanks to which students can pre-study lexical and grammatical minimum, which in the future will allow them to study MOOC materials more effectively, as well as provides consultations for students experiencing language difficulties. Blended learning is implemented according to the rotation model, in which students master MOOC materials online, and then consolidate their knowledge of these materials in the classroom, while studying the main curriculum of the discipline. For language support of the MOOC learning process, students were offered a study guide containing tasks for practicing pronunciation skills, initial acquaintance with the basic professional vocabulary of the online course, as well as tasks for developing writing, listening, reading and speaking skills. LMS Moodle interactive course for students, also aimed at language support in relation to highly professional MOOC materials was developed. The traditional methods are the explanatory-illustrative, brainstorming method and the project method, the result of which is the defense of a project in a foreign language in the classroom after completing the study of MOOC materials. The developed methodological model of CLIL-based teaching a foreign language using MOOC integration is demonstrated in Fig. 1.
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Fig. 1. Methodical model of CLIL-based teaching a foreign language using MOOC integration
3 Results To assess the effectiveness of the model developed, an assessment of the level of formation of the professional foreign language competence of economics students of a transport university was carried out. The level of formation of professional foreign language competence among economics students of transport university in the experimental group increased by 30%, which is 6% higher than in the control group. At the same time, the difference in the level of formation of this parameter at the pre-experimental stage was only 1%. The students of the experimental group demonstrated the most qualitative increase in the skills of using professional vocabulary (in comparison with other aspects of the complex communication test). Upon completion of the experimental training, a survey among economics students of transport university in relation to the use of massive open online courses for teaching a professionally-oriented foreign language was conducted. After processing the data collected, the following results were obtained. 95% of economics students of transport university are interested in learning a professional foreign language with the involvement of MOOCs. Among the advantages, students noted a greater degree of involvement in comparison with conducting seminars based on traditional textbooks, the relevance and modernity of the information contained, interest in a new learning format, as well as the ability to autonomously manage their time when studying MOOC materials. The students found the language support assignments extremely helpful, the implementation of which “gently” introduced them to the process of learning MOOCs. Students consider the opportunity to watch video lectures from a native speaker, their richness in professional vocabulary as the most useful aspect for studying a professional foreign language. Students also consider watching video lectures as the most difficult moment when studying MOOCs cause of ignorance of professional and general vocabulary forced them to stop video playback, search for meaning and translation of professional vocabulary in dictionaries. Moreover, for some of them, the challenge was to meet deadlines and manage learning activities on their own. Only 3% of respondents experienced technical difficulties when interacting with the platform’s website. 12% of students experienced difficulties in mastering the content, i.e. they fully understood the foreign language in
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which the course materials were presented, but they did not understand the essence of the concepts being studied. 86% of students note a closer correspondence of MOOC materials to their mastered specialization in comparison with a traditional textbook, and the opportunity to enroll an online course from a world-renowned educational organization makes one think about a career and continuing education abroad. 93% of students would like to continue to study at a university with the involvement of MOOCs, but some would like to study in the format of a computer laboratory, i.e. to study an online course in a classroom equipped with computers in the presence and assistance of a foreign language teacher. In the final phase of the study, a survey of teachers who participated in the MOOCbased experiential training was carried out. The majority (75%) of teachers are interested in attracting modern digital technologies, in particular MOOCs, in the educational process of teaching a professionally oriented foreign language when teaching economics students of a transport university. However, half of the teachers have concerns about the content of the MOOC materials and the lack of understanding of some details of economic theory. In addition, some educators perceived a lack of digital literacy, which made it difficult for them to effectively moderate the learning process online. All respondents believe that the use of MOOC materials corresponds to the main provisions and principles of the theory of content and language integrated learning and can increase the degree of interdisciplinarity of the process of teaching a foreign language. According to the teachers‘ attitude, the authentic nature of MOOCs, the variety of learning tasks, the orientation towards the content of professional discipline make the greatest contribution to the achievement of students‘ outcomes. Half of the respondents believe that a teacher should select MOOCs based on the needs and level of subject and language training of students, as well as complete MOOCs on their own in order to be able to develop language support tasks.
4 Discussion According to the assessment of the level of the professional foreign language competence of economics students of a transport university in the control and experimental groups before and after the experimental training, CLIL-based training in a professionallyoriented foreign language will be more effective when foreign language massive open online course is integrated into the curriculum of discipline. This, in turn, is the basis for the introduction of MOOC-based teaching of foreign languages in non-linguistic universities on a more massive scale. Nevertheless, at the same time, questions arise regarding the regulatory framework for the use of MOOCs in the educational process of the university, their compliance with federal state educational standards, curricula and work programs. Students of the transport university demonstrated their interest in a new format of teaching a professionally oriented foreign language. However, there is a contradiction between the fact that autonomy and mobility are convenient for students and the fact that some of the students experienced difficulties in self-organization, which in turn requires the adaptation of such a methodological model to the requirements of such students and building a trajectory of individual supervision. Students also note the usefulness,
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and in some cases, the necessity of using language support tasks, which is certainly a methodologically valuable element of the educational process, but at the same time, is time-consuming, since it requires the development of a system of exercises for each online course selected for integration. However, students experienced difficulties not only when working with professional vocabulary, but also with general English, which requires paying attention to this component as well. Despite the fact that the modern generation of students was literally born with computers and gadgets, it is still possible to find students with low digital literacy and lack of personal computer devices, which imposes restrictions on the use of this methodological model. Some of the students who participated in the experiment, despite the absence of problems in terms of language skills, experienced difficulties in mastering the content, which suggests the desirable interaction with specialized departments of the university, interaction for consultation in such cases or even tandem training and joint use of methodological model developed. The teachers of the Siberian Transport University at the «English Language» Department are generally interested in the usage of urgent digital technologies for professionally oriented foreign language teaching and learning. However, we can see the factors that impede this interest. Foreign language teachers, despite many years of experience in teaching language for specific purposes, for the most part are not certified specialists in the field of professional non-linguistic disciplines, and therefore cannot fully master the material presented in the MOOC. Moreover, in the higher educational institutions of the Russian Federation, there is a shortage of young human resources, representatives of the digital generation, and it is natural that some teachers experience a lack of digital literacy. All of the above requires teachers of foreign languages to improve their qualifications in the content and digital areas. In addition, completing an online course by a teacher is time consuming.
5 Conclusion In conclusion, it can be noted that in relation to CLIL-based teaching of a foreign language at transport university, MOOCs can offer a huge array of professional foreign language content from a native speaker that corresponds to the principles of 4Cs. At the same time, it is supposed to build the educational process according to the methodological model developed. The use of MOOCs in teaching a foreign language to economics students of a transport university leads to a more effective formation of professional foreign language competence. Students and teachers in this case study are mostly positive about the introduction of MOOCs in the curriculum of foreign language discipline in order to implement the concept of content and language integrated learning. However, at the same time, obvious contradictions and limitations can be traced in the course of the implementation of the developed methodological model of CLIL-based teaching of a foreign language through the integration of MOOCs. As a result, further work on improving the methodological model in order to eliminate the above contradictions and limitations, to create a regulatory framework for the integration of MOOCs for the future CLIL-driven teaching of a foreign language to future economists in the transport industry can act as prospects for the future studies.
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References 1. Aguilar, M.: Engineering lecturers’ views on CLIL and EMI. Int. J. Bilingual Educ. Bilingual. 20(6) (2017). https://doi.org/10.1080/13670050.2015.1073664 2. De la Barra, E., Veloso, S., Maluenda, L.: Integrating assessment in a CLIL-based approach for second-year university students. Profile: Issues in Teachers’ Professional Dev. 20(2) (2018). https://doi.org/10.15446/profile.v20n2.66515 3. Madrid, D.: Quality factors in Bilingual education at the university level. porta Linguarum Revista Interuniversitaria de Didáctica de Las Lenguas Extranjeras (2020). https://doi.org/10. 30827/digibug.54002 4. Mearns, T., De Graaff, R., Coyle, D.: Motivation for or from bilingual education? A comparative study of learner views in the Netherlands. Int. J Bilingual Educ. Bilingualism 23(6) (2020). https://doi.org/10.1080/13670050.2017.1405906 5. O’Dowd, R.: The training and accreditation of teachers for English medium instruction: an overview of practice in European universities. Int. J. Bilingual Educ. Bilingualism 21(5) (2018). https://doi.org/10.1080/13670050.2018.1491945 6. Schmidt-Unterberger, B.: The English-medium paradigm: a conceptualisation of Englishmedium teaching in higher education. Int. J. Bilingual Educ. Bilingualism 21(5) (2018). https://doi.org/10.1080/13670050.2018.1491949 7. Wilkinson, R.: Content and language integration at universities? Collaborative reflections. Int. J. Bilingual Educ. Bilingualism 21(5) (2018). https://doi.org/10.1080/13670050.2018. 1491948 8. Wo´zniak, M.: ESP in CLIL degree programmes. ESP Today 5(2) (2017). https://doi.org/10. 18485/esptoday.2017.5.2.6 9. Yang, W.: From similarity to diversity: the changing use of language learning strategies in content and language integrated learning at the tertiary level in Taiwan. English Teach. Learn. 41(1) (2017). https://doi.org/10.6330/ETL.2017.41.1.01 10. Yang, W.: Tuning university undergraduates for high mobility and employability under the content and language integrated learning approach. Int. J. Bilingual Educ. Bilingualism 20(6) (2017). https://doi.org/10.1080/13670050.2015.1061474 11. Urgal, C.C.: The key role of foreign language teachers in content and language integrated learning at a university level. Int. J. Learn. High. Educ. 25(2), 7–16 (2018). https://doi.org/ 10.18848/2327-7955/CGP/v25i02/7-16 12. Zubkov, A.D.: MOOCs in blended English teaching and learning for students of technical curricula. In: Anikina, Z. (ed.) IEEHGIP 2020. LNNS, vol. 131, pp. 539–546. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-47415-7_57 13. Zubkov, A.D.: Professional foreign language competence of technical students: content, structure and formation. In: Anikina, Z. (ed.) IEEHGIP 2020. LNNS, vol. 131, pp. 503–510. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-47415-7_53 14. Zubkov, A.D., Morozova, M.A.: Language learners communication in MOOCs. In: Filchenko, A., Anikina, Z. (eds.) LKTI 2017. AISC, vol. 677, pp. 175–186. Springer, Cham (2018). https://doi.org/10.1007/978-3-319-67843-6_22
Analysis of Criteria for Identification of Defects by Acoustic Emission Method Maria Kuten(B)
and Alexey Bobrov
Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk 630049, Russian Federation
Abstract. The article presents the results of loading steel samples with stress concentrators under various types of loading. This work is devoted to the study of the dynamics of changes in the cross-correlation coefficient of signals and the frequency of the distribution of signals from one source over amplitudes, which will increase the reliability of the search and identification of defects. The purpose of the work is to find empirical dependencies that characterize the relationship between the parameters of a defect and the characteristics of acoustic emission, which will contribute to an increase the reliability in determining the degree in danger of a defect. The tests were carried out using an acoustic emission system and acoustic emission transducers. Additional control by other methods of non-destructive testing was carried out to confirm the found defects, determine their type and size. The dynamics of changes in the cross-correlation coefficient of signals and the frequency of the distribution of signals from one source over amplitudes are studied. The correlation coefficient and amplitude distribution of signals identify some types of sources in the results, such as cracks, among acoustic emission signals from other sources. In addition, the parameters in acoustic emission of various types of sources, conditionally divided from the point of view of source coordinates into local and distributed ones, were investigated. The distribution laws of acoustic emission signals by amplitudes for different types of sources are determined. Also, the results can be used to restore the flow parameters of a discrete acoustic emission. Keywords: Acoustic emission · Source location · Fatigue crack · Stress concentrator · Correlation coefficient · Amplitude distribution · Non-destructive testing
1 Introduction The advantage of the acoustic emission (AE) method is the ability to obtain information directly from growing defects from the entire control object [1–3]. There is also significant disadvantage, which is still being solved with difficulty. This disadvantage is the difficulty in determining the type of defect [4–6], especially when it is not possible to control other methods of non-destructive testing. Therefore, the identification of dangerous defects in the objects of AE control is still an urgent task. The solution to this problem is greatly hampered by differences in the acoustic paths generated by the © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1011–1017, 2022. https://doi.org/10.1007/978-3-030-96380-4_110
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wave on the way from the sources to the receiving transducers. Accounting or reducing the influence of these differences was undertaken in various directions: the choice of parameters sensitive to the acoustic path [7], hardware method [8] or methodical [9, 10]. This work is devoted to the study of the structural features of discrete AE signals from growing defects of various types.
2 Materials and Methods In the framework of the studies, we analyzed the dynamics of changes in individual parameters of AE signals and flow parameters in specific experiments obtained by mechanical deformation of samples during uniform tension. Samples of low-alloy and low-carbon steels were tested. AE signals were recorded by the 16-channel SCAD 16.03 system, the principle of which is given in [11]. Sites with detected sources of acoustic emission were additionally monitored by other nondestructive testing methods, which allow identifying defects and determining their type and size. AE signals were recorded both under static and cyclic loading of samples. Transducers were used to receive AE information. The sensitivity of the receiving transducers was checked using an electronic simulator. The attenuation of the signals from the source to the receivers was not more than 20 dB at a distance of 0.1 m from the transmitting transducer. The channel sensitivity threshold was set to automatically exceed the noise level and had a minimum value of 5 μV. Loading was carried out on machines with uniform extension. In this case, the samples had V-shaped stress concentrators. Some samples were statically loaded over the entire deformation interval (6 samples). Other samples were subjected to preliminary cyclic loading with growing a fatigue crack with an area in 20–30% of the total cross sectional area in the zone of the stress concentrator and subsequent static loading to damage. The third group of samples was subjected to combined loading. Series of cyclic loading (3…15) 103 cycles with a frequency of 5 Hz in a low-cycle mode and between them static loading with a force exceeding the strength of the cyclic phase by 25% were successively carried out. It is believed that the flow parameters (total count, activity, total energy during the test or a certain time interval) have proven themselves to track the stage of development in a deformation or fatigue crack. Nevertheless, there is a problem of identifying types of defects. This is often essential both for tactics of further control (what methods and means to use to confirm the presence of a defect, determine its size and location) and to predict the behavior of the defective area. In a first approximation, according to the source coordinates, they can be divided into local (for example, cracks and stress concentration zones on discontinuity flaw of industrial and operational origin) and distributed (for example, corrosion areas and defective structures). In addition, the difficulty in identifying defects is that some processes such as plastic deformation or the development of a fatigue crack have several physically different stages. This fact makes it difficult to identify both the type of defect and its stage of development. In this case, the development perspective of the method can be determined by analyzing the structural features of the signals carrying information about the source.
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3 Results and Discussion For analysis, digitized wave packets of AE signals were used. The location of the signals made it possible to divide the obtained AE signals into four groups: – caused by friction of the sample in the area of the gripping mechanism of the loading device; – associated with deformation (first elastic, and then plastic) in and around the stress concentrator; – caused by single local discrete dynamic changes in the structure of the sample material in the process of its elastic deformation; – caused by local surface effects, for example, subcutaneous defect of oxide scale and other foreign materials. As a number of studies [12, 13] show, the recorded AE signals largely depend on the mechanism of wave formation and the acoustic path. Obviously, if both of these factors do not change or change insignificantly, then the wave packets of the signals will differ little from each other. The parameter that most reliably describes the degree of similarity of wave packets of signals can be their mutual correlation coefficient: (1)
Where ai i ai is the signal amplitude value at each sampling point of the i-th signal from a given source and its average value; aj i aj is the value of the signal amplitude at each sampling point of the j-th signal from this source and its average value; n is the number of sampling points used to determine the correlation coefficient; δi i δj are the dispersions of the amplitude of the i-th and j-th signals; S is the time shift of the signal. According to practical application in control, the dynamics of measuring the correlation coefficient kij under static loading of various types of sources is of interest. Figure 1 shows the values of the correlation coefficients of the wave packets in time-neighboring signals recorded from different sources. As can be seen from the data presented (Fig. 1, a), the growing fatigue crack has a rather high coefficient of cross-correlation for signals in comparison with areas of elastic and plastic deformation. This is due to the growth of the tip of the fatigue crack, as well as the acoustic path of the wave in the material at most stages, changes only slightly over a short time interval. This is a very important fact from the point of view of monitoring, when a specialist very often has only a few signals from such a source for analysis and on a short interval of load changes. The cross-correlation coefficient was low when modeling other types of AE sources during testing (Fig. 1, b). At the same time, the stage of plastic deformation of the local zone, the average kij is slightly higher compared to other types of sources.
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There is another contradictory feature of discrete AE during the deformation of samples and real objects. The frequency of the signals appearance from the source on amplitude in some studies is characterized by an exponential dependence [14], which was obtained during the growing of a crack in the glass, or a power-law dependence, obtained in steel samples. There are also other studies on this subject. Such data, as well as disquisitions about the physical origin of AE materials during destruction, raise questions about how these distributions are formed and whether they make practical importance in diagnostics the state of specific materials and objects. It is necessary to obtain a certain group of experimental observations to create a hypothesis on how the distribution of AE acts by amplitudes from specific sources can be formed. Thus, signal distributions from different types of sources were constructed. At the same time, sources were selected from which at least 300 signals were recorded. In this case, signals with amplitudes below the 2Up level were not taken into account when constructing histograms of the frequency of the signals falling into one or another amplitude range. Predloenie ne perevedeno na angliski zyk. However, signals with large amplitudes are much less common in most experiments. It is explainable. Therefore, the correct display of data with a logarithmic scale in amplitude often gives a contradictory result in some cases. Figure 2 shows graphs of the distribution on the frequency of signals occurrence with a certain amplitude (average values are presented from equal ranges in the amplitude range). The frequency was determined as the ratio of the number of signals from the amplitude interval to the value of this interval in μV. The results show that with a relatively small number of signals (Fig. 2, a) we have areas that do not allow us to uniquely identify the type of distribution. All ranges are considered filled when the number of signals is large enough to allow approximation to a continuous distribution. In this case, the result obtained is more unambiguous and can be described using a power function (Fig. 2, b).
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For further studies, we used ranges that increased with an increase in the amplitudes (2 times). Then, the frequency of signals occurrence with a certain amplitude value was determined by the formula: p(U ) =
NU (i)−U (i−1) , U (i) − U (i − 1)
(2)
Where NU (i)−U (i−1) the number of signals in the amplitude range from the value of U (i − 1) to the value of U (i). The results obtained for different types of sources are shown in Fig. 3. All analyzed cases show that the amplitude distribution of the signals has a powerlaw form. This does not depend on the volume in which the development of AE sources occurs, and the type of source. The form of the distribution does not change for the same source at different stages of growth (fatigue crack). However, the accumulation factor and the index of this dependence vary many-valued. Such source behavior requires theoretical argumentation. It is necessary to understand how this can be used in the analysis of real sources, when there is a lot of information about them (for example, when monitoring objects during operation). The findings were verified in experimental studies of pressure vessels and other objects. The conclusions obtained during testing of the samples were confirmed.
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Fig. 3. Power-law distribution of the frequency on signals occurrence by amplitudes: a - from a growing crack; b - with plastic deformation in the zone of the concentrator; c - when indenter is pressed into a steel sample; g - when testing a vessel under high pressure
4 Conclusion – growing cracks are characterized by an increased correlation coefficient of signals received from such a source compared to other sources; – the growing crack is characterized by a power-law distribution of the amplitudes of the signals; corrosion damage has an exponential amplitude distribution; – signals from a growing crack can be grouped using correlation clustering of sources; – the stability of relations between the parameters of a growing crack and the recorded AE parameters depends both on the structural state as a whole and on the magnitude of the structural anisotropy of the material; and also many-valued for a growing defect at different stages; – the search for the type of defect and stage of its development allow the use of empirical dependencies. They characterize the relationship of defect parameters with AE parameters. The use of cyclic test data (even a small number of cycles) increases the reliability of finding and identifying defects; – application of AE data for resource estimation is possible only using a probabilistic approach and data from other control methods.
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Acknowledgements. The reported study was funded by RFBR, project number 20-38-90090.
References 1. Stepanova, L.N., Bobrov, A.L., Beher, S.A., Kuten, M.M.: Analysis of acoustic emission parameters changes with the growth of fatigue racks in steel samples. J. Mater. Sci. Forum 970, 137–144 (2019). https://doi.org/10.4028/www.scientific.net/MSF.970.137 2. Vinogradov, A., Yasnikov, I.S., Merson, D.L.: Phenomenological approach towards modelling the acoustic emission due to plastic deformation in metals. Scripta Mater. 170, 172–176 (2019). https://doi.org/10.1016/j.scriptamat.2019.06.011 3. Berkovich, V.N., Builo, S.I.: Reconstructing the amplitudes of radiation of a defect based on acoustic emission signals at the free boundary of a massive body). Russ. J. Nondestr. Test. 55(4), 262–267 (2019). https://doi.org/10.1134/S106183091904003X 4. Nosov, V.V.: Acoustic-emission quality control of plastically deformed blanks. Russian J. Nondestruct. Test. 53(5), 368–377 (2017). https://doi.org/10.1134/S1061830917050060 5. Barat, V.A., Fomin, A.A., Zhgut, D.A., Marchenkov, A.Y.: Advanced method for acoustic emission testing data analysis. Int. J. Sci. Technol. Res. 9(2) (2020) 6. Shehadeh, M.F., Elbatran, A.H., Mehanna, A., Steel, J.A., Reuben, R.L.: Evaluation of acoustic emission source location in long steel pipes for continuous and semi-continuous sources. J. Nondestruct. Evaluat. 38(2), 1–15 (2019). https://doi.org/10.1007/s10921-019-0577-6 7. Agletdinov, E., Merson, D., Vinogradov, A.: A new method of low amplitude signal detection and its application in acoustic emission. Appl. Sci. 10(1), 73 (2020). https://doi.org/10.3390/ app10010073 8. Bashkov, O.V., Zaikov, V.I., Khun, K., et al.: Detecting acoustic-emission signals with fiberoptic interference transducers. Russian J. Nondestruct. Test. 53(6), 415–421 (2017). https:// doi.org/10.1134/S1061830917060031 9. Bobrov, A.L.: Analysis of variations of the dynamic characteristics of acoustic-emission sources under static loading of metal specimens. Russian J. Nondestruct. Test. 45(5), 304–309 (2009). https://doi.org/10.1134/S1061830909050027 10. Nosov, V.V.: On the principles of optimizing the technologies of acoustic-emission strength control of industrial objects. Russ. J. Nondestr. Test. 52(7), 386–399 (2016). https://doi.org/ 10.1134/S1061830916070068 11. Stepanova, L.N., Kabanov, S.I., Chernova, V.V., Sereznov, A.N.: Patent 2 736 171 C1 Russian Federation. Multichannel acoustic emission system. – 2020116280; declared 27.04.2020, Published 12.11.2020, Bull, vol. 32, pp. 1–13 (2020) 12. Builo, S.I.: On the information value of the method of invariants of acoustic-emission signals in the diagnostics of pre-failure state in materials. Russian J. Nondestruct. Test. 54(4), 237–242 (2018). https://doi.org/10.1134/S1061830918040034 13. Pullin, R., Holford, K.M., Evans, S.L., Dulieu-Barton, J.M.: Correlation between acoustic emission and internal friction in materials. Adv. Mater. Res. 13–14, 313–322 (2006). https:// doi.org/10.4028/www.scientific.net/AMR.13-14.313 14. Popkov, A.A., Bekher, S.A.: Correlation methods for analyzing the information content of acoustic emission signal parameters. Scientific problems of the implementation of transport projects in Siberia and the Far East 17-18, pp. 440–444 (2016)
Method of Analysis, Evaluation and Forecasting of Occupational Accidents Marina Grafkina(B)
and Aleksandr Maistruk
Moscow Polytechnic University, 38 Bol’shaya Semonovskaya Street, 107023 Moscow, Russian Federation
Abstract. For the analysis and assessment of occupational injuries, there are various methods that have certain advantages and disadvantages, primarily statistical and monographic methods are used. Statistical methods are most appropriate when analyzing injuries in the organization as a whole, by industry, by region, etc. The development of mathematical statistics and modern information technologies make it possible to predict changes in the process under study (manifestations of industrial injuries), based on the position that the trends of changes in the process established on the basis of statistical analysis can be extrapolated for future periods. The use of time series analysis, as an independent and developing field of mathematical statistics, and the capabilities of the Excel software environment allow improving statistical methods for analyzing industrial injuries. The method under consideration allows identifying certain patterns in the manifestation of injuries and predicting its change for specified periods in order to develop more effective management solutions for the prevention and prevention of industrial injuries both in organizations and within the framework of control and supervisory measures, which is especially important for state control and supervisory authorities. The method has been tested in the processing of statistical data of various territorial bodies of the State Labor Inspectorate. Keywords: Industrial injuries · Methods of analyzing and assessing injuries · Predicting industrial injuries · Information technology · Time series analysis · Labor inspections
1 Introduction Providing the priority of preservation of life and health of workers in the process of work is one of the main directions of the state policy in the field of labor protection [1]. The analysis and assessment of occupational injuries allows to highlight the main causes, frequency of realization, severity of occupational injuries, etc. Traditionally, to analyze occupational accidents, statistical methods and the monographic method are used. The former are based on studying documents on accidents at work and identifying the causes of injuries, and make it possible to determine the comparative dynamics by year, industry, organization, profession, etc. [2–5]. Statistical methods do not reveal the specific circumstances of accidents at workplaces, this is a feature of the monographic © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1018–1025, 2022. https://doi.org/10.1007/978-3-030-96380-4_111
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method, when there is a detailed study of working conditions under which an accident has occurred. The monographic method also makes it possible to identify potential hazards of workplaces [6–8]. The first group of methods is more expedient when analyzing traumatism in an organization as a whole, by branches by regions, etc., and the second group is more suitable for analyzing at a specific enterprise, workshop, section, workplace. Analysis of occupational injuries using the methods of mathematical statistics consists of several stages: first there is accumulation of statistical data, then their processing with breakdown by specific groups (by year, by region, by industry, by injury severity, by age, etc.), and then conclusions and recommendations are formulated. Often there is quite a lot of statistical data on a certain attribute, which makes it possible to switch to the sampling method (sampling) of research, when not all cases are analyzed, but a part of them (usually from 5 to 25%). Provided the sample is representative, it reflects all the properties of the population of cases under study. However, when analyzing occupational traumatism, apparently because we are talking about an irreplaceable resource - human life and health, a continuous sampling method is almost always used. Based on the results of accident analysis, preventive measures, including those for the protection of occupational injuries, are developed and control decisions are made both within the organizations and as part of control and supervisory measures, which is especially important for state control and supervisory bodies. At present, as the research has shown, statistical methods, including those based on the analysis of time series, used both for the analysis of accident rates and for evaluation of the effectiveness of investments in improving the safety of production processes, are being quite actively improved [9–11]. The authors’ own studies also show the advantages of statistical data processing by the methods of mathematical statistics, as well as the advantages of modern information technologies and software products [12, 13]. At the same time, in spite of the high degree of statistical data analysis, the methods of modeling and forecasting changes in the indicators of occupational injuries according to the data of state labor inspectorates remain incompletely investigated. In this connection, it becomes obvious that modeling and predicting changes in injury rates is an urgent research task. The purpose of this study is to improve statistical methods for analyzing occupational injuries by using time series analysis and modern information technologies, in particular the capabilities of the Excel software package, which is a universal environment for analyzing and processing numerical data and creating charts and graphs on their basis. The proposed method of analysis, assessment and forecasting will make it possible to identify new patterns in the distribution of injuries and predict their change for future periods. In accordance with the existing regulation, data on occupational injuries are summarized by the Federal Labor and Employment Service of the Russian Federation; preliminary data collection, processing and analysis are carried out by its territorial agencies. The existing system of collecting and processing statistical data on occupational accidents also needs improvement, since at present the service is only engaged in injury analysis. The results of this study will help improve the efficiency of control and supervisory activities in the field of occupational safety and health, primarily by making it possible to evaluate and forecast occupational injuries, as required by the statute, and by
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improving the system of planning control and supervisory activities, taking into account the seasonal component of injuries. Time series analysis and Excel as the basis for the method of analysis, assessment and forecasting of occupational injuries. At the level of research of the system of collection, processing, registration, classification and formalized description of statistical data of occupational injuries, the analysis of state labor inspectorates, statistical material on occupational injuries for the establishment of the theoretical law of the random value of occupational injury indicators characterizing the studied indicator by an experimental (empirical) distribution representing a variation series and possibilities of solving, etc., was conducted. Possibilities of the method of analysis of time series and Excel program package for achieving the set purpose are considered. The main differences between time series analysis and random sampling when processing data by methods of mathematical statistics [3]: 1) the elements of X = {x1 , x2 , x3 , . . . , xn } at random sampling are independent of each other, while the value of the time series, at certain fixed points in time ti may depend on one and/or more values of the series x(t1 ), x(t2 ), x(t3 ), . . . , x(ti−1 ) fixed up to that point in time; 2) the elements X = {x1 , x2 , x3 , . . . , xn } of a random sample obey the same distribution law, whereas the distribution law of the i-th member of the time series (random value xi ≡ x(ti ), i = 1, 2, 3, . . . , n) can change as the number of i changes. In particular, the main numerical characteristics of a random variable x(ti ) as well as its average value M[x(ti )], and its variance σ2 [x(ti )] depend on ti . To study and analyze the time series Xt = {x(ti )}, i = 1, 2, 3, . . . , n an additive mathematical model will be applied, which includes several components: xi = di + εi = (tr + ν + ci ) + εi (i = 1, 2, 3, . . . , n). i i di
In this mathematical model, the time series is treated as the sum of some fully deterministic (non-random) sequence d1 , d2 , d3 , . . . , dn , which is called the systematic component, as well as the random component ε1 , ε2 , ε3 , . . . , εn , which has some probability distribution. The systematic sequence di = tr i + νi + ci is usually represented in the form of three components: – trend (tr i ), characterizing a stable systematic change in the time series, which occurs over a long period of time and is caused by the influence of slowly developing factors, such as security culture, economic, technological processes, etc.; – cyclical component (νi ), which describes long periods of ups and downs, similar to seasonal fluctuations, but of longer duration and less regularity than seasonal fluctuations; – seasonal component (ci ), which reflects the repeatability of processes over time, independent of the trend and cyclical changes, processes are imposed on the object under study by some periodic mechanism external to the main factors (e.g., shift work method, change of seasons, etc.).
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Random component (εi ) reflects the influence of random factors that cannot be counted and recorded. Systematic di ) components, as opposed to the random component (εi ), are natural (non-random). The main stages of time series analysis are [3]: – graphical representation and description of the time series. – selection and removal of the regular components of the time series; – smoothing and filtering, i.e. removing low- and/or high-frequency components of the time series; – studying a random component, building and checking the adequacy of a mathematical model to describe a random component; – forecasting the development of the process under study on the basis of time series; – study of the relationship between different time series. The classic task in the study of time series is to identify and statistically evaluate the main development trend of the process under study and deviations from it. In this case, it is assumed that the development trend established in the past period can be extrapolated to the future period, thus it is possible to forecast, i.e., on the basis of the long series analysis Xt = {x(ti )}, i = 1, 2, 3, . . . , n the expected level of this series at the moment of time n + τ can be predicted. The construction of the time series graph allows revealing the presence and nature of the systematic component and its components (trend, cyclic and seasonal components), when revealing the systematic component, smoothing (leveling) of the time series is carried out. Smoothing replaces the actual values of the series xi by the calculated values xˆ i , with less fluctuation than the actual initial values. The systematic component is more evident in this case. Common smoothing methods are the moving average method and the exponential smoothing method. The exponential smoothing method also allows taking into account observation data obsolescence. To analyze the time series in this method, it is proposed to use the capabilities that the Excel software environment provides, where there are built-in functions for smoothing time series: “Moving Average” and “Exponential Smoothing”. However, a number of smoothed values due to their cumbersomeness make it difficult to use them when analytically solving the problems of analysis of time series, and there is a necessity of “compact” description of the trend by means of some mathematical model of the trend. The process of selecting such a mathematical model is called analytical smoothing of a time series. The simplest mathematical models of the trend are also provided in the Excel software package. These models are such as linear (ˆx(t) = b0 + b1 t); logarithmic (ˆx(t) = b0 + b1 ln t); polynomial (ˆx(t) = b0 + b1 t + b2 t 2 + . . . + bm t m ), in which is the degree of the polynomial (Excel m ≤ 6); gradual (ˆx(t) = b0 t b1 ); exponential xˆ (t) = b0 t b1 = b0 exp (b1 t).
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2 Research Findings Statistical data on occupational injuries, which are accumulated in the state labor inspectorates, were processed as part of this research. The data were processed using the method of analysis, assessment and prediction of occupational injuries based on the analysis of time series and the capabilities of the Excel software environment. The method was used to process data from various territorial bodies. Primary processing of statistical data on occupational injuries in one of the federal districts revealed a distribution of the frequency of injury rates by months over a one-year period (Fig. 1). The results obtained allow supervisory authorities to conduct additional analysis of the situation in the region and identify the peculiarities of the labor market in the period with maximum injury frequency rates, in this case it was associated with difficulties of an economic nature. 8 6 4 2 0 -2
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Figure 2 shows the results of the analysis, evaluation and prediction of statistical data on injuries for two years of another federal district using the method of exponential smoothing, which indicates the growth trend of the time series. A mathematical trend model y = 3.4455x-18,95 was obtained, with a coefficient of determination of R2 = 0.7458. The linear trend model explains approximately 80% of the total variation in the observed data. The remaining 20% of the total variation is due to a rather strong systematic component and a relatively weak random component.
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The analysis of the results reveals a “seasonal component” in the overall picture of injuries. The graph shows that in this studied process, the industrial injuries are subject to strong seasonal fluctuations with a maximum, which falls in November-December, and the minimum level at the end of winter and spring months. The identified features allow the most effective planning of control and supervisory measures for the prevention and avoidance of injuries. 30 20
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Using the proposed method, we analyzed the age component in the occupational injury rate for another federal district. The analysis of the age component of the trend line (Fig. 3) shows that during the period under study (two years), the greatest number of accidents occurred among workers aged 51–55 years. This can be explained by the specificity of labor resources in this region and the lack of young personnel, as well as functional and physiological features of this age group of workers. The results of the analysis show the need to provide special training programs on labor protection for workers of this age, additional medical examinations and other necessary measures to reduce injuries in this age group. The use of the Excel software package makes the analysis process clear and reduces the labor intensity of the process.
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3 Results Thus, the obtained results of the research on the method of analysis, assessment and forecasting of occupational injuries show its scientific and practical value for improving the system of processing statistical data on occupational accidents, which are accumulated in state labor inspectorates. In each specific case, the use of the method makes it possible to identify the specific features of the regions that have a direct impact on injury rates and, consequently, to increase the efficiency of inspection, control and supervisory activities in the field of labor protection, taking into account regional peculiarities. Further research is connected with the preparation of methodological recommendations for improving the forms of reporting on occupational injuries for subsequent more in-depth analysis of their causes and forecasting changes for given periods on the basis of mathematical statistics methods and modern information technologies, as well as with improving the scientific and methodological apparatus for analyzing occupational injuries, by developing a set of mathematical models as tools designed to process the statistical data, determining (identifying) hazards and causal relationships of initiating factors, predicting and assessing risk in order to optimize preventive risk-oriented measures to ensure the safety of working conditions at all hierarchical levels production activities.
4 Conclusions The method of analysis, assessment and forecasting of occupational injuries based on the analysis of time series and the capabilities of the Excel software environment makes it possible to use the entire array of statistical data on injuries by territorial districts and
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identify additional regularities in the manifestation of occupational injuries, forecast their development for given periods, form recommendations for the prevention and reduction with a regional aspect and recommendations for improving the effectiveness of control and supervisory measures in the Sphere of Occupational Injuries. For wider application of this method, it is also necessary to change (improve) the system for collecting and processing initial data on occupational injuries.
References 1. Labor Code of the Russian Federation of 30.12.2001 N 197-FL 2. Yanchiy, S.V., Degtyarev, N.D.: Analysis of the causes of industrial injuries in the organization on the basis of the application of the statistical method 4, 95–100 (2017) 3. Industrial Injuries. https://industrytoday.com/industrial-injuries/. Accessed 10 June 2021 4. Industrial Accidents. https://ohsonline.com/articles/2006/07/industrial-accidents.aspx. Accessed 10 June 2021 5. Szczesny, J.: Serious injuries at Tesla plant double industry average: report (2017). https://finance.yahoo.com/news/serious-injuries-tesla-plant-double-industryaveragereport-012917246.html. Accessed 07 June 2021 6. Sivaprakas, P., Murugesan, M., Sakthivel, R.: A Comparative study on safety and security management systems in industries. Am. J. Environ. Sci. 6(6), 552 (2020). https://doi.org/10. 3844/ajessp.2010.548.552 7. Hammer, A.: The relationship between BMI and injury of industrial manufacturing shift workers. Saf. Sci. 119, 79 (2019). https://doi.org/10.1016/j.jand.2019.06.236 8. Sample Risk Assessment Form. https://www.ccohs.ca/oshanswers/hsprograms/sample_risk. html. Accessed 10 June 2021 9. Sun, K., Bai, L., Li, X.: Analysis of the chemical safety facility investment performance in China. Adv. Chem. Eng. Sci. 5(1), 102–109 (2016). https://doi.org/10.4236/aces.2015.51011 10. David, J., Further, B.: Thoughts on the utility of risk matrices. Risk Anal. 11, 2068–2078 (2013). https://doi.org/10.1111/risa.12057 11. Preliminary Risk Analysis (PRA). https://www.safeopedia.com/definition/3676/preliminaryrisk-analysispra. Accessed 02 June 2021 12. Grafkina, M.V., Sviridova, E.Y., Korolev, V.I.: Information technologies in the analysis and forecasting of industrial injuries. Rus. J. Labor Econ. 6(2), 913 (2019) 13. Grafkina, M.V., Safronova, E.V., Kazikyan, T.: Analysis and evaluation of risks, associated with fires. In: IOP Conference Series: Earth and Environmental Science 2020, p. 012009 (2020)
Determination of Hazardous Areas at Bridge Crossings Under Wind Impacts Olga Poddaeva1,2(B) , Alexey Loktev1 , Anton Zavyalov1 and Ekaterina Sorokina1
,
1 Russian University of Transport, 22/2 Chasovaya Street, Moscow 125190, Russian Federation 2 National Research Moscow State University of Civil Engineering, 26 Yaroslavskoe Highway,
Moscow 129337, Russian Federation
Abstract. The paper studies the existing and formulates the new scientifically grounded ways and systems of protection of workers from the impact of harmful and dangerous factors during the monitoring, maintenance and repair work on the current content of bridge crossing structures under wind pulsation effects on them. The influence of aerodynamic effects on the workers participating in the implementation of technological processes on the transport infrastructure objects is inseparably connected with the stability estimation of building structures in the wind flow and the change in the frequency portrait of natural and forced vibrations of separate elements. Both experimental, numerical and analytical approaches to the dynamic behavior of air masses near the structure and their impact on the worker, scaffolding, moving materials, etc. are considered in the article. In the investigation, the mathematical model of the wind flows behavior near the elements of the transport facility is offered, the possibilities of the full-scale experiment with the physical model of the bridge crossing are described, as well as the numerical modeling of the bridge structure behavior under the wind influences. At the same time, the dangerous zones of employees’ location, where the air flows speeds exceed the allowable normative values and limit the possibilities of repair or diagnostic works performance are revealed and detected. Keywords: Bridge structure · Oscillations · Wind tunnel · Experimental modeling · Numerical methods · Life safety · Hazardous areas · Wind effects
1 Introduction Wide application of cable-stayed and large-span structures forces the theory of structures to develop in the direction of stricter requirements to design ensuring reliability and safety, as well as to change norms of safe labor organization, during construction and installation, repair and diagnostic works on such objects. Recently, there has been an adaptation of the existing regulatory and legal documents in the field of labor protection in relation to the work at height, over water, under the influence of wind currents, etc. Regulatory documentation, along with specific quantitative values that determine the speed of wind flow, the height of the worker’s location above the base of the structure, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1026–1034, 2022. https://doi.org/10.1007/978-3-030-96380-4_112
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etc., contains a number of qualitative characteristics that are not formalized in full (“wind pressure”, “strong wind”, etc.). Determination of quantitative values of state factors and behavior of large-span bridge crossings and parameters of dangerous zones near different elements of the considered structures is an important task both from the viewpoint of mathematical modeling and from the viewpoint of applied tasks of safe work under the action of wind flows. Such projects involve solving a large number of engineering and fundamental problems. One of them is to provide safety of workers while performing various works on bridge constructions. A great danger for bridges is posed by variable external forces that affect the bridge, e.g. from wind flow or from a train passing over the bridge. As of today, the existing normative documents for the design and calculation of bridges, which take into account the aerodynamic effects of wind flows, are insufficient. In this connection the questions of emergence and development of dangerous areas on the artificial constructions in the Russian Federation at present are not regulated completely. One of the main features of high-rise and long-span building structures is their susceptibility to dynamic loads, including wind loads. These effects are directly related to the phenomena of aerodynamic instability. The classification of these phenomena is widely presented both in normative documentation [1, 2] and in scientific and technical literature [3, 4]. In spite of the fact that the fixation of such phenomena does not always result in the destruction of the structure, their investigation is worth paying attention both in terms of ensuring the design durability [5, 6] and in terms of ensuring the labor safety requirements in terms of impact on employees [7, 8], participating in the technological processes directly on the bridge crossing, negative effects may be associated with both increased vibration and noise, and wind flows having a speed of over 15 m/s. There are no data about the distribution of wind loads on the envelop structures of such form in SP 20.13330.2011 “Loads and Effects”, as well as in other domestic and foreign normative documents and reference books. Current domestic and foreign norms for such cases offer to use the results of tests of large-scale models in wind tunnels, however, despite the high accuracy of the results of physical modeling, such tests are very time consuming and expensive [6, 9, 10]. At the same time, the development of computer systems and improvement of computational technologies, the appearance of computational complexes for solving the hydro gas dynamics problems gave an opportunity to conduct the so-called virtual blowdowns of unique objects [11–13]. Understanding the picture of wind flow distribution on the bridge crossing, which in the future will enable to form a picture of the dangerous zones location when carrying out various works according to the Order of the Ministry of Labor and Social Protection of the Russian Federation from 16.11. 2020 No. 782n “On approval of rules on labor protection when working at heights”.
2 Experimental Modeling The main method of assessing the aerodynamic stability of large-span bridge structures and the distribution of wind flows around them is experimental modeling in wind tunnels [5, 6, 14]. At the same time, depending on the problem to be solved, the studies are carried out on different types of models (sectional, scale dynamically similar) with the use
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of different test benches and measuring equipment. In addition to geometric similarity directly at model making, similarity in distribution of masses, and, accordingly, moments of inertia are observed. The researches are conducted in specialized stands, which allow positioning the model relative to the generated wind flows, as well as placing elements of measuring systems (Fig. 1, 2). The studies are carried out in two stages - static tests and dynamic tests. During static tests, the model is rigidly attached to six-component force-moment sensors and loads and torques are measured [15, 16]. Based on the results of such tests, the values of dimensionless aerodynamic coefficients - aerodynamic drag, lift force and torque - are calculated, and then, based on the obtained values, the possibility of the galloping effect according to the Glauert - Den Gartog criterion is evaluated, as well as the possibility of divergence. According to the generally accepted standards, the phenomena of galloping and divergence are unacceptable for any building structures and can lead to their complete destruction and create a threat to the health and life of workers on this structure or near it [17, 18]. The main method of assessing the aerodynamic stability of large-span bridge structures and the distribution of wind flows around them is experimental modeling in wind tunnels [5, 6, 14]. At the same time, depending on the problem to be solved, the studies are carried out on different types of models (sectional, scale dynamically similar) with the use of different test benches and measuring equipment. In addition to geometric similarity directly at model making, similarity in distribution of masses, and, accordingly, moments of inertia are observed. The researches are conducted in specialized stands, which allow positioning the model relative to the generated wind flows, as well as placing elements of measuring systems (Fig. 1, 2). The studies are carried out in two stages - static tests and dynamic tests. During static tests, the model is rigidly attached to six-component force-moment sensors and loads and torques are measured [15, 16]. Based on the results of such tests, the values of dimensionless aerodynamic coefficients - aerodynamic drag, lift force and torque - are calculated, and then, based on the obtained values, the possibility of the galloping effect according to the Glauert - Den Gartog criterion is evaluated, as well as the possibility of divergence. According to the generally accepted standards, the phenomena of galloping and divergence are unacceptable for any building structures and can lead to their complete destruction and create a threat to the health and life of workers on this structure or near it [17, 18]. When conducting the static tests, the model is placed on the spring hangers, with the help of which two forms of vibrations are simulated - the first bending and the first torsional. Similarity criteria for dynamic tests are Struhal number (similarity in natural frequencies of vibrations), Newton number (similarity in mass distribution), Scruton number (similarity in the logarithmic decrement of damping). During these tests, the amplitudes of the span oscillations are measured at different velocities and angles of wind flow attack [15, 19]. These tests allow fixing the possibility of occurrence of the most common in practice phenomenon of aerodynamic instability - vortex excitation, as well as assessing the obtained values of vibration amplitudes and vibration accelerations. These values are
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Fig. 1. Dynamically similar model of the cable-stayed bridge in Vladivostok
Fig. 2. Dynamically similar model of the cable-stayed bridge in St. Petersburg
compared with the critical ones determined at the design stage or the maximum permissible ones in accordance with the existing regulatory documents, which allows ensuring the strength and durability of the structure, the comfort and safety of workers staying on it, as well as offering scientifically justified ways and systems to protect workers from the effects of harmful and dangerous factors during the monitoring, repair works and works on the current maintenance of the structure. Development of this direction of experimental modeling is the most priority and science-intensive task of both modern architectural and construction aerodynamics and Technosphere safety, connected with construction and exploitation of such constructions. This problem has both fundamental value from the point of view of aerodynamics development - modeling of nonlinear dynamic processes of interaction of buildings and structures with wind flow, and the applied value from the point of view of development
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of design methods and tests of full dynamically similar models of long-span bridge constructions and forecasting of parameters of dangerous zones state on bridge crossings for employees, responsible for bridge operation, drivers, passengers and pedestrians. As a result of the tests, a comparison of experimentally received values of vibration amplitudes with the maximum allowable critical values conditioned by the characteristics of the structure is carried out. In this case, the speed at which the measured values exceed the maximum allowable, and if this speed is less than the design wind speed, determined for a multi-year period according to the data provided by weather stations, there is a need to change or improve the design of the span.
3 Mathematical Modelling To describe dynamic behavior of structural elements and distribution of wind flows near them, it is suggested to determine aerodynamic coefficients of each element or structure using three-dimensional nonstationary equations of hydro gas dynamics with a consideration of viscous drag of Navier-Stokes type [6–9]: 2 ∂u ∂u ∂u ∂p ∂ u ∂ 2u ∂ 2u ∂u (1) + ρu + ρv + ρw =− +μ + + ρ ∂t ∂x ∂y ∂z ∂x ∂x2 ∂y2 ∂z 2 2 ∂v ∂v ∂v ∂v ∂p ∂ v ∂ 2v ∂ 2v (2) ρ + 2+ 2 + ρu + ρv + ρw =− +μ ∂t ∂x ∂y ∂z ∂y ∂x2 ∂y ∂z 2 ∂w ∂w ∂w ∂w ∂p ∂ w ∂ 2w ∂ 2w . (3) ρ + ρu + ρv + ρw =− +μ + + ∂t ∂x ∂y ∂z ∂z ∂x2 ∂y2 ∂z 2 The solution of the constitutive Eqs. (1) should be obtained taking into account the continuity and state relations [10, 11]: ∂ρ ∂(ρu) ∂(ρv) ∂(ρw) + + + = 0, p = ρRT . ∂t ∂x ∂y ∂z
(4)
In the relations (1), (2), the following designations are used: u, v, w are the required components of the velocity vector (along the x, y, z axes), p is the pressure, t is the time, μ is dynamic viscous drag coefficient for air, ρ defines density, R is a universal gas constant, T is temperature. To reduce the computational complexity of the modeling process without seriously compromising the accuracy of the engineering problem solutions, wind flows are assumed to be incompressible (ρ = const) and isothermal, with mass forces not taken into account. An exact analytical solution of the Navier-Stokes equations is possible only for a few rather simple problems that have no applications in the construction industry [8, 9, 20]. In the presented study, we propose to use an approach based on aggregation of a semiempirical approach based on decomposition of velocity into time-averaged and pulsation components vi (t) = vi + vi (t) [8], using the numerical-analytical method proposed in [9, 15, 21] and tested in test problems [10, 16], and also on the representation
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of the Eqs. (1) in Reynolds averaged form [12, 15] (Reynolds Averaged Navier-Stoks Method): ∂ v¯ j ∂ v¯ i ∂vi ∂ ∂ p¯ ∂ ∂ μ − ρvi vj , ρ v¯ j + ρ v¯ i · v¯ j = − + + = 0 (5) ∂t ∂xi ∂xi ∂xi ∂xj ∂xi ∂xi Where p defines average pressures, indexes i = 1, 2, 3 and j = 1, 2, 3 correspond to the coordinates x, y, z, ρvi vj are the Reynolds voltages, representing six unknowns (in addition to the averaged v¯ j and p) and are usually approximated by the Boussinesq hypothesis [9, 15]: ∂ v¯ j ∂ v¯ i 2 + ρkδij , ρvi vj = −μt + (6) ∂xj ∂xi 3 Where μt is additional viscosity caused by pulsations; k is an averaged energy of turbulent pulsations. To solve the system of defining equations, according to normative documents [5–7], the wind load w should be represented as the expression w = wm + wp ,
(7)
Where wm and wp represent average and pulsation components of the wind load, respectively.
4 Numerical Modeling Development of information-computing complexes enables to solve the problems of aerodynamics of buildings and structures by methods of numerical modeling (CFD). Classical problems of this direction, such as determination of wind load on buildings and constructions in static formulation, evaluation of pedestrian comfort of urban development, etc., nowadays are almost as reliable as similar results of experimental research in wind tunnels [7, 8, 22]. Vortex-resolving approaches make it possible to obtain physically adequate flow patterns (Fig. 3), which can be used to map the location and state of dangerous areas on the bridge crossing, depending on the direction and speed of the influencing wind flow [9, 23].
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Fig. 3. Visualization of wind flow distribution across the bridge cross section
5 Conclusions Assessment of aerodynamic stability is an urgent task both for architectural and construction aerodynamics and for prediction of parameters of dangerous zones state, scientific substantiation of systems, means and ways of worker protection from the impact of harmful and dangerous factors when performing technological processes on the bridge crossing, relevant and timely for labor protection and technosphere safety in general. The results received in the research let us consider the used methodology as a possible algorithmic and mathematical support for calculation of dangerous zones on the bridge crossings in case of wind effect on them and on the workers involved in various technological processes. The research on determining the aerodynamic coefficient of external pressure distribution over the surface of the object under study has been conducted. The results obtained during the study are comparable with the results of the global scientific research and engineering surveys. The use of the described methodology will greatly simplify and accelerate the study of basic and special problems of aerodynamics of high-speed wind effects, as well as take into account the distribution of wind flows near transport infrastructure objects and assess their impact on workers in terms of their safe location and performance of technological process operations at bridge crossings. This work was financially supported by the Ministry of Science and Higher Education of the Russian Federation (Project: Theoretical and experimental design of new composite materials to ensure safety during the operation of buildings and structures under conditions of technogenic and biogenic threats #FSWG-2020-0007).
References 1. BD 49/01: Design rules for aerodynamic effects on bridges. BD 49/01, vol. 1, Sect. 3, Part 3. The Highways Agency (2001) 2. CNR-DT, 207/2008: Guide for the assessment of wind actions and effects on structures. 2008National Research Council (2010) 3. Kazakevich, M.I.: Aerodynamics of Engineering Structures. Institute Giprostroymost, Moscow (2014). ISBN 978-5-93307-014-6
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4. Kazakevich, M.I.: Fundamentals of Calculations of Structures for Wind Effects. Publishing House MISI-MGSU, Moscow (2010). ISBN 978-5-7264-1932-9 5. Fiammenghi, D.G., Belloli, G., Rocchi, D.: Wind tunnel tests and numerical approach for long span bridges: the Messina bridge. J. Wind Eng. Ind. Aerodyn. 122, 38–49 (2013). https://doi. org/10.1016/j.jweia.2013.07.012 6. Poddaeva, O., Fedosova, A., Gribach, J.: The study of wind effects on the bridge constructions. In: E3S Web of Conferences, vol. 97, p. 03030 (2019). https://doi.org/10.1051/e3sconf/201 99703030 7. Churin, P., Fedosova, A.: Aerodynamic stability of bridge structures. In: IOP Conference Series: Materials Science and Engineering, vol. 661, no. 1, p. 012050. IOP Publishing (2019). https://doi.org/10.1088/1757-899X/661/1/012050 8. Loktev, A., Sychev, V., Gluzberg, B., Gridasova, E.: Modeling the dynamic behavior of railway track taking into account the occurrence of defects in the system wheel-rail. In: MATEC Web of Conferences, vol. 117, p. 00108 (2017). https://doi.org/10.1051/matecconf/201711700108 9. Abbas, T., Kavrakov, I., Morgenthal, G.: Methods for flutter stability analysis of long-span bridges: a review. In: Proceedings of the Institution of Civil Engineers-Bridge Engineering, vol. 170, no. 4, pp. 271–310 (2017). https://doi.org/10.1680/jbren.15.00039 10. Jeong, W., Liu, S., Bogunovic Jakobsen, J., Ong, M.C.: Unsteady RANS simulations of flow around a twin-box bridge girder cross section. Energies 12(14), 2670 (2019). https://doi.org/ 10.3390/en12142670 11. De Miranda, S., Patruno, L., Ricci, M., Ubertini, F.: Numerical study of a twin box bridge deck with increasing gap ratio by using RANS and LES approaches. Eng. Struct. 99, 546–558 (2015). https://doi.org/10.1016/j.engstruct.2015.05.017 12. Ageev, N., Poddaeva, O., Fedosova, A., Egorychev, O.: Numerical and experimental assessment of frequencies and amplitudes when swirling excitation of bending vibrations of construction structures. In: IOP Conference Series: Materials Science and Engineering, vol. 869, no. 5, p. 052002 (2020). https://doi.org/10.1088/1757-899X/869/5/052002 13. Loktev, D.A., Loktev, A.A.: Estimation of measurement of distance to the object by analyzing the blur of its image series. In: 2016 International Siberian Conference on Control and Communications, SIBCON 2016 7491683 (2016) 14. Loktev, A.A., Korolev, V.V., Poddaeva, O.I., Stepanov, K.D., Chernikov, I.Yu.: Mathematical modeling of aerodynamic behavior of antenna-mast structures in the organization of communication on the railway transport. Bull. Res. Inst. Railw. Transp. 77(2), 77–83 (2018). https:// doi.org/10.21780/2223-9731-2018-77-8315. Loktev, A., Korolev, V., Shishkina, I., Lokteva, O., Gridasova, E.: Span operational aspects under offsetting the axis of the track panel. In: E3S Web of Conferences, vol. 164, p. 03037 (2020). https://doi.org/10.1051/e3sconf/202016403037 16. Korolev, V., Shishkina, I., Lokteva, V.: Basic stages of creating a BIM model for transport infrastructure objects. In: IOP Conference Series: Materials Science and Engineering, vol. 918, p. 012014 (2020). https://doi.org/10.1088/1757-899x/918/1/012014 17. Loktev, A., Poddaeva, O., Fedosova, A., Korolev, V.V.: An experimental study of the effects of wind on a metal bridge crossing with two independent parallel spans. nonlinearity. Problems, solutions and applications. V.1. Theor. Appl. Math. 291–307 (2017) 18. Loktev, A.A., Korolev, V.V., Shishkina, I.V., Basovsky, D.A.: Modeling the dynamic behavior of the upper structure of the railway track. Transp. Geotech. Geoecol. TGG 2017 189, 133–137 (2017) 19. Loktev, A.A., Sychev, P.V., Dmitriev, V.G., Egorova, O.V., Komkov, V.A., Boytsov, B.V.: Analysis of methods for restoring the density distribution of random variables of assessing the condition of the railroad track according to the indicated values of the track recording car. Asia Life Sci. 28(1), 111–124 (2019)
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20. Dianov, K.A., Loktev, A.A., Lyudagovskii, A.V., et al.: Temperature distribution in the “material-coating” interface from a fast-moving heat emission source for electromagnetic surfacing. J. Mach. Manuf. Reliab. 48(3), 259–267 (2019) 21. Loktev, A.A., Fazilova, Z.T., Zaytsev, A.A., Borisova, N.L.: Analytical modeling of the dynamic behavior of the railway track on areas of variable stiffness. In: Petriaev, A., Konon, A. (eds.) Transportation Soil Engineering in Cold Regions, Volume 1. LNCE, vol. 49, pp. 165–172. Springer, Singapore (2020). https://doi.org/10.1007/978-981-15-0450-1_17 22. Loktev, A.A., Salnikova, A.V., et al.: The system of facial recognition in the infrared range. Commun. Sci. Lett. Univ. Zilina 22(1):95–101 (2020). https://doi.org/10.26552/com.C.2020. 1.95-101 23. Savin, A., Korolev, V., Loktev, A., Shishkina, I.: Vertical sediment of a ballastless track. In: Popovic, Z., Manakov, A., Breskich, V. (eds.) TransSiberia 2019. AISC, vol. 1115, pp. 797– 808. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-37916-2_78
Design of Railway Tracks in the Zone of Subgrade Adjoint to Strengthened Bridge Abutments Aleksey Lanis , Dmitriy Usov(B)
, Denis Razuvaev , and Ivan Grebennikov
Siberian Transport University, Dusi Kovalchuk Street, 191, 630049 Novosibirsk, Russia
Abstract. Development of railway transport implies increased traffic intensity. A greatest impact due to this increase will be exerted on barrier regions, including the zone of subgrade adjoint to bridge abutments. In the zone of adjoint, there arises characteristic track unevenness primarily related with the drop of track stiffness at the junction between the reinforced concrete abutment and the subgrade and presenting a problem in ensuring track reliability. For solving this problem, in the present study specific features of railway-track designing in the zone of subgrade adjoint to bridge abutments were identified by modeling the deformation process at increased traffic intensity. For performing such modeling, a three-dimensional model of an operated high fill with a set of boundary conditions summarized in a situation matrix was proposed. Based on numerical modeling results, graphs of track subsidence with distance from the reinforced concrete abutment were plotted. An analysis of such graphs has allowed us to identify the deformation zones and the need for using variable-stiffness structures with locally increased and decreased track rigidity. The calculation by situations has revealed an insignificant impact of stiffness on the amount of actual track unevenness at a constant train speed, with the length of the unevenness more than two times exceeding the transition-zone length as specified in regulatory and technical documentation. The analysis of the graphs and the selection of optimal structures have made it possible to apply an integrated approach to the design of railway tracks in the zone of subgrade adjoint to bridge abutments. Keywords: Rigidity transition sections · Railway bridge · Variable-stiffness structures
1 Introduction Increased traffic intensity implied by the development strategy of railway transport in the Russian Federation until 2030 will affect the railway infrastructure condition, and it will require, in some cases, its strengthening [1].
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1035–1043, 2022. https://doi.org/10.1007/978-3-030-96380-4_113
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With an increase in traffic intensity, one of the bottleneck regions is the zone of subgrade adjoint to bridge abutments, in which characteristic track unevenness appears [2]. The main reason for the appearance of the track unevenness is a sharp change in track rigidity primarily related with the fact that the bridge structures are constructed of reinforced concrete, and they therefore suffer almost no deformation, whereas the track itself is laid on the subgrade normally formed by dispersed soils, which are prone to the accumulation of deformations [3, 4]. Thus, railway-track rigidity on short railway sections experiences a sharp jump, which subsequently leads to track disturbances, an increase in the volume of work on track maintenance, and a decreased service life of superstructure members [5, 6]. However, one should not underestimate the influence of other objective and subjective factors on the development of such deformations, including an insufficiently good soil compaction during the construction of fills and the variation of the water-thermal regime. In this connection, ensuring reliability of the operated railway subgrade in the zone of adjoint to bridge abutments presents a highly urgent challenging problem. For solving this problem, we propose using an integrated approach to the design of railway tracks in the zone of subgrade adjoint to bridge abutments.
2 Research Methods For developing an integrated approach, the process of railway track deformation in the zone of subgrade adjoint to bridge abutments was simulated. For solving this problem, a three-dimensional model of an operated high fill in the zone of adjoint to the abutment of an artificial structure, reflecting the railway-track functioning, was developed (see Fig. 1). Figure 2 shows the model under study in the longitudinal and transverse profiles of the fill in the zone of adjoint.
Fig. 1. Three-dimensional model of an operated high fill in the zone of subgrade adjoint to bridge abutments
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a)
b)
Fig. 2. Model of an operated high fill in the zone of subgrade adjoint to bridge abutments: a – in the longitudinal profile of fill in the zone of adjoint; b – in the transverse profile of fill
The model of an operated high fill in the zone of subgrade adjoint to bridge abutments is a multi-element one: 1 – fill-body soil (clay soil); 2.1 – crushed-stone ballast; 2.2 – protective layer formed by sand-and-gravel mixture; 3 – reinforced concrete abutment-subgrade system; 4 – natural subgrade. Geometric parameters of the model, such as the fill height, the width of the main site, and the laying of the slopes, are to be determined based on the results of engineering and geodetic surveys to be adopted as input data for modeling. The width of the main site and the placement of slopes are standard parameters depending on the category of the railway line. In addition to the standardized characteristics described above, the geometric parameters include the power of the subgrade working zone, which can be determined using the experimental-theoretical method for calculating the dynamic stresses developed by Prof. G.Konshin.
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Physical and mechanical characteristics of soil elements in the model of an operated high fill in the zone of subgrade adjoint to bridges and overpasses are determined on the basis of engineering and geological surveys. The models include such track superstructure elements as reinforced concrete sleepers, intermediate rail fasteners, and rails. The load applied to the model is dynamic. The load is specified with a set of concentrated forces that simulate the movement of a rolling-stock wheel on rails [7]. According to regulatory documents, the load is assumed to be equal to the action of a 4-axle car with an axle load of 294 kN. The action of the rolling-stock wheel on the rail is simulated for a given speed and movement, with the spacing between the concentrated forces being equal to the standard spacing between the wheelset axles of a 4-axle car. The use of the finite element method (FEM) for calculating the model of an operated high fill in the zone of subgrade adjoint to bridge abutments makes it possible to perform complex calculations with given characteristics of soil elements. In this case, the soil medium is modeled as a multilayer structure with some physical and mechanical characteristics assigned to each layer. For performing high-quality calculations and obtaining adequate results, it is necessary to choose an adequate model for soil behavior. In the present study, when modeling the subgrade and subgrade support in FEM software, for assessing the stress-strain state and track subsidence we used the elastoplastic model of soil hardening and stiffness at small deformations since this model allows one to take into account the hysteresis damping of the material. In simulating the crushed-stone ballast and the protective layer, the Mohr-Coulomb elastic-perfectly plastic model was used. The track superstructure members (rails and sleepers) and the reinforced concrete abutment-subgrade support system were modeled using the linear elastic model. Taking into account specific features of the software used, for adequate fixation of computational-domain boundaries, the abutment was extended over the entire width of the model, and for the location of the load on the abutment when simulating the departure of cars from the abutment, it was lengthened to the train length. These features do not affect the calculation results, since the assessment of the stress-strain state and elastic subsidence of the railway track is carried out in the longitudinal profile of fill in the underrail section of the track. As part of the posed problem, numerical modeling was carried out in three-dimensional formulation to identify the characteristic deformation zones of the railway track with the account of the situation matrix given in Table 1. The modulus of elasticity was taken as the boundary condition in composing the situation matrix: for the reinforced concrete abutment-subgrade system, – as obtained from the results of preliminary modeling; for the subgrade, – as evaluated according to the criterion for assessing the material deformability for a track category not lower than II. In modeling, the track foundation was assumed solid and consolidated.
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Table 1. Situation matrix used in the numerical modeling Subgrade (Ev2 = 50 MPa)
Subgrade (Ev2 = 80 MPa)
Reinforced concrete abutment with a massive foundation (Ev2 = 100 MPa)
Reinforced concrete abutment with a pile foundation (Ev2 = 400 MPa)
Situation no. 1
–
–
Situation no. 2
–
–
Situation no. 3
–
–
Situation no. 4
–
–
3 Research Results Based on the numerical results, we have plotted graphs of track-subsidence variation for the situations of interest (see Fig. 3). The back plane of the cabinet wall of the abutment is taken as the origin for the horizontal axis of distances.
Fig. 3. Track-subsidence variation: situations Nos. 1–4
An analysis of the graphs presented in Fig. 3 allows the following conclusions to be drawn: 1) there exist zones of accumulation of residual deformations, i.e. zones with an almost constant amount of track elastic subsidence close to the maximum value of the subsidence behind the cabinet wall of the bridge abutment (in situation No. 1, up to
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8-m long; in situation No. 2, up to 4-m long; in situation No. 3, up to 22-m long; and in situation No. 4, up to 24-m long); 2) on increasing the modulus of elasticity of the subgrade, both the amount of track elastic subsidence and the length of the zone of accumulation of residual deformations show a decrease (in situations Nos. 1 and 2, – from 8 to 4 m; and in situations Nos. 3 and 4, – from 24 to 22 m); 3) on increasing the modulus of elasticity of the reinforced concrete abutment–subgrade support system, the difference between the amounts of elastic subsidence of the tracks laid on the bridge abutment and on the subgrade increases in magnitude, leading to a considerable increase of the length of the accumulation zone of residual deformations (in situations Nos. 1 and 4 – from 8 to 24 m; and in situations Nos. 2 and 3 – from 4 to 22 m); 4) for a constant speed of the train, a change in the value of the elastic modulus of the bridge abutment-subgrade support system and the subgrade exerts no significant effect on the actual track unevenness length. At the same time, the amount of the track unevenness more than two times exceeds the normative length of the transition zone as specified in regulatory and technical documentation (at a train speed of 90 km/h – 20 m). Thus, the transition zone of such a length does not fully reduce deformations. Based on the performed analysis of the displacement isofields in the longitudinal profile of fill in the various situations, three characteristic deformation zones indicated in Fig. 4 were identified. Zone No. 1 is the ballast layer. The ballast layer perceives the load transmitted by the sleepers and distributes it over the subgrade, and in this connection, most substantial stresses arise in this zone. The zones of subgrade adjoint to bridge abutments on which a vibrodynamic shock occurs being analyzed, the ballast layer perceives additional stresses leading to larger deformations. Zone No. 2 is the soil of the working zone of the subgrade. Zone of characteristic deformations No. 2 is limited to the working zone of the subgrade (z), in which, when calculating the limiting states, the loads exert a greatest impact. The length of this zone is the actual unevenness length. In the zone of subgrade adjoint to bridge abutments, critical normal stresses arise in the working zone of the subgrade. Those stresses affect the formation of plastic deformation zones, these zones decaying in proportion to the distance from the rear plane of the cabinet wall of the abutment. Normally, this deformation zone arises either when the deformation characteristics of the subgrade turn out to be insufficiently high or at a large difference between the rigidity of the track laid on the subgrade and that of the track laid on the bridge abutment. Zone No. 3 is the surface of the reinforced concrete abutment. Of the reinforced concrete abutment-subgrade support system, an insignificant amount of elastic subsidence is typical. This system affects the deformations of the track laid on the subgrade, since the value of the track stiffness drop affects the amount of the actual track unevenness. Analysis of numerical results has made it possible to apply an integrated approach to the design of railway tracks in the zone of subgrade adjoint to bridge abutments. Within the framework of the integrated approach, based on the analysis of characteristic
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Fig. 4. Characteristic deformation zones in the longitudinal profile of fill at the approaches to the abutments of artificial structures
deformation zones, it is proposed to use variable-stiffness structures with both decreased and increased track rigidity. For increasing the track rigidity on subgrade in zone No. 1, we recommend using a design with ballast-prism grouting [8]; and in zone No. 2 – with elements from the injected solidifying solution [9–11]. In the case of zone No. 3, for reducing the rigidity of the railway track on the abutment, sub-ballast mats can be employed. At large differences between the track stiffnesses, the complex solution can be applied (see Fig. 5). For zone No. 1 (ballast layer), the superstructure soil can be reinforced by grouting the ballast prism using various types of reinforcement. At the same time, the difference between the subgrade stiffness and the reinforced concrete abutment can be reduced by applying a smooth variation of stiffness achieved by means of multi-deepened reinforcement varying with distance from the abutment. For zone No. 2 (soils of the subgrade working zone), soil reinforcement is performed using the pressure injection of solidifying solutions. The requirement for a smooth variation of stiffness is achieved by varying the reinforcement parameters such as the injection depth. For zone No. 3 (the surface of the reinforced concrete abutment), at an insignificant difference between the stiffnesses of the abutment and the subgrade, sub-ballast mats laid directly onto the reinforced concrete abutment can be used. In this case, the difference between the stiffnesses is reduced due to the increased elasticity of the mat material. On the model of an operated high fill in the zone of adjoint using the complex solution, the following elements are additionally indicated: 1.1 – reinforcing elements made of a solidified injection material; 2 – grouted ballast prism; 3.1 – sub-ballast mats.
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Fig. 5. Model of an operated fill in the zone of adjoint using the integrated solution
Thus, the proposed integrated approach to the design of railway tracks in the zone of subgrade adjoint to bridge abutments consists in the adequate determination of one or several characteristic deformation zones and in the selection of optimal variable-stiffness structures proposed by the present authors.
4 Conclusions Based on the results of the present study, an integrated approach to the design of railway tracks in the zone of subgrade adjoint to bridge abutments is proposed. The advantage of the proposed approach consists in the possibility of solving the posed multi-factorial problem. From the study performed, some other conclusions were also drawn: 1. A three-dimensional model of an operated high fill in the zone of adjoint to bridge abutments was proposed; 2. Numerical modeling using a situation matrix was carried out. Based on the simulated data, characteristic deformation zones were identified and graphs of track-subsidence variation for various situations were plotted. 3. Analysis of track-subsidence graphs for various situations has made it possible to determine the influence of boundary conditions on the amount of track unevenness. It was found that the actual track unevenness length more than two times exceeds the transition-zone length as specified in regulatory and technical documentation. As a result, the transition zone of such length will not completely exclude deformations. The problem under consideration being a challenging one, in our future studies we will address the following issues: – to introduce a criterion for the minimum difference between the track stiffness sufficient for ensuring the functioning of variable-stiffness structures as dependent on the difference between the moduli of elasticity of the subgrade and the reinforced concrete abutment-subgrade support system;
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– to investigate the influence of various combinations of variable-stiffness structures on the difference between the stiffness of railroad tracks laid on the subgrade and on the reinforced concrete abutment; – to identify most suitable materials for preparation of the described variable-stiffness structures; – to evaluate the input reinforcement parameters for structures intended for enhancing the track rigidity; – to experimentally estimate the effectiveness of the described structures using the example of laboratory and field studies.
References 1. Ashpiz, E.S., Zamukhovskiy, A.V.: Subgrade strengthening on the sections for cars interchanging with axle load of 25 T and more. Procedia Eng. 189, 874–879 (2017). https://doi. org/10.1016/j.proeng.2017.05.136 2. Ashpiz, E.S., Mikhalkin, I.K., Simakov, O.B., Zagitov, E.D.: Russian railway infrastructure monitoring using modern multifunctional diagnostic trains. Civ. Comput. Proc. 110 (2016) 3. Park, S., Kim, J.Y., Kim, J., Lee, S., Cho, K.H.: Analysis of dynamic characteristics of deformed concrete slab track on transition zone in high-speed train line according to train speeds. Appl. Sci. 10(20), 7174 (2020) 4. Paixão, A., Varandas, J.N., Fortunato, E.C.: Dynamic behavior in transition zones and longterm railway track performance. Front. Built Environ. 7, 29 (2021) 5. Hu, P., Zhang, C., Chen, S.J., Wang, Y., Wang, W., Duan, W.H.: Dynamic responses of bridge– embankment transitions in high speed railway: field tests and data analyses. Eng. Struct. 175, 565–576 (2018) 6. Yasrobi, S.Y., Ng, K.W., Edgar, T.V., Menghini, M.: Investigation of approach slab settlement for highway infrastructure. Transp. Geotech. 6, 1–15 (2016). https://doi.org/10.1016/j.trgeo. 2015.12.002 7. Claudet, B., Hoang, T., Duhamel, D., Forêt, G., Pochet, J.L., Sabatier, F.: Wave Finite Element Method for computing the dynamic response of railway transition zones subjected to moving loads. In: COMPDYN 2019 (2019) 8. Zhao, C., Wang, P., Yi, Q., Meng, D.: Application of polyurethane polymer and assistant rails to settling the abnormal vehicle-track dynamic effects in transition zone between ballastless and ballasted track. Shock Vib. (2015) 9. Lanis, A.: Results of modeling the behavior of the subgrade with pressure injection of solidifying solutions. In: MATEC Web of Conferences, vol. 239, p. 05006 (2018). https://doi.org/ 10.1051/matecconf/201823905006 10. Lanis, A.L., Razuvaev, D.A., Lomov, P.O.: Deformation properties of a subgrade in structures reinforced with full displacement piles. In: MATEC Web of Conferences, vol. 216, pp. 1–8 (2018). https://doi.org/10.1051/matecconf/201821601006 11. Lomov, P.O., Lanis, A.L., Razuvaev, D.A., Kavardakov, M.G.: Stabilizing subgrades of transport structures by injecting solidifying solutions in cold regions. Sci. Cold Arid Reg. 13(5), 1–9 (2021). https://doi.org/10.3724/SP.J.1226.2021.Stabilizing
Prosecutor’s Supervision over Compliance on Laws on the Implementation of Cargo Transportation by Inland Waterway and Sea Transport Vladimir Tolstolutsky(B)
, Konstantin Gromov , and Anton Obolensky
Volga State University of Water Transport, Nesterova Street, 5, 603600 Nizhnii Novgorod, Russia
Abstract. The Concept of digital transformation of prosecutors is analyzed. The methodological basis of the study was the scientific paradigm developed by the scientific school “Transport law and transport security in the period of digitalization of the Russian economy”. The scientific school has been included since 2017 in the list of scientific schools of the Federal State Budgetary Educational Institution of Higher Education “Volga State University of Water Transport”. The main idea of the research paradigm of the scientific school is the assertion that social relations, including information telecommunication technologies, can be regulated only by digitalized legal mechanisms that are adequate in terms of their level of technological development to the objects of legal regulation. The paper proposes a cybernetic structural and functional model of prosecutorial supervision over compliance with legislation in the implementation of cargo transportation by inland waterway and sea transport. The results of the 8098 control and supervisory measures carried out by the Volga Transport Prosecutor’s Office are analyzed. It is proposed to create a Classifier of violations, allowing to present a list of law violations. The standard formulations of the headings of the Classifier of violations are given, ensured the creation of an electronic database. Keywords: Prosecutor’s supervision · Compliance with legislation · Theoretical and legal foundations · Management theory · Cybernetic model of management · Digitalization of the activities of the prosecutor’s office · Classifier of violations of the legislation
1 Introduction International experience in the implementation of control and supervision functions demonstrates the complexity of their effective organization. Negative aspects are noted, such as the lack of transparency of the control system [1] and an excessive number of checks: the burden on business entities and wholly or partially duplicating checks [2]. There is a lack of clear criteria for the legal regulation of activities, assessing the effectiveness and results of institutions responsible for monitoring compliance with the law [3]. Domestic authors draw similar conclusions [4, 5]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1044–1052, 2022. https://doi.org/10.1007/978-3-030-96380-4_114
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Domestic scientists do not pay enough attention to the problem of prosecutorial supervision over the observance of legislation in the implementation of freight transport by inland waterway and sea transport. The implementation of the legislation on the organized transportation of children by buses was analyzed. The prosecutor’s office is carrying out mass checks was caused by the tragedy in the Nizhny Novgorod region on May 21, 2015. This event forced the state to change the rules for the transport of children. Child transport organizations were forced to comply with stringent requirements, which increased the safety of transporting children. Repeated checks of violations were discovered again. However, the scientists’ proposal concerns changes in federal legislation, not inspection technology. From our point of view, the author identifies two typical problems for implementing prosecutorial supervision over the observance of legislation in the implementation of transportation of various types of transport. The first problem is the provision that the supervisory activity of the prosecutor’s office often replaces poorly implemented state and departmental control over the implementation of the current legislation regulating transportation. The second problem logically follows from the first, and the authors focus on the imperfection of the legislation. On the example of the activities of the Moscow prosecutor’s office, we study the peculiarities of the prosecutor’s response to delays in air passenger flights. The recommendations were also made to improve the regulatory legal regulation, mainly through the detailed consolidation of the procedure for reserving reserve aircraft. We can see, the focus of researchers is constantly shifting to the mechanism of legal regulation, while, from our point of view, the supervisory function of the prosecutor’s office remains out of sight. There is a shift in emphasis in research. There is a substitution of prosecutorial supervision for poorly implemented state and departmental control over implementing the current legislation regulating transportation. It does not allow to fully implement the legal function of the prosecutor’s office on this issue. It seems appropriate to consider such an aspect of prosecutorial supervision, which consists of compliance with the current legislation. Then consider the imperfection of the legislation and formulate proposals for improving the current regulatory legal regulation of the activity of transportation by this or that transport. Without solving general issues, it is impossible to solve the particular problems of prosecutorial supervision over compliance with legislation in transportation by various modes of transport. Therefore, the purpose of our publication was a theoretical and legal understanding of the place of prosecutor’s supervision over compliance with legislation in the implementation of transportation by various modes of transport in the system of legal regulation in the context of digitalization. The hypothesis of our research is the presentation of the mechanism of prosecutorial supervision over compliance with legislation in the implementation of freight transport by inland waterway and sea transport in the form of a structural and functional cybernetic model. It consists of two feedback loops. The two-circuit model of prosecutorial supervision over the observance of legislation is determined by the law of the necessary diversity of the governing system. Each control loop regulates the sides of the control object, which is carrying out cargo transportation by inland waterway and sea transport.
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The need to find a theoretical basis for the powers of the prosecutor is noted in studies. Seyidov V.O. raises the question of the possibility of improving the theoretical and legal basis of the practice of prosecutorial supervision [6]. This problem was formulated but did not receive its further development. In response to the digitalization of the domestic economy, the General Prosecutor’s Office of the Russian Federation in September 2017 approved the Concept of Digital Transformation of Bodies and Organizations of the Prosecutor’s Office until 2025. One of the tasks is the automated detection of violations in big data, increasing the validity of decisions made as part of the implementation of supervisory functions and the automated preparation of recommendations for eliminating violations. We believe that the solution of the assigned tasks cannot be achieved only through technological improvements. A necessary condition for digitalization is the development of the theoretical and legal basis of prosecutorial supervision, coupled with technological changes in the supervisory activities of the prosecutor’s office. The prevailing direction in the development of digitalization of the supervisory function after the publication of the Order of the Prosecutor General’s Office of Russia N 627 is the criminal law vector. We conclude that the theoretical and legal issues of digitalization remain insufficiently studied in the prosecutor’s functions. The study’s relevance is the use of the method of moving from the general to the particular, from cybernetic modeling of management to the model of the supervisory functions of the prosecutor’s office. It allows us to solve the problem of informatization of the supervisory functions of the prosecutor’s office over compliance with the law in the implementation of transportation by various types of transport.
2 Materials and Methods The modern concept of “ComputerScience - computer science” includes research methods that are a cybernetic method, a method of using information technology, and mathematical modeling. The research methods developed in the theory of state and law were used. The listed methods make it possible to study the patterns of formation and history of transport law and changes in legal transport relations and transport security during the Russian economy’s digitalization. Theoretical and legal research using the above methods allows us to simulate the mechanism of legal regulation using a cybernetic scheme and to present a structural model of the mechanism for implementing the supervisory functions of the prosecutor’s office over compliance with the law in the implementation of transportation by various types of transport. In addition, it allows using quantitative methods and an adequate mathematical apparatus to describe this model. The research uses the primary term of the scientific school - “convergent legal concepts. “The term “convergent legal concepts” is understood as legal concepts, and by the mechanism of functioning in digital legal proceedings act as ontologies - accessible and “understandable” to other programs and people. The approach used differs from coding laws by developing a high-level computer programming language specific to the subject area [7].
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3 Results Trofimov E.V., Metsker O.G. consider the founder of the scientific direction of using computer methods and systems in the study of law Lee Lowenger. In 1949 he formulated the idea that using scientific methodology, including the cybernetic approach, would be the next step in the development of law [8]. The authors note that the introduction of computer methods and information systems into the subject area of law, which received the name of legal (legal) cybernetics in domestic law, and “juscybernetics” abroad, included cybernetic legal models. The authors summarize the need to understand the primary scientific advances formulated at the intersection of computer science and legal science. The analysis of legal texts is being developed by the methods of semantic models [9] and convolutional neural networks (CNN) [10], as well as machine learning [11]. All legal research publications come from Wiener’s work with a feedback loop. N. Wiener’s research simplifies Anokhin’sP.K. ideas, which were formulated in 1925–1946 [12]. N. Wiener considers in a simplified way the control loop outside the system in which it operates. The subject of supervision is part of a more general system. The supervisory function is regulatory about legal regulation; as a result, another control loop appears (Fig. 1).
Fig. 1. The place of prosecutor’s supervision in the mechanism of legal regulation of legal relations.
Figure 1 show the control circuit contains two closed-loop loops, one of which acts as a superstructure for the loop nested in it. The cybernetic model of prosecutorial supervision proposed by us allows us to concretize prosecutor’s supervision, which it occupies in the mechanism of legal regulation of legal relations. The cybernetic model proposed by us has theoretical and legal significance. Through the model, it becomes possible to display the theoretical and legal aspects of legal regulation in the mechanism for implementing the supervisory functions of the prosecutor’s
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office over compliance with legislation in the implementation of transportation by various types of transport. Figure 1 allows us to show the hierarchy of these relations. An arrow leads from each control loop, indicating the result of the control system operation. The system assesses the state of compliance with legislation in the implementation of transportation by various modes of transport. The two-circuit model proposed by us develops the semantic side of the modeling method in legal cybernetics by highlighting the structural components of the legal regulation system and describing the functional links between them. In the diagram shown in Fig. 1 of the model, we used the idea of a nested contour for the structural and functional separation of the mechanism of legal regulation carried out by government bodies and prosecutorial supervision.
4 Discussion The appeal to the ideas of legal cybernetics is becoming more and more active. But not all publications use the method of structural-functional modeling characteristic of cybernetics. Interesting is the work of D.A. Lovtsov, who developed the methodology of the cybernetic approach in legal research. This publication is completely correct as one of the methodological principles of cybernetic modeling of legal systems. He uses the law of necessary diversity formulated by WR Ashby [13]. Turning to the formulation of the law in Eshbima W.R., we meet the position: “Only diversity can destroy diversity. “Ashby formulated a law that expresses the ratio of the diversity of states of the control object and the diversity of the control system to which it can react in the course of control. The law is called “the law of necessary diversity”, because effective governance is achieved only when the proposed structural model of supervision can act as a starting point in setting the task of digitalizing prosecutorial supervision. Using the common aspects of the mechanisms of control and supervision, we propose to use the approach in setting the task of automating control functions, proposed in the work on the audit [14]. Zubkova A.A considered the external state audit from the point of view of a loop with feedback. It uses the Classifier of violations detected in the course of external governmental audit (control) approved on December 18, 2014 by the Board of the Accounts Chamber of the Russian Federation. The author sees the positive aspects of the Classifier in the possibility of creating on its basis an applied tool that allows diagnostics of audit objects. The calculations are based on the indicators that are given in the existing Classifier of violations. The indicators were: “type of violation,” “legal basis for qualifying violations,” “group of violations,” “measure of responsibility,” “unit of measurement,” including the numerical and monetary formats. The type of violations is arranged in columns, allowing the creation of a formalized mechanism for accounting for violations identified during the audit (Table 1). We consider it expedient to transfer the control scheme developed for the audit to the prosecutorial supervision mechanism. In order to analyze the control and supervisory measures (after this referred to as KNM) carried out by the Volga Transport Prosecutor’s Office, we requested information on 8098 measures. The document “Classifier of PNSP violations” was created as an analysis tool.
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Table 1. Names of columns in the classifier of violations identified in the course of an external governmental audit. Point Type of breach
Legal Unit of Group basis for measurement of a qualifying breach a breach
Measure of Damage Calculation responsibility of the amount by consequence
Violations during the formation of budgets 1.1.1 Violation P. 2 si. of the 92.1 order and timing of drawing up and submitting draft budgets
Quantity 1
The classifier of violations, formalizing violations identified in the course of control and supervision activities, includes: “type of violation,” “legal grounds for qualifying the violation,” “group of violation,” “measure of the prosecutor’s response” [15] (Table 2). Table 2. Violations identified in the course of control and supervision activities. Point The purpose of the control and supervision activities
Type of breaches detected
Legal grounds for identifying the type of breaches of the law
Legal basis Group of for breaches qualifying a breach
Prosecutor’s response
Breaches identified in the course of control and supervision activities 11.1
Supervision over the implementation of legislation
Failure to comply with the instructions of the state supervision authorities
Article 19. Violation of legislation on the safety of hydraulic structures (On the safety of hydraulic structures “N 117-FZ)
Legislation Hazardous Submission in the field operation on of safe elimination operation of of violations port of the law hydraulic structures in accordance with No. 24-FZ
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The proposed Classifier of violations requires further improvement. However, even in this form, it makes it possible to formalize the violations identified in the control and supervisory measures and compare them with the measures of the prosecutor’s response.
5 Conclusions Comparison of the stated goals in the Concept of digital transformation of prosecutorial bodies and organizations until 2025 and the content of scientific publications released after the issuance of the order by the General Prosecutor’s Office on digital transformation reveals a lack of research in the development of theoretical and legal foundations for digitalization of prosecutorial activities in the field of supervision. Without solving general issues, it is impossible to resolve issues of a private nature successfully. In this work, we focused our efforts on developing a theoretical and legal basis for using the achievements of Computer Science in legal research. The goal of creating digitalized legal mechanisms that are adequate in terms of their level of technological development to objects of legal regulation. At the same time, we proceeded from the goals and objectives of the digital transformation of the bodies and organizations of the prosecutor’s office of the Russian Federation to create conditions for the operational implementation of supervisory functions and the formation of high-tech supervision systems by introducing modern information technologies for processing primary information in all types of supervisory activities. The cybernetic method acted as a research tool that allowed us from a unified position, namely the general theory of management, to consider legal regulation and cybernetic structural and functional models of legal systems, particularly prosecutorial supervision. As a result of the study, we concluded that the cybernetic approach and cybernetic modeling serve as the basis for improving the theoretical and legal basis of digitalization of high-tech prosecutor’s supervision. We have proposed a two-level cybernetic model to implement prosecutorial supervision over compliance with legislation in the implementation of cargo transportation by inland waterway and sea transport. The analysis of the applied aspects of the model allows us to confirm the correctness of the hypothesis of our study that the mechanism of prosecutorial supervision over compliance with the legislation in the implementation of freight transport by inland waterway and sea transport is adequately represented in the form of a structuralfunctional cybernetic model consisting of two loops with feedback. The first control loop controls state bodies, for example, by Rosnadzor, and the second is the prosecutor’s supervision. The two-circuit model of prosecutorial supervision over compliance with legislation is determined by the law of the necessary diversity of the control system. Each control circuit regulates the sides of the control object, which is carrying out freight by inland waterway and sea transport. With the use of joint parties in the mechanisms of control and supervision, we proposed to use the statement of the problem similar to the creation of methods for conducting an audit. In particular, to carry out prosecutorial supervision over compliance with the legislation in the implementation of cargo transportation by inland waterway and sea transport, it is advisable to create a Classifier of detected violations. Based on the analysis of 8098 control and supervisory measures carried out by the Volga Transport Prosecutor’s Office, the headings of the Classifier of violations were
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proposed, including: “type of violation,” “legal basis for qualifying violations,” “group of violations”; “Measure of the prosecutor’s response.“ Such a classifier will ensure that the diversity of the control object is calculated in bits and the classification of measures of prosecutorial supervision - to assess the diversity of the control system. It is advisable to create a system that combines classifiers used for control bodies and prosecutors’ offices - the so-called supervisory classifiers, which will quantify the implementation of the law of the necessary diversity for the system of compliance with legislation in the implementation of freight transport by inland waterway and sea transport.
References 1. Blanc, F.: Inspection Reforms: Why, How, and with What Results. OECD Publishing House (2012). http://www.oecd.org/regreform/Inspection%20reforms%20-%20web% 20-F.%20Blanc.pdf 2. OECD: Regulatory Enforcement and Inspections. OECD Best Practice Principles for Regulatory Policy (2014). http://dx.doi.org/ 3. K˛estutis, V.J.: Supervision and control of the implementation of the law on the coordination of public and private interests in civil service: problematic aspects. Public Policy Adm. 17(1) (2018). https://doi.org/10.5755/j01.ppaa.17.1.20616 4. Patrushev, N.A.: The place and role of prosecutorial supervision over the implementation of laws by bodies carrying out operational-search activities in the law enforcement system. Law Law 67(7), 155–157 (2019). https://doi.org/10.24411/2073-3313-2019-10320 5. Ivanov, P.I.: Regularities of prosecutorial supervision over the implementation of laws by bodies carrying out operational-search activities. Legislative Law 11, 150–152 (2019). https:// doi.org/10.24411/2073-3313-2019-10531 6. Seyidov, V.O.: To the question of the theoretical foundations of the powers of the prosecutor to supervise the execution of laws. Quest. Rus. Int. Law 10(1A), 388–394 (2020). https://doi. org/10.34670/AR.2020.92.1.047 7. Zenin, S.S., Kuteinikov, D.L., Izhaev, O.A., Yapryntsev, I.M.: Law making in the conditions of algorithmization of law. Lex Russica 7, 97–104 (2020). https://doi.org/10.17803/17295920.2020.164.7.097-104 8. Trofimov, E.V., Metsker, O.G.: The use of computer methods and systems in the study of law, intellectual analysis and modeling of legal activity: a systematic review. Proc. ISP RAS 32(3), 147–170 (2020) https://doi.org/10.15514/ISPRAS-2020-32(3)-13 9. Maurushat, A., Moses, L.B., Vaile, D.: Using “big” metadata for criminal intelligence: understanding limitations and appropriate safeguards. In: Proceedings of the 15th International Conference on Artificial Intelligence and Law ICAIL 2015, pp. 196–200 (2015) 10. Zhong, L., Zhong, Z., Zhao, Z., Wang, S., Ashley, K.D., Grabmair, M.: Automatic summarization of legal decisions using iterative masking of predictive sentences. In: Proceedings of the 17th International Conference on Artificial Intelligence and Law ICAIL 2019, pp. 163–172 (2019) 11. Ashley, K.D., Walker, V.R.: Toward constructing evidence-based legal arguments using legal decision documents and machine learning. In: Proceedings of the 14th International Conference on Artificial Intelligence and Law ICAIL 2013, pp. 176–180 (2013) 12. Lapkin, M.M., Kiryushin, V.A., Kozeevskaya, N.A.: P.K. Anokhin is the founder of theory of functional systems (to 120th birthday anniversary of academician Pyotr Kuzmich Anokhin). I.P. Pavlov Med. Biol. Her. 26(1), 47–58 (2018). https://doi.org/10.23888/PAVLOVJ20182 6147-58
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13. Ashby, R.W.: Mechanisms of Intelligence: Ashby’s Writings on Cybernetics. Seaside, California: Intersystems Publications (1981). https://www.amazon.com/Mechanisms-IntelligenceAshbys-Writings-Cybernetics/dp/0914105043 14. Andrey Ostroukh, A., Andrey Ivakhnenko, A., Nikita Krupensky, N.: Development of processoriented system for operational control of freight forwarding activity. J. Appl. Sci. (JAS) 14(20), 2601–2607 (2014). https://doi.org/10.3923/jas.2014.2601.2607 15. Dandurand, Y.: The role of prosecutors in promoting and strengthening the rule of law. Crime Law Soc. Change 47(4), 247–259 (2007). https://doi.org/10.1007/s10611-007-9070-8
Relevance of Risk Assessment of Lifting Cranes Operation Lyudmila Pakhomova , Natalia Tkalenko(B)
, and Vera Sharutina
Siberian State University of Water Transport, Schetinkina Street, 33, Novosibirsk, Russia
Abstract. The risk assessment of lifting cranes operation should be considered together with ensuring the safe operation of the entire production facility. The primary information of the experts is recorded in a specially developed questionnaire. For the convenience of the experts’ work, it is advisable to list in the questionnaire the most complete nomenclature of potential defects that are recorded during expert diagnostics. By making decisions on risk reduction and hazard assessment, it is possible to choose one of the alternative solutions, based on qualitative methods. In addition to them, quantitative assessments should also be applied, as far as possible, in order to determine rational protection against hazards. Depending on the type of cranes for their intended purpose, it is necessary to consider maintenance and repair of machines, inspection and testing. However, despite the fact that the training of personnel, experience and qualifications may affect the risk, they are not decisive and the use of constructive measures to improve safety is required. During assessing risks, it is necessary to take into account any information about failure event, accidents, the nature of malfunctions and failures of machines, along with information from the expert group by performing quantitative and qualitative methods of expertise. The method of expert assessment of the technical condition of the crane allows you to get express assessments of technical risks during operation and the failures of technical systems caused by them. The assessment’s accuracy of the occurrence of possible risks is increased by improving the methods of examination. Keywords: Lifting cranes · Methods · Analysis · Risks · Hazards · Defect · Operation · Expert assessment
1 Introduction The risk assessment of lifting cranes operation should be considered together with ensuring the safe operation of an entire production facility where a complex of various equipment is used. In this case, the risk analysis of the functioning of the production facility will include consideration of a complex of hazards that affect each other [1–3]. Under this approach, risks are not only possible hazard reasons for working people, but also manifest themselves in damage to property and the environment. Risk analysis should be carried out at all stages of the crane’s life cycle from design to decommissioning. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1053–1059, 2022. https://doi.org/10.1007/978-3-030-96380-4_115
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The permissible risk for the equipment is determined during its design. If it is technically impossible or economically inexpedient to ensure an acceptable risk, the manufacturer must clearly indicate the conditions for using cranes [4]. The risk analysis, subject to expert diagnostics of the technical condition of the crane, is determined by the regulatory and administrative documentation of the Federal Service for Environmental, Technical and Nuclear Supervision. The proposed material for analyzing the risks of operating lifting crane meets the requirements of changes in the legislative and regulatory framework.
2 Materials and Methods The operation stage of cranes includes not only their intended use, but also their maintenance and repair, including modernization. To reduce the risk after major repairs and reconstruction of any element of the crane, a risk assessment should be carried out, the value of which should not be higher than the permissible [5, 6]. In many cases, risk assessment is possible only by qualitative methods, as there are not enough statistical data or they are not available at all to determine quantitative indicators. In this case, the assessment depends on subjective decisions that should be based on common sense. In such studies, it is advisable to use the method of expert assessments. Expert groups should be formed from specialists who know the design features of cranes, the technology of their use during operation, as well as those engaged in design, testing and installation, including those responsible for maintenance, repair and safety of work [1, 7]. The primary information of the experts is recorded in a specially developed questionnaire. For the convenience of the work of experts, it is advisable to list in the questionnaire the most complete nomenclature of potential defects that can be fixed during expert diagnostics. Questions can be evaluated: – qualitatively, i.e. “plus” if it can lead to negative consequences, or “minus” if the consequences are absent or insignificant; – quantitatively in relative units. Here you can rank the answers in points. At the same time, the effect of the defect on the amount of damage is estimated from 1 to 100% or on the amount of the estimated economic damage in value terms; – it is possible to estimate in points the expected impact of the consequences of the occurrence of crane defects on the people’s health and life of both servicing the machine and getting into the zone of its operation [8]. The form of the questionnaire is accepted convenient for the work of experts. The assessment of the adequacy of the results of the work of experts can be determined by the number of matching answers or the interval of their dispersion, which determines the importance of a particular factor of the determined indicator. The list of potentially possible defects, for which the experts did not come to an agreed conclusion about the presence or absence of their influence on causing damage to the crane and cargo itself, or traumatic effects on a person, is interesting to analyze.
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During operation, the hazard of risks is constantly present due to the presence of moving elements, electric shock, inconvenience of working positions, noise levels, temperature differences, overloads, low stability [9, 10]. By making decisions on risk reduction and hazard assessment, it is possible to choose one of the alternative solutions based on qualitative methods. In addition to them, quantitative assessments should also be applied, as far as possible, in order to determine rational protection against hazards. Statistical data on the frequency of manifestation of a defect, detected during analyzing the survey sheets of the examined group of cranes, is used to assess its manifestation for a certain time period. It is proposed to use a calendar year as the time interval [8]. An approximate estimate of the defect probability is the weighted average of the technical risk during operation. pij ≈
l=L 1 cr nij Lcr Tl l=1
where Lcr is the total number of examined cranes; Tl – the time interval, expressed in calendar years, between two diagnostic examinations of the l – crane; nij - the number of times the ij – defect occurred during the time interval Tl . Under this approach, the following algorithm for assessing the risk and ways of its reducing is possible (Fig. 1). Depending on the type of cranes for their intended purpose, it is necessary to consider maintenance and repair of machines, inspection and testing. However, despite the fact that the personnel training, experience and qualifications may affect the risk, they are not decisive and the use of constructive measures of higher safety is required. The organization of work, the application of remedies should be taken into account during assessing the risk and depend on the design features. It should be taken into account, if protective measures are ineffective, then people can start bypassing them. Therefore, the anthropogenic factor should always be taken into account. During assessing risks, it is necessary to take into account any information about failure event, accidents, the nature of malfunctions and failures of machines, along with information from the expert group by performing quantitative and qualitative methods of expertise. During determining the risk elements of the examined crane, statistical data and practical experience of using such machines should be used. At the same time, any recorded influences of people, property, and the environment on the technical condition of the examined crane elements, as well as the causes of their natural, technological or anthropogenic origin, should be taken into account. During assessing the danger level in service, in addition to the direct use of cranes for their intended purpose, it is necessary to consider the inspection and repair of machines, inspections and tests. The occurrence of operational hazards may be influenced by the personnel training, work experience, qualifications, but they are not decisive. The impact of certain crane malfunctions on the safety of maintenance workers, located in the area of its operation, according to experts, should be attributed to the most socially dangerous one. These include failures of safety devices, electrical equipment, unacceptable deformation of metal structures, wear and tear of articulated joints and damage of haulage line, requiring its immediate replacement [11–13].
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Fig. 1. Risk assessment algorithm
The crane mechanisms that ensure its movement in the vertical and horizontal planes, participate in the implementation of the required trajectory of shifting cargo. The engines of the mechanisms for ensuring the required trajectory operate in the modes of start, steady motion, braking and pauses, alternating with each other. Dynamic loads arising from unsteady movement of mechanisms additionally load crane motors. The greatest dynamic loads on the engine of the lifting mechanism are created when the load is lifted off the ground at a lifting speed equal to the nominal, whereas it is necessary to take into account the flexibility and length of the suspension devices. Horizontal shift cargo is provided by mechanisms for turning and changing the boom length. Horizontal dynamic loads are determined by the smoothness of acceleration, the characteristics of the load suspension, the speed and direction of the wind [10]. The considered combination of loads and the operation cycle of cranes are characteristic of the repeated-short-term operation mode of mechanisms with alternating periods of unsteady, steady operation of electric motors and pauses by blackout from the mains. Moreover, during operation, the engine does not have time to heat up to the set temperature, and during pauses to cool down to the ambient temperature. During overloading of large break-bulk cargos, containers and by working with grabs of metal structures, for example, portal cranes and their mechanisms experience significant additional loads in the horizontal plane due to the deviation of the haulage lines from the vertical.
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When cranes are operating in ports, wind loads are added to the horizontal dynamic loads. This combination of loads mainly affects the performance indicators and durability of machines, increasing the rate of wear, the results of which are manifested in fatigue failures. Proper consideration of the additional loads transmitted by haulage lines is aimed at reducing the risk of hazards associated with machine failures. During the operation of portal cranes with a large length of suspension tow ropes, as a result of the appearance of horizontal loads, low-frequency slowly damping vibrations occur on the load in different directions. When turning, all the loads can be summed up. When reloading containers, when it is possible the center-of-gravity shift of the load, it is necessary to take into account additional loads associated with the redistribution of forces in the tow ropes. Some of these defects can lead to severe injuries and even death. After eliminating the hazards associated with these factors, a constructive safety solution will be required.
3 Results Risk analysis during the operation of a lifting crane requires the following actions: – – – – – –
justification of acceptable risk; identification of possible hazards during the operation of the crane; organization of an expert group; analysis of primary conclusions based on expert questionnaires; development of recommendations for reducing hazards; management of probable operational risks.
The organization of work, the application of remedies should be taken into account by assessing the risk together with the design features. It should be borne in mind that if the protection measures are ineffective, then people may start ignoring them, that is, the anthropogenic factor should always be taken into account [14]. The crane is delivered to the user accompanied by operational documentation containing rules of use and warnings about risks. After taking constructive measures and equipping with safety devices, the requirements for personnel are also taken into account and recommendations for the prevention of hazards are formulated. When developing recommendations, the following factors are taken into account: – – – – – –
statistics of crane failures; danger of the production environment; similar experience of cranes; technical condition of the lifting crane; erroneous actions of the operator during control; data on accidents.
Risk reduction in the operation of cranes is based on the identification of all possible hazards associated with the likely predictable misuse of the machine or restriction in its use.
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4 Discussion The proposed risk assessment algorithm is not mandatory. It can be modified depending on the operating conditions, the features of the equipment designs, the quantitative and qualitative composition of experts. It is possible to start the work of the expert commission with an analysis of any proposed options for organizing work. Another object of discussion for experts is the structure of questionnaires and the differentiation of the recorded characteristics into qualitative and quantitative ones. It seems that a broad discussion of experts on the proposed issues can reveal new characteristics of operational risks and allow for a more accurate quantitative assessment of the objective technical condition of the examined equipment. It seems interesting, in addition to experts, to attract any specialists for filling out special questionnaires, who are located in the crane operation zone. Competent development of questionnaires for this category of observers can allow identifying risks that the expert might not have noted. The opinion of an additional observer may allow for a different assessment of factors that for some reason were not attributed to risk. Such an assessment technique can expand the capabilities of the expert assessment method.
5 Conclusions The information for users covers the entire life cycle of the crane from transportation to the facility, installation, commissioning to disposal [15]. The method of expert assessment of the technical condition of the crane allows you to get express assessments of technical risks during operation and the failures of technical systems caused by them. The probability of failures and associated economic losses is a consequence of the manifestation of characteristic defects in metal structures, mechanisms, safety systems and electrical equipment of cranes. It is possible to increase the accuracy of the risk assessment by improving the survey methods, including optimizing the selection of experts, and increasing the volume of the fleet of examined equipment and, as a result, increasing the volume of primary information. Continuous improvement of the mechanical design and drives of reloading equipment, the use of new types of mechanical gears, drive control systems, remote control systems, increases the role of expertise of the technical condition of reloading equipment and actualizes the issue of assessing, reducing risks and its failures.
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5. Szpytkoand, J., Duarte, Y.S.: Integrated maintenance platform for critical cranes under operation: database for maintenance purposes. IFAC-PapersOnLine 53, 167–172 (2020). https:// doi.org/10.1016/j.ifacol.2020.11.027 6. Kulka, J., Mantica, M., Faltinova, E., Molnar, V., Fedorko, G.: Failure analysis of the foundry crane to increase its working parameters. Eng. Fail. Anal. 88, 25–34 (2018). https://doi.org/ 10.1016/j.engfailanal.2018.02.020 7. Sadeghi, S., Soltanmohammadlou, N., Rahnamayiezekavat, P.: A systematic review of scholarly works addressing crane safety requirements. Saf. Sci. 133, 105002 (2021). https://doi. org/10.1016/j.ssci.2020.105002 8. Raviv, G., Shapira, A., Fishbain, B.: AHP-based analysis of the risk potential of safety incidents: case study of cranes in the construction industry. Saf. Sci. 91, 298–309 (2017). https:// doi.org/10.1016/j.ssci.2016.08.027 9. Lanzutti, Magnan, M., Maschio, S., Fedrizzi, L.: Failure analysis of a safety equipment exposed to EAF environment. Eng. Fail. Anal. 95, 107–116 (2019). https://doi.org/10.1016/ j.engfailanal.2018.09.001 10. Lee, S.-J., Kang, J.-H.: Wind load on a container crane located in atmospheric boundary layers. J. Wind Eng. Ind. Aerodynamics 96, 193–208 (2008). https://doi.org/10.1016/j.jweia. 2007.04.003 11. Cekusand, D., Kwiato´n, P.: Effect of the rope system deformation on the working cycle of the mobile crane during interaction of wind pressure. Mech. Mach. Theory 153, 104011 (2020). https://doi.org/10.1016/j.mechmachtheory.2020.104011 12. Pu, H., Xie, X., Liang, G., Yun, X., Pan, H.: Analysis for dynamic characteristics in loadlifting system of the crane. Procedia Eng. 16, 586–593 (2011). https://doi.org/10.1016/j.pro eng.2011.08.1128 13. Yao, J., Qiu, X., Zhou, Z., Fu, Y., Xing, F., Zhao, E.: Buckling failure analysis of all-terrain crane telescopic boom section. Eng. Fail. Analy. 57, 105–117 (2015). https://doi.org/10.1016/ j.engfailanal.2015.07.038 14. Raviv, G., Fishbain, B., Shapira, A.: Analyzing risk factors in crane-related near-miss and accident reports. Saf. Sci. 91, 192–205 15. Ramli, L., Mohamed, Z., Abdullahi, A.M., Jaafar, H.I., Lazim, I.M.: Control strategies for crane systems: a comprehensive review. Mech. Syst. Signal Process. 95, 1–23. https://doi.org/ 10.1016/j.ymssp.2017.03.015
Evaluation of the Technical Condition of the Combined Drives of Self-propelled Jib Cranes Lyudmila Pakhomova , Natalia Tkalenko(B)
, and Vera Sharutina
Siberian State University of Water Transport, 33, Schetinkina Street, Novosibirsk, Russia
Abstract. Self-propelled jib cranes are widely used in loading and unloading, construction and erection works. Technical emergencies may occur during their operation. The reasons for that may be non-hermetisity of hydraulic systems and leakage of the hydraulic fluid. Combined diesel-electrohydraulic drives are the main ones in modern self-propelled cranes on an automobile, rubber-tired or caterpillar engine. The hydraulic scheme of the combined drive contains many elements connected in tandem: pumps, hydraulic motors, hydraulic cylinders, control valves, hydraulic valves, metering valves, filters and accumulators. The safe operation of self-propelled cranes is largely determined by the combined operation of the drive, which produces, converts and transmits various types of energy. Most methods of monitoring the technical condition of machines during operation and repair require partial or complete disassembly, which violates the existing run-ins and, as a result, increases the rate of wear and acceleration of the occurrence of failures. Non-destructive testing methods are used to avoid unjustified disassembly, which include vibration diagnostics. For accurate detection of rapidly developing partial defects, it is convenient to use a discrete wavelet transform. This approach makes it possible to increase the role of the dynamic characteristics of the signal and reduce the time of computer processing of information. The processing accuracy does not depend on the change in the amplitude characteristics of the signal, as the analysis is weakly sensitive to noise. This makes it possible to detect any single defects at the moment of their occurrence. In practice, the use of damage localization methods can reduce the time and complexity of tests and increase the objectivity of their results. Keywords: Combined diesel-electrohydraulic drives · Defect · Vibration signal · Evaluation of the technical condition · Discrete wavelet transform
1 Introduction Self-propelled jib cranes are the main means of mechanization of loading and unloading, construction and erection works in the absence of fixed lines of power transmission and when it is impossible or impractical to install crane rails. They are especially popular where the mobility of equipment and its independence from energy sources is necessary. The cranes have an autonomous drive, are characterized by a large load capacity, high © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1060–1066, 2022. https://doi.org/10.1007/978-3-030-96380-4_116
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maneuverability and easy relocation from object to object. They can work with all known load-grabbing devices. At the same time, self-propelled cranes are objects of increased danger. Technical emergencies may occur during their operation. The reasons for that may be non-hermetisity of hydraulic systems and leakage of the hydraulic fluid. Analysis of operational failures of hydraulic systems, forecasting the probability of their occurrence by using dismountable diagnostic tools for the technical condition of machines, is a reserve for improving the efficiency of using equipment. The expediency of using signals from complex mechanical systems (dieselelectrohydraulic) for analysis is considered in this work, when it is necessary not only to list their characteristics, but also to process time-unstable and inhomogeneous signals, the necessary mathematical tool is wavelet analysis. In the practical use of the wavelet transform, discrete wavelets are used. Discrete wavelets lead ordinary ones to a more accurate representation of the signal, especially if you have to resort to the compression and reverse recovery procedure. It is difficult to avoid such a procedure, examining the processes occurring in complex systems, by using non-destructive testing methods.
2 Materials and Methods The drive of self-propelled cranes consists of an energy source, an energy transmission device and control gear. The power source is a diesel engine. Depending on the power transmission device, there are different types of self-propelled crane drives: – mechanical; – hydro-mechanical is a mechanical drive with a torque converter; – combined, when an electric generator is powered from a diesel engine, which is a power source for the hydraulic drive of working movements. Combined diesel-electrohydraulic drives are the main ones in modern self-propelled cranes on an automobile, rubber-tired or caterpillar engine. The hydraulic scheme of the combined drive contains many elements connected in tandem: pumps, hydraulic motors, hydraulic cylinders, control valves, hydraulic valves, throttling valves, filters and accumulators. If we consider the drive as a whole from the prime mover to the actuating motor, including protective devices and control gear, then they have mechanical connections (socket joint) or hydraulic (pipelines) [1, 2]. The safe operation of self-propelled cranes is largely determined by the combined operation of the drive, which produces, converts and transmits various types of energy. The schematic diagram of the hydraulic drive is shown in Fig. 1.
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Fig. 1. Schematic diagram of the hydraulic drive: 1-double-acting hydraulic cylinder; 2distributor with electromagnetic control; 3-pressure gauge; 4-safety valve; 5-volumetric pump; 6-accumulator; 7-adjustable throttling valve
The power chain includes various translational and rotational masses working cyclically. Periods of acceleration, steady motion, braking and pauses constantly alternate during the work cycle. Each period of the working cycle is characterized by variable frequencies of mechanical vibrations of various masses. The greatest danger is represented by low-frequency forms of vibrations. Any operational defect that appears in a complex circuit can lead to a malfunction of the crane at the output or create an emergency situation. Health assessment of individual drive elements of the reloading equipment is necessary to improve the operation‘s efficiency and safety of reloading equipment. Most methods of monitoring the technical condition of machines during operation and repair require partial or complete disassembly, which violates the existing run-in and, as a result, increases the rate of wear and acceleration of the occurrence of failures. To avoid unjustified disassembly, non-destructive testing methods are used, which include vibration diagnostics. The vibration signal, which can be removed without disassembly from the hulls of the prime diesel engine and the generator, hydraulic pump, actuating hydraulic motors of working movements connected to it in tandem, gives fairly complete information about the technical condition of the entire system. Vibroacoustic diagnostics provides not only information about the condition of the object under study, but also detects a defect at an early stage, which allows you to adjust operational loads and plan work to restore operability.
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Any defect changes the dynamic characteristics of the object under study. Methods of mathematical modeling or recording of the vibration signal are used to identify defects. There are the following information processing strategies: – modeling of the entire mechanical system by the finite element method. The model simulates several malfunctions and the obtained results are compared with experimental data [1, 2]; – signal processing methods are selected, which are used to determine the presence of defects [3, 4]. This method is well suited for solving problems using the apparatus of expert assessments; – analysis of nonsteady nonstationary signals, which is used to assess the technical position of engines [5, 6]. To estimate deviations in the operation of mechanical systems, as a rule, the Short Time Fourier Transform, the Wigner distribution and the continuous wavelet transform are used. For high-quality finding of rapidly developing single defects, it is convenient to use a discrete wavelet transform. The wavelet analysis is characterized by a good time resolution during providing the required frequency resolution. It does not depend on changes in signal amplitudes. This makes it possible to fix single defects at the stage of their occurrence. The wavelet transform of a one-dimensional signal is its image in the form of a generalized series or Fourier integral over a system of basic functions, built from the parent wavelet (t). 1 t−b , (1) ψa,b (t) = √ ψ a a where a is the parameter of the time scale; b is the parameter of the shift along the time axis; √1 is a multiplier that ensures the independence of the norm of these functions from a the scaling number a. The continuous (integral) wavelet transform of the signal S (t) (Fig. 1) is described by the expression: t−b 1 ∞ WS (a, b) = S(t), ψa,b (t) = √ ∫ S(t) · ψ dt, (2) a a −∞ where Ws(a,b) is the wavelet spectrum of the signal, is a function of two arguments: the first argument a, (time scale) is similar to the oscillation period, and the second b is similar to the signal bias along the time axis. A discrete wavelet transform can be used to determine unsatisfactory operating conditions of the drives and reliably confirm the rapidly developing local defects of its elements. The main idea of using wavelets is to represent signals at various stages of decomposition. The decomposition method is the distribution of the signal (S) into an approximating group (An), with a slow time dynamics of changes, and a detailing group (Dn) with a fast and smooth dynamics, which allows splitting and detailing the signal at subsequent stages (Fig. 2).
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The wavelet coefficients can be calculated using the fast wavelet transform procedure. In this case, if necessary, you can discard an insignificant part of the data. Accurate execution of the procedure allows not only to smooth out statistical errors, but also to significantly reduce the signal processing time [7–10].
Fig. 2. Signal decomposition tree
3 Results Studies by various authors have shown that with a constant change in the analyzed characteristics, significant computing power is required to calculate the wavelet spectrum. Therefore, the proposed signal sampling is mandatory to assess the technical position of combined drives, if it maintains the ability to restore the signal. The discrete wavelet transform makes it possible to increase the signal role of the dynamic characteristics and reduce the time of computer processing of information. The analysis does not depend on changes in the amplitude characteristics of the signals and makes it possible to detect any single defects at the time of their occurrence. General rules for studying changes in complex signals of nonlinear processes of various nature has high reliability during using wavelet analysis [11–16]. The application of the considered damage identification device is convenient for analyzing the technical position of complex branched systems, which include a dieselelectrohydraulic drive.
4 Discussion The need to use methods of non-disassembly diagnostics of complex technical systems, which include combined drives of reloading machines, it is a fact that does not require
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proof. The resulting response of dynamic characteristics objectively characterizes the actual technical condition. The advantages of the discrete wavelet transform for signal processing are considered in detail in this work. This does not mean that a continuous wavelet transform cannot be used for similar problems. If the researcher sets other goals for using the results of data processing, then a continuous wavelet transform will be preferable for him. Especially if the researcher has good computing power and is not limited by the time of obtaining results.
5 Conclusions The practice of operating a combined hydraulic drive of self-propelled cranes makes it necessary to study complex dynamic processes. The use of a discrete wavelet transform in the analysis of non-stationary vibration signals generated by a combined hydraulic drive has a high resolution and at the same time retains sufficient frequency resolution. The difference between the methods of studying defects based on the discrete wavelet transform is that it is enough to have only information about the frequency spectrum of the system. The frequency of the analysis does not depend on the change of signal amplitudes due to the low sensitivity to noise. This allows you to observe any local defects at the stage of their occurrence. The effectiveness of vibration control methods is confirmed by the results of the response with signal dynamic characteristics during the vibrations extent in the system. The practical application of the discrete wavelet transform in the analysis of localized damage has reduced the time and complexity of tests and increased the objectivity of their results.
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Coupling for Transmission Protection of Transport and Transport-Technological Machines and Equipment Andrey Zuev(B)
, Stanislav Vikulov , Lyudmila Pakhomova , and Ol’ga Shcherbakova
Siberian State University of Water Transport, 33, st. Shchetinkina, Novosibirsk 630099, Russia
Abstract. The work is devoted to the problem of protection of mechanical transmissions of transport and transport-technological machines from torque overload. The urgency of this problem and the currently proposed ways of solving it are shown. The problem of protecting propeller shafts in the sea and river fleets is especially urgent. Breakage of the ship shafting elements can create an emergency and immobilize the ship for a long time. From the review of the literature, it was concluded that no new solutions to this problem have been proposed recently. The paper proposes an original design of a safety coupling, which allows to reliably protect the transmission from torque overloads. The offered coupling is simple and technologically advanced. It does not require the use of expensive materials for its manufacture; it is completely made of steel. There are no elements in the coupling that collapse during overload that need to be replaced. After triggering (or overturning) the safety coupling, it can be quickly restored to its original state. The overturning moment to which the coupling is adjusted can be easily changed. The paper presents a method for calculating the main elastic element, as well as an example of calculation and selection of an elastic element of a safety coupling on the example of a ship shaft line driven by a ship diesel engine 6CHNSP 18/22. In conclusion of the work, conclusions are drawn that show the possibility and advantages of using the proposed safety coupling. Keyword: Transmission protection of from breakdowns · Torque overload protection · Safety coupling
1 Introduction The purpose of this work is to create a device that protects transmission shafts from destruction. The study of this topic showed that modern transport and transporttechnological machines have a high power-to-weight ratio, which makes it possible to obtain high average speeds of movement of working bodies and high productivity. Accordingly, the torque transmitted to the working bodies is significant and there is a problem of protecting the transmission from overloads [1–3]. Torque overload protection of transmission shafts is a very urgent task for many types of transport. For example, gears of transport, road and construction machines with mechanical transmission are © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1067–1075, 2022. https://doi.org/10.1007/978-3-030-96380-4_117
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often subjected to significant overloads, including shock ones, which cause breakdowns and drastically reduce the transmission resource [4–6]. But this problem is especially urgent in river and sea transport in the field of protecting the elements of the ship shaft line.
2 Formulation of the Problem Analyzing the state of this issue in the reviewed sources [7–9], we see that for the protection of shafting and propellers during the operation of ships, safety keys and shafts are mainly provided. Replacing these elements, in the event of their destruction, takes a lot of time and effort. In shallow and heavily loaded ponds, this can significantly complicate and increase the cost of the operation of the ship. On other ponds, there is a danger of fishing nets and ropes wrapping around the screw. A special and important place is occupied by the issues of the ship operation in ice conditions. Obviously, the loss of speed in conditions of heavy traffic, small width of the fairway, dump current, crosswind, and especially a storm, can lead to serious accidents, so the urgency of this problem, especially in the fleet, is beyond doubt. The main requirements for the design of the safety coupling were: reliability, quick return to its original state, low cost, design simplicity, manufacturability, the ability to adjust the transmitted torque. On the basis of these requirements, the proposed design of the safety coupling was developed, which allows to reliably protect the transmission and the propeller of the ship from damage. The maximum (overturning) torque to which the coupling is adjusted can be changed during operation. The developed design of the safety coupling protects the elements of the ship’s shafting in reverse, and the overturning moment in this case may be different from the moment in the forward motion. If the coupling is triggered (overturned), immediately after the screw is released, it is possible to maneuver in reverse (if overturning occurred while moving forward), which can prevent an accident. Returning the safety coupling to its original position is done by one person within a few minutes.
3 Safety Coupling Materials and Design A safety coupling is made of inexpensive medium-carbon structural steels of normal quality, with the exception of the main working elements – cylindrical springs. The main idea implemented in the design of the safety coupling was expressed in the patent for the invention “Compensator of the stiffness of the elastic support” RU No. 2215210 IPC F16F-15/02. The solution lies in the fact that a cylindrical spring is placed with a slight preload in the gap between two parallel surfaces, the coils of which are inclined on one side. With the mutual displacement of the surfaces, the spring is wedged in the gap and allows the transfer of force from one surface to another due to friction forces. The proposed design of the safety coupling is shown in Fig. 1.
Coupling for Transmission Protection of Transport
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Fig. 1. Design of the safety coupling.
The safety coupling consists of a leading 5 and driven 1 half couplings, with two annular cylindrical springs 3 located between them. Moreover, the distance between the inner surface of the driving half coupling 5 and the outer surface of the driven half of the coupling 1 (and ring 2) is slightly less than the outer diameter of the springs 3. Thus, the coils of the springs 3 are slightly inclined in the gap between the half couplings. However, the angle of coil incline should not exceed the angle of friction of steel on steel (about 7°), otherwise the transmission of the calculated torque will be impossible due to the slippage of the coils of the springs along the half couplings. Ring 2 can rotate relative to the half coupling 1 when screws 6 are loosened. For this, grooves are made in ring 2. Two plug-in worms 4 are used to rotate the half coupling 1 and ring 2, for which gears are made on the sides of these parts [10]. To bring the coupling into working condition, it is necessary that the coils of one cylindrical spring 3 be incline in one direction, and the other cylindrical spring in the other. To do this, rotating the plug-in worms 4 (with screws 6 loosened) click the coupling to the required position, after which the worms are removed, and the screws 6 are tightened. The safety coupling works like this. When the leading half coupling 5 rotates, the coils of one of the cylindrical springs 3 are compressed and wedged in the gap between the half couplings, transmitting torque due to frictional forces. When the torque value is exceeded above that to which the safety coupling is set, the coils of the cylindrical spring are compressed more strongly and incline in the other direction. The safety coupling is triggered (overturned) and the torque is no longer transmitted to the working body. In this case, the leading half coupling begins to rotate freely relative to the driven half coupling. Thus, the transmission is protected against overloads. It should be noted that the number of operations of the safety coupling during the period of operation can be significant, but this will not lead to a noticeable change in the overturning moment. This is due to the fact that the stresses acting in the coils of the cylindrical springs are small. The simplest way to change the amount of overturning torque is to change the number of coils of cylindrical springs 3. The proposed design of the safety coupling can have dimensions similar to standard flanged, sleeve-finger and gear couplings. Fitting and connecting dimensions of half
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couplings can be made as standard. The outer surface of the half coupling can be used as a brake pulley.
4 Method for Calculating the Main Elastic Elements Below are simplified calculations of the main elastic elements of the safety coupling – circular cylindrical springs. The coils of these springs are inclined with respect to the surfaces of the driven and leading half couplings, and this angle should not exceed the angle of friction of steel on steel (about 7°) [11, 12], otherwise the half couplings will slip without transmitting the given torque. The purpose of the calculations is to determine the maximum holding force of the spring coil. Knowing this value and the number of spring coils, it is possible to determine the transmitted circumferential force and the moment transmitted by the safety coupling by specifying the radius of the half couplings. First, we determine the permissible deformations of the coils of the springs compressed in the direction perpendicular to the axis. Consider the calculation of one coil of springs. For the calculation, we take this coil in the form of a whole ring. This assumption is close to reality, since the pitch of one coil is incommensurate with the diameter of its winding and the slipping of the ends of this coil between the half couplings is considered impossible, since they are elements of adjacent coils wound without a gap.
5 The Discussion of the Results From the literature [13, 14] it is known that the deformation of the ring under the action of diametrically located forces P (Fig. 2) is determined from the equation: =
P · R3 · (8 − π 2 ), 8·π ·E·J
Р
(1)
Р
Fig. 2. Ring loading scheme.
The maximum permissible forces P are determined from the strength condition for a given material. σbend =
Mmax ≤ [σ ] Wx
(2)
Coupling for Transmission Protection of Transport
Mmax = P ·
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R , π
(3)
where R is the radius of the ring (m); E is modulus of elasticity of the first kind (2 · 105 MPa); J is the axial moment of inertia of the section of the ring under consideration, cm4 . From Eqs. (2) and (3) we have: P ≤ [σ ] ·
π · Wx R
(4)
The absolute value of the permissible deformation from Eq. (1) is obtained after taking into account Eqs. (2), (3), (4) in the form: [] = 0.5R2 ·
D2 [σ] [] = · , Ed d 8E
(5)
where d is the diameter of the wire of the ring (coil), m; R is the average radius of the ring (spring coils), m; D is average diameter of the coil, m. In the calculations, we assume that annular cylindrical springs will be manufactured from steel carbon spring wire of high resistance, for example, according to GOST 938975. According to this GOST, the assortment of such a wire provides for its diameters from 0.14 to 8 mm, and σt for a wire with a diameter of 0.14 to 2.0 mm has a value of at least 2200 MPa. To ensure the durability of the springs, we accept [σ ] with a margin. Then the permissible stresses for wire with a diameter of up to 2.0 mm will be: [σ ] = 0.6 · σt = 1320 MPa
(6)
From (5) it follows that the value of the permissible deformation is mainly influenced by the average diameter of the coil D. Therefore, to increase it is desirable that the ratio D/d be significant. An increase in the permissible deformation will allow the fitting dimensions of the half couplings to be made with large tolerances, which simplifies and reduces the cost of manufacturing these parts. For the optimal choice of d and D, for a number of wire diameters in accordance with GOST 9389-75, calculations of the Table 1. Values of permissible deformation of the coil [], mm D mm d, mm
10
14
16
20
26
30
1.0
0.083
0.162
0.211
0.33
0.557
0.74
1.5
0.055
0.108
0.141
0.22
0.372
0.495
2.0
0.041
0.081
0.106
0.165
0.279
0.371
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permissible deformation [] were carried out according to the formula (5) for wire with a diameter of 1.0, 1.5 and 2.0 mm. The calculated values are shown in Table 1. It must be understood that the deformation of the coil by an amount greater than the allowable value will lead the coil to plastic deformation, which is undesirable. Next, we determine the stiffness of one coil of the spring. In this case, we will investigate this coil as a solid ring. When it is deformed by forces P (Fig. 2), we will continue to assume that Hooke’s law is observed. From Eq. (3) we have: M0 · π , R
(7)
M0 · R2 · 8 − π 2 , 8 · E · Jx
(8)
P= substituting (3) into (1) we obtain: =
from Eqs. (7) and (8) we determine the rigidity of the coil: Sc =
d4 · π 2 · E P = 3 D · 8 − π2
(9)
For the convenience of further calculations, the values of the variables d and D are chosen the same as in Table 1. The results of calculations using formula (9) are shown in Table 2. Table 2. Rigidity of one coil of a cylindrical spring Sc , N/m D, mm d, mm
10
14
16
20
26
30
1.0
1055600
384693
257714
131950
60059
39096
1.5
4795851
1747758
1170862
599481
272863
177624
2.0
16889600
6155102
4123438
2111200
960947
625540
Next, we define the value of the maximum permissible compressive force P of the ring, as the product of the stiffness Sc and the permissible deformation []. The results of such calculations using formula (9) are shown in Table 3. Table 3. The value of the maximum permissible compressive force [P], N D, mm d, mm
10
14
16
20
26 33.45
30
1.0
87.08
62.32
54.38
43.54
28.93
1.5
263.77
188.76
165.09
131.88
101.5
87.92
2.0
692.47
498.56
437.07
348.77
268.1
232.08
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Further, using the design scheme of the coil incline shown in Fig. 3, we determine the maximum holding force Fmax that occurs when the surfaces of the half couplings move (rotate) by the value A. This force will depend on the magnitude of the compressive force P and the current angle α. The latter varies from the angle of friction of steel on steel αmax = 7o to α = 0o. Let us assume that the magnitude of the compressive force P changes from zero at αmax = 7o to [P] at α = 0o according to a linear law due to the smallness of the angle. Then, at an angle α = 3.5o (0.061048), the compressive force P will be equal to half of the maximum permissible compressive force [P], which will have a beneficial effect on the resource of the spring. Let us assume that at this angle of the coil incline (α = 3.5o), the maximum possible holding force of the coil Fmax is transmitted. Then the maximum holding force will be equal to: Fmax = [P]/2 · 0.061048
(10)
Fig. 3. Calculation diagram of the coil incline
The calculation results using the formula (10) are shown in Table 4. Table 4. Maximum holding force of one coil Fmax, N D, mm d, mm 1.0
10 2.66
14 1.9
16 1.66
20 1.33
26
30
1.02
0.88
1.5
8.05
5.76
5.16
4.03
3.1
2.68
2.0
21.14
15.22
13.34
10.65
8.18
7.08
Using the obtained calculation results, we calculate the safety coupling for a marine diesel engine [15], with a power of 225 hp. (165.4 kW). The declared torque of the diesel engine is Mt = 2100 N·m. With a working radius of the safety coupling equal to 200 mm, the circumferential force which the coupling must transmit will be F = 10500 N. The
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circumference of the annular cylindrical spring with a working radius of 200 mm will be Lcir = 1256 mm, which will make it possible to place more than 600 coils of wire with a diameter of 2 mm. From Table 4 it can be seen that, with the outer diameter of the annular cylindrical spring D = 10 mm, the transmission of a given circumferential force and torque is provided.
6 Conclusion The paper considered a problem that is urgent for mechanical transmissions – their protection from torque overloads. The study of literary sources made it possible to reveal the absence of variants of safety couplings similar to the proposed solution, that is, the proposed design of the safety coupling is new. The design of a safety coupling is proposed, which is simple and technological, does not contain quickly wearing elastic materials such as polymers or rubber. In the event of a torque overload in the transmission, the coils of the cylindrical springs are elastically deformed, and the safety coupling is triggered (overturned). The calculations of the main working elements are given from which it is seen that when the safety coupling is operating, the compressive coil force P will be equal to half of the maximum permissible compressive force [P]. This circumstance will favorably affect the resource of the spring. The listed advantages provide the proposed design of the safety coupling with high operational reliability.
References 1. Cohen, T., Jones, P.: Technological advances relevant to transport – understanding what drives them. Transp. Res. Part A: Policy Pract. 135, 80–95 (2020). https://doi.org/10.1016/j.tra.2020. 03.002 2. Khazanovich, G.S., Otrokov, A.V., Chernyh, V.G.: Dynamics of process, algorithm, and system of uninterrupted action loading machine feeding. Procedia Eng. 206, 449–456 (2017). https://doi.org/10.1016/j.proeng.2017.10.500 3. Zehua, H., Tang, J., Qian, L.: Investigation of nonlineardynamics and load sharing characteristics of a two-path split torque transmission system. Mech. Mach. Theory 152, 103955 (2020). https://doi.org/10.1016/j.mechmachtheory.2020.103955 4. Foulard, S., Rinderknecht, S., Perret-Liaudet, J.: Automotive drivetrain model for transmission damage prediction. Mechatronics 30, 27–54 (2015). https://doi.org/10.1016/j.mechatronics. 2015.06.008 5. Yu-Ren, W., Tran, V.-T.: Transmission and load analysis for a crowned helical gear pair with twist-free tooth flanks generated by an external gear honing machine. Mech. Mach. Theory 98, 36–47 (2016). https://doi.org/10.1016/j.mechmachtheory.2015.11.014 6. Mattetti, M., Maraldi, M., Molari, G.: Optimal criteria for durability test of stepped transmissions of agricultural tractors. Biosys. Eng. 178, 145–155 (2018). https://doi.org/10.1016/ j.biosystemseng.2018.11.014 7. Liangliang, L., Kujala, P., Goerlandt, F.: A method for assessing ship operability in dynamic ice for independent navigation and escort operations. Ocean Eng. 225, 108830 (2021). https:// doi.org/10.1016/j.oceaneng.2021.108830 8. Senjanovi´c, I., Hadži´c, N., Cho, D.-S.: Analytical procedures for torsional vibration analysis of ship power transmission system. Eng. Struct. 178, 227–244 (2019). https://doi.org/10.1016/ j.engstruct.2018.10.035
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9. Zhang, M., Zhang, D., Goncharov, V.: Safety distance modeling for ship escort operations in Arctic ice-covered waters. Ocean Eng. 146, 202–216 (2017). https://doi.org/10.1016/j.oce aneng.2017.09.053 10. Pueo, M., Acero, R., Santolaria, J.: Uncertainty budget analysis for worm and worm gear single-flank rolling tests. Measurement 150, 107051 (2020). https://doi.org/10.1016/j.measur ement.2019.107051 11. International federation for the theory of machines and mechanisms IFT o MM. Commission a Standards for Terminology Abbreviations/symbols for terms in TMM 1996. Mech. Mach. Theory 32(6), 641–666. https://doi.org/10.1016/S0094-114X(97)83000-5 12. Pradeep, L., Kishore, M., Bobji, M.S.: Influence of tilt angle of plate on friction and transfer layer—a study of aluminium pin sliding against steel plate. Tribol. Int. 43(5–6), 897–905 (2010). https://doi.org/10.1016/j.triboint.2009.12.028 13. Chen, R.-P., Chen, S., Meng, F.-Y.: Investigation on deformation behavior and failure mechanism of a segmental ring in shield tunnels based on elaborate numerical simulation. Eng. Fail. Anal. 117, 104960 (2020). https://doi.org/10.1016/j.engfailanal.2020.104960 14. Virgin, L.N., Giliberto, J.V., Plaut, R.H.: Deformation and vibration of compressed, nested, elastic rings on rigid base. Thin-Walled Struct. 132, 167–175 (2018). https://doi.org/10.1016/ j.tws.2018.08.015 15. Velmurugan, D., Lundberg, D., McKelve, T.: Look ahead based supervisory control of a light duty Diesel engine. IFAC-PapersOnLine 51(31), 454–459 (2018). https://doi.org/10.1016/j. ifacol.2018.10.102
Development of a Methodological Approach to Substantiating the Optimal Period of Vehicle Renewal Olga Domnina1(B)
, Vladimir Tsverov1 and Viktor Buneev2
, Mikhail Sinitsyn2
,
1 Volga State University of Water Transport, Nesterova Street, 5,
603950 Nizhny Novgorod, Russia 2 Siberian State University of Water Transport, Shchetinkina Street, 33,
630099 Novosibirsk, Russia
Abstract. The topic of the present research is driven by the worn out state of transportation assets in Russia. Due to deterioration of vehicles, petrol and lube consumption increases during operation. Another effect of deterioration of transport is the rise of expenses for repairs and maintenance of vehicles. Regular need of repair works may cause disruptions of providing transport services for freight owners. However, setting common terms of replacement for all vehicles usually is not reasonable because of difference in their technical state. The paper describes the method of substantiating terms of vehicle fleet renovation (replacing units under operation by new ones) on the basis of increasing the list of charges that occur in the course of deterioration of transport vehicles. Specifically, the necessity of additional accounting of the following costs is stated: the increase in consumption of fuel and lubrication materials as a vehicle is deteriorating while being under operation; engaging (renting) someone else’s cars and penalties imposed by a customer for delays of freight delivery or damage to goods. The paper provides the results of testing the proposed method and its comparison with the aggregate cost method. Calculations were made for the vehicle GAZ 2752 (Sobol), which is used by OOO Resurs Trans for transporting staff workers. Keywords: Motor vehicles · Terms of vehicle renewal · Methodological approach · Deterioration costs
1 Introduction Transport companies have to permanently renew their vehicle fleet due to the general worn out state of vehicles in Russia. Let us consider the typical state of age composition of vehicles belonging to carriage providers using the case of OOO Resurs Trans as an example. In the company, 68% of vehicles are over 5 years old and 32% are over 15 years old. Trailers and trucks have especially high degree of wear and tear: 100% and 96% of their composition respectively are over 5 years in service; 78% and 68% respectively are over © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1076–1085, 2022. https://doi.org/10.1007/978-3-030-96380-4_118
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15 years in service. Only 4% of trucks are under 5 years old, which means that only 4% of transportation is carried out without increased consumption of fuel and lubricants (in accordance with the current standards for fuel and lubricants consumption in road transport). This leads to increased fuel consumption, repair and maintenance costs, as well as to the increase in transport process failures due to bad technical condition. There is a moment when to buy a new vehicle is less expensive than continue repairing and maintaining the one under operation. However, the establishment of a period for replacing old vehicles with new ones that would be common for all vehicles is not advisable because the service life is an individual parameter for each vehicle. Being under operation for the same period, vehicles have a different (individual) degree of wear, which depends on many factors: the quality of production (quality of parts and build quality), operation conditions, quality of maintenance, professionalism of drivers, etc. Therefore: – vehicles have different repair costs during operation [1, 2]; – vehicles of the same model and service life have different residual (market) value – different consumption of capital cost in vehicles. Timely replacement of the vehicle allows shortening these expenses, as many scientists notice in their works [3, 4]. As follows from the paper [5], a two-factor mathematical model with a dummy variable showed the dependence of the increase in logistics costs on the period in which they were implemented. This indicates the need for a clear definition of the timing of decisions. Let us consider the specified problem in relation to motor vehicles. It is not always right to use service life of a vehicle specified in technical documentation for making decisions, since the useful lifetime of a car depends not only on the vehicle itself (regardless of its class), but more on operating conditions. Studies have shown that the criteria affecting the actual operating time of a car include [3, 4, 6–15]: – – – –
kilometrage per year; type of vehicle (electric car or car with ICE); storage conditions of the vehicle; timely maintenance of the vehicle and replacement of all prescribed consumables within the terms prescribed by the manufacturer; – use of original consumables and spare parts during maintenance; – condition of roads and the way of driving; – quick elimination of emerging problems during operation. But still all the above works bring a focus on replacing worn-out vehicles with modern environmentally friendly or electric cars, while this is not yet possible in Russia due to poor infrastructure. A number of Russian authors in their works suggest determining the period of replacement of a vehicle by the method of minimum total costs. The list of costs taken into account according to this method includes only the cost of current repairs and capital expenses (that takes into account the decrease in the market value of a vehicle due to its operation), which does not allow for all costs associated with
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deterioration of vehicles. This necessitates further elaboration and improvement of the method. Therefore, the purpose of our study is to develop a method for justifying the terms for renewal of vehicles. To achieve this goal, the following tasks were set: – identification of additional factors affecting the costs associated with deterioration of vehicles; – development of a method for justifying the replacement of operated vehicles with new ones; – approbation of the proposed method with taking into account of ensuring the reliability of the forecast amount of transport work.
2 Materials and Methods The authors propose to improve the method of minimum total costs by including additional costs associated with deterioration of a vehicle in the list of factors taken into account: – an increase in the consumption of fuels and lubricants as the service life of the vehicle increases; – the costs of renting vehicles to cover the reduction in transportation work due to the decrease in productivity of the vehicle in use as it ages, to ensure plan obligations; – penalties on the part of a customer of transportation due to delays in delivery, or damage to the cargo due to the unsatisfactory condition of a truck bed. – To apply the considered methodological approach, it is necessary to record separately the costs of fuel, maintenance, and repairs for each vehicle. Using this method, it is possible to identify vehicles that are first needing to be replaced, decommissioned or sold. A detailed calculation for the proposed method is represented below: Firstly, a database is formed on the volume of transport work made by vehicles by the years of their operation. At the second step, which is named “Estimation of cost of consumed capital”, it is proposed to analyze the market value of the vehicle after certain years of operation. At the end of each year of operation, it is proposed to find the difference between the initial cost of the vehicle and the market value of similar vehicles of worn out state (consumed capital) and the amount of consumed capital per 1 km of kilometrage. At the third step of estimating costs of repairing vehicles, it is necessary to determine the costs of repairs by years of operation and aggregate total cost to determine the cost of repairs per 1 km of vehicle kilometrage. At the fourth step, the cost of fuel and lubricants per 1 km of vehicle run is determined. The fifth step is present in cases where the fulfillment of orders for transportation is mandatory, and to ensure their provision, the current lease of vehicles is practiced. Then, on the basis of the formed database on the duration of the car being repaired, the
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costs of renting vehicles for continuing transportation are determined for each year, on an accrual basis and per 1 km of the car’s kilometrage. The sixth step takes into account the penalties on the part of customers for delays due to vehicle’s idle time for repairs. On the basis of the generated database of penalties, expenses for paying penalties for each year are found, aggregate sum and per 1 km of the vehicle’s kilometrage. The last step involves the summation of all costs determined at the previous steps per 1 km of distance travelled. The minimum value over the years indicates a reasonable moment for vehicle replacement.
3 Results Below the results of approbation of the proposed method are presented as well as the results of comparison of its application with the method of total costs for GAZ 2752 (Sobol) operated by OOO Resurs Trans for the transportation of office workers. Step 1. Formation of a database on vehicles by years of operation to assess the replacement period in the form (Table 1). The book value of the new car is 850 thousand rubles. Table 1. Vehicle operation data for assessing term of its replacement Operation year
Annual kilometrage, thousand km
Maintenance costs, thousand rubles
Repair time, days
Market value of the vehicle by the end of the year, thousand rubles
1
109.5
78.5
5
650
2
98.3
92.0
8
600
3
93.5
123.0
11
540
4
102.4
165.0
21
440
5
92.1
240.0
29
360
The calculation of the amount of transport work (kilometrage) by years of operation by the cumulative total is carried out in the form (Table 2). Table 2. Volume of transportation work of the vehicle Operation year
Annual kilometrage, thousand km
Actual aggregate kilometrage throughout all years of operation, thousand km
1
109.5
109.5
2
98.3
207.8 (continued)
1080
O. Domnina et al. Table 2. (continued)
Operation year
Annual kilometrage, thousand km
Actual aggregate kilometrage throughout all years of operation, thousand km
3
93.5
301.3
4
102.4
403.7
5
92.1
495.8
Table 3. Records of consumed capital of the motor vehicle Operation year
Market value of the vehicle by the end of the year, thousand rubles
Capital consumed for the year, thousand rubles
Aggregate cost of capital consumed throughout operation years, thousand rubles
Actual aggregate kilometrage throughout operation years, thousand km
Capital consumed per 1 km of the actual kilometrage of the vehicle, RUB/km
1
650
200
200
109.5
1.83
2
600
50
250
207.8
1.20
3
540
60
310
301.3
1.03
4
460
80
390
403.7
0.97
5
360
100
490
495.8
0.99
Step 2. Estimation of costs of consumed capital is given in Table 3. Step 3. Estimation of costs of vehicle repair is presented in Table 4. Table 4. Records of costs of vehicle repair. Operation year
1
Repair costs for the year, thousand rubles
Aggregate costs of repair works, thousand rubles
Actual aggregate kilometrage, thousand km
Repair costs per 1 km of actual kilometrage, RUB/km
109.5
0.72
78.5
78.5
2
92.0
170.5
207.8
0.82
3
123.0
293.5
301.3
0.97
4
165.0
458.5
403.7
1.14
5
240.0
698.5
495.8
1.41
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Step 4. The calculation of cost of fuels and lubricants required for the operation of the vehicle is given in Table 5. Table 5. Records of cost of fuels and lubricants required for the operation of the vehicle Operation Fuel Cost year consumption of per year, l fuel, RUB/l
Factor taking into account the cost of lubricants
Costs for fuels and lubricants per year, thousand rubles
Aggregate expenses for fuels and lubricants, thousand rubles
Aggregate kilometrage throughout operation years, thousand km
Cost of fuels and lubricants per 1 km of kilometrage, RUB/km
1
17082
45
1.1
845.6
845.6
109.5
7.72
2
15314
45
1.1
758.1
1603.6
207.8
7.72
3
14561
45
1.1
720.8
2324.4
301.3
7.71
4
16106
45
1.1
797.3
3121.7
403.7
7.35
5
15037
45
1.1
744.3
3866.1
495.8
7.49
Step 5. Estimating the cost of renting vehicles to cover the reduction in the volume of transport work due to the idle time of operated vehicles for repairs. Determination of the required rental period for a vehicle to cover the reduction in transport work due to idle time of the operated vehicles for repair can be determined through the difference between the forecast and actual amount of transport work according to the formula (1) TR = (LF − LA )/LdaF ,
(1)
where TR is the required rental period for a similar vehicle to cover the reduction in the amount of transport work due to the idle time of the operated vehicle being under repair, days; LF is forecast annual kilometrage of the vehicle, km; LA is actual annual kilometrage of the vehicle, km; LdaF is forecast daily-average kilometrage of the vehicle, km/day. Calculation of costs of renting vehicles is carried out through the required rental period and rental rates. The results are presented in Table 6.
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Table 6. The result of calculating the cost of renting vehicles to cover the reduction in transportation due to idle time of vehicles under repair Operation year
Rental term, days
Rental rate for a similar vehicle (without fuel), RUB/day
Rental cost per year, rubles
Aggregate rental cost throughout operation years, thousand rubles
Actual aggregate kilometrage throughout operation years, thousand km
Rental cost per 1 km of actual kilometrage of the vehicle, RUB/km
1
5
1900
9.5
9.5
109.5
0.09
2
8
1900
15.2
24.7
207.8
0.12
3
11
1900
20.9
45.6
301.3
0.15
4
21
1900
39.9
85.5
403.7
0.21
5
29
1900
55.1
140.6
495.8
0.28
Step 6. Estimation of penalties arising from non-fulfillment of customer requests due to idle time of operated vehicles being under repair: in case under consideration there are no losses from non-fulfillment of obligations, since in cases of non-departure of a vehicle, a rental of a similar one from another transport company is provided. Step 7. Determination of the total costs per 1 km of forecast kilometrage is given in Table 7. Table 7. Calculation of total costs per 1 km of actual kilometrage of the vehicle Operation Cost of one item per 1 km of actual kilometrage, year RUB/km
Total costs per 1 km of actual kilometrage, RUB/km
Consumed Repair Fuels and Car rental Penalties According According capital lubricants to for to total to method compensate delays cost proposed for idle method time during repairs 1
1.83
0.72
7.72
0.09
–
2.55
10.36
2
1.20
0.82
7.72
0.12
–
2.02
9.86
3
1.03
0.97
7.71
0.15
–
2.00
9.86
4
0.97
1.14
7.35
0.21
–
2.11
9.67
5
0.99
1.41
7.49
0.28
–
2.40
10.17
Figure 1 illustrates calculations performed to determine the moment for replacement using the total cost method. According to calculations performed with the use of this
Development of a Methodological Approach
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method, the beginning of the increase in total costs of a vehicle per 1 km of actual kilometrage falls at the 4th year of operation, so it needs to be replaced within this period.
Costs RUB/km
3 Consumed capital value Repair costs
2 1 0 1
2
3 4 Operation years
5
Fig. 1. The graph of changes in costs by years of operation of the vehicle under consideration using the total costs method
In accordance with calculations based on the method of substantiating a rational period (point) for renewing vehicles under operation, which takes into account the provision of reliability of forecast amount of transport work, the increase in the total costs of vehicles per 1 km of actual kilometrage starts only from the 5th year of a vehicle’s operation, which can be seen in Fig. 2.
12 Consumed capital value Repair costs
Costs RUB/km
10 8 6 4
Costs of fuel and lubricants
2 0 1
2
3 4 Operation years
5
Fig. 2. The graph of changes in costs by years of operation of the vehicle under consideration according to the method of substantiation of a rational period (point) for updating vehicles under operation with taking into account of ensuring the reliability of forecast amount of transport work
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4 Discussion Based on the analysis of the current level of development of transport structure on the example of OOO ResursTrans, it was revealed that only 4% of trucks are under 5 years old, which means that only 4% of transportation is carried out without increased consumption of fuel and lubricants, additional costs for repairs and idle time under repairs. However, the aging of vehicles occurs individually, depending on maintenance and specifics of its operation. In this regard, road transport enterprises are faced with the task of determining the optimal period for the renewal of vehicles. The authors propose to improve the existing method of minimum total costs by including a number of additional costs associated with the aging of a vehicle into the list of factors taken into account. Approbation of this approach on the example of one vehicle belonging to the enterprise revealed that the optimal point for renewal differs for one year. For the enterprise and vehicle under consideration, the result obtained with the use of the proposed method saves about 77 thousand rubles in comparison with the total cost method, which is about 10% of the cost of the vehicle under consideration. The result obtained proves that this method is appropriate for the further use when planning the renewal of vehicle fleet by enterprises.
5 Conclusions Thereby, the following study results have been obtained: • the list of factors that are taken into account when deciding on a term of vehicle renewal has been expanded; • the methodology was elaborated: “Substantiation of a rational period (point) of renewal of vehicles under operation with taking into account of ensuring the reliability of the forecast amount of transport work”; • approbation of the proposed method has shown its applicability for the actual operating conditions of the enterprise; • the use of the proposed method will improve the efficiency of decisions made in comparison with the total cost method.
References 1. Benson, D., Whitehead, G.: Chapter fourteen: Physical distribution: transport aspects and case studies. In: Transport and Distribution, pp. 155–165. Elsevier (1975). https://doi.org/10. 1016/B978-0-491-01684-1.50019-2 2. Eisenmann, C., Kuhnimh, T.: Some pay much but many don’t: vehicle TCO imputation in travel surveys. Transp. Res. Procedia 32, 421–435 (2018). https://doi.org/10.1016/j.trpro. 2018.10.056 3. Rogers, H.A., Deutz, P., Ramos, T.B.: Repairing the circular economy: public perception and participant profile of the repair economy in Hull, UK, Resources. Conserv. Recycl. 168, 105447 (2021)
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4. Choi, H., Koo, Y.: Do I have to buy it now? A vehicle replacement model considering strategic consumer behavior. Transp. Res. Part D: Transp. Environ. 73, 318–337 (2019). https://doi. org/10.1016/j.trd.2019.07.009 5. Panfilova, E., Dzenzeliuk, N., Domnina, O., et al.: The impact of cost allocation on key decisions of supply chain participants. Int. J. Supply Chain Manage. 9(1), 552–558 (2020) 6. Zaman, H., Zaccour, G.: Vehicle scrappage incentives to accelerate the replacement decision of heterogeneous consumers. Omega 91, 102016 (2018). https://doi.org/10.1016/j.omega. 2018.12.005 7. Ansaripoor, A.H., Oliveira, F.S.: Flexible lease contracts in the fleet replacement problem with alternative fuel vehicles: a real-options approach. Eur. J. Oper. Res. 266(1), 316–327 (2017). https://doi.org/10.1016/j.ejor.2017.09.010 8. He, H., Fan, J., Li, J.: When to switch to a hybrid electric vehicle: a replacement optimization decision. J. Clean. Prod. 148, 295–303 (2017). https://doi.org/10.1016/j.jclepro.2017.01.140 9. Kang, D., Levin, M.W.: Maximum-stability dispatch policy for shared autonomous vehicles. Transp. Res. Part B: Methodol. 148, 132–151 (2021). https://doi.org/10.1016/j.trb.2021. 04.011 10. Kagawa, S., Hubacek, K., Kudoh, Y.: Better cars or older cars?: assessing CO2 emission reduction potential of passenger vehicle replacement programs. Glob. Environ. Chang. 23(6), 1807–1818 (2013). https://doi.org/10.1016/j.gloenvcha.2013.07.023 11. Zhang, B., Lu, Q., Wu, P.: Study on life-cycle energy impact of new energy vehicle car-sharing with large-scale application. J. Energy Storage 36, 102334 (2021). https://doi.org/10.1016/j. est.2021.102334 12. Stasko, T.H., Gao, H.O.: Reducing transit fleet emissions through vehicle retrofits, replacements, and usage changes over multiple time periods. Transp. Res. Part D: Transp. Environ. 15(5), 254–262 (2010). https://doi.org/10.1016/j.trd.2010.03.004 13. Almeida, C.F., Gularte, J.G., Yamashita, Y.: Guidelines to devise a multimodal freight transportation network in developing regions under economic growth approach. Procedia – Soc. Behav. Sci. 162, 90–100 (2014). https://doi.org/10.1016/j.sbspro.2014.12.189 14. Parker, N., Breetz, H.L., Salon, D.: Who saves money buying electric vehicles? Heterogeneity in total cost of ownership. Transp. Res. Part D: Transp. Environ. 96, 102893 (2021). https:// doi.org/10.1016/j.trd.2021.102893 15. Ouyang, D., Zhou, S., Ou, X.: The total cost of electric vehicle ownership: a consumeroriented study of China’s post-subsidy era. Energy Policy 149, 112023 (2021). https://doi. org/10.1016/j.enpol.2020.112023
Predicting the Underwater Movement of Diesel Fuel in the Event of a Ship Sinking Viktor Naumov , Andrey Plastinin(B) , Aleksandr Kalenkov , and Natalia Rodina Volga State University of Water Transport, Nesterova Street 5, 603950 Nizhny Novgorod, Russia
Abstract. The article discusses the issues of predicting the underwater movement of oil pollution based on the use of mathematical modeling methods. As the analyzed process, the emergence of diesel fuel during the flooding of the ship was chosen. To assess the consequences of such spills, the authors have developed a mathematical description of the underwater movement of an oil slick. For this, at the first stage, factors have been identified that have a significant impact on the process of ascent of diesel fuel. At the second stage, the experimental theory was applied to estimate the required number of scenarios for the spread of oil pollution. Each scenario is characterized by a specific set of significant factors. At the third stage, the parameters of the computational domain were determined and numerical modeling of the ascent process was performed. As a result, the equations of communication were obtained that provide the calculation of the following parameters of the contaminated area: ascent time, coordinates of extreme points, length and width. The obtained regression dependencies are necessary to assess the damage to the components of the natural environment and to develop measures for the containment and elimination of oil pollution arising from the sinking of ships, and can also be useful for predicting similar situations in the event of damage to subsea trunk and field pipelines. Keywords: Oil spill · Diesel fuel · Ship sinking · Oil pollution surfacing area · Underwater traffic forecasting
1 Introduction Oil pollution from underwater spill sources (sunken ships and faulty pipelines) poses a significant threat to the environment and requires a prompt response [1–3]. The most important issues arising in the development of operational measures for the containment and elimination of such spills is to predict the time and place of the emergence of oil products on the water surface [4–6]. Therefore, there is a need to create a mathematical description for assessing the parameters of the area of possible oil surfacing, in which the mass and type of spilled oil product, the flow rate, the depth of the reservoir, and the water temperature of the reservoir are considered as independent factors [7]. In addition, it is advisable to build and apply mathematical models to assess the parameters of the surfacing area, focused on © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1086–1094, 2022. https://doi.org/10.1007/978-3-030-96380-4_119
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specific types of oil products and, in particular, on one of the most common types, diesel fuel. Almost every emergency related to the flooding of self-propelled floating equipment is accompanied by a large spill of marine fuel from service tanks and pipelines of the fuel system, which leads to significant pollution of the environment with oil products. Among the scientific publications devoted to predicting the underwater movement of oil products, first of all, it is necessary to highlight the study of the characteristics of underwater spreading and the migration law of oil leakage from damaged underwater pipelines, carried out at the China University of Petroleum Qingdao [8], in which it is noted that after an underwater leak of oil and gas major threats and damage to the natural ecosystem and the marine environment can arise, and therefore it is extremely important to develop a rapid response strategy that includes accurate prediction of the path of oil and gas migration. To study the characteristics of underwater spreading and the law of migration of oil leakage, the model of the volume of fluid (VOF) and the k-ε model of turbulence are used. Influences such as wavelength, direction of leakage, flow rate, wind speed, oil density and leakage speed are analyzed using numerical simulations. The calculation results showed that the wavelength affects both the underwater spread and the drift process, while the flow rate and wind speed mainly affect the drift process. Leak direction, oil density and leakage speed have a significant influence on the underwater spread process, but have a limited effect on the drift process. The authors of [8] proposed a formula for predicting oil diffusion for a certain time, the results of the study can be applied to justify actions in an emergency. A model for assessing the environmental risk of oil spills in the Arctic from a subsea pipeline is presented in a joint work [9] by scientists from the University of Tasmania and Macquarie University (Australia) and Memorial University of Newfoundland (Canada). This article presents a probabilistic methodology for the environmental risk assessing (ERA) of accidental oil spills in the Arctic region, associated with the intensification of exploration work to find oil and gas in the Arctic Ocean. A dynamic Bayesian network (DBN) - based model was developed to assess the ecological risk to aquatic organisms and allow to taking into account the seasonal changes. An example of the next research into the risks associated with oil spills from subsea sources is the joint work of the University of Michigan (USA) and the University of Waterloo (Canada) [10], in which using the psychometric risk paradigm in combination with surveys of the population of Michigan and a regional organization planning, an assessment of the perceived risk of an under-ice oil spill from subsea pipelines, in particular from the Enbridge Line 5 pipeline, was carried out. The results indicate the need for better study and informing of the risks associated with subsea pipelines and spills, both in open water and under ice, as well as options for collecting oil under the ice. In addition, the implementation of decision-making and risk management processes is recommended, taking into account the analysis of the social, economic and environmental aspects of the operation of subsea pipelines. Simon Fraser University (British Columbia, Canada) and the University of Cyprus (Nicosia, Cyprus) [11] have developed a new oil plume model to predict oil spills at any given depth below the sea surface. The plume model described in this article is one of the many modules of the well-proven MEDSLIK oil spill model. As an example, a deep-sea
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blowout scenario from the MEDEXPOL 2013 oil spill simulation study, organized by REMPEC, is used. We agree with the opinion of an international team of scientists from the UK, Norway, Belgium and the USA [12] that as oil reserves in easily accessible basins are depleted, exploration and production are moving to previously unexploited areas of the continental shelf with significant depths. For example, the Faroe-Shetland Canal (northeast Atlantic) and the surrounding areas have received increased attention from the oil industry. The environment in this region is characterized by extreme depths, high waves, strong winds and flows, complex circulation patterns, and sharp gradients of water density. These conditions pose challenges for oil spill response and call into question the suitability of existing predicting systems to adequately model the behavior of potential hazards in the area. In the work [13], scientists from the Oceanic University of China and the Institute of Oceanology of the Chinese Academy of Sciences in Qingdao, based on a verified model of an underwater oil spill, a series of numerical experiments is carried out to study the effect of ocean flows on the movement of oil spilled under water by three parameters: the position of the center of gravity, area and volume. The numerical result showed that inaccuracies in modeling ocean flows lead to an increase in the expected error of the predicting model for all three parameters, taking into account different model times. An experimental study of the spread of an underwater oil spill in a stream has been carried out at the Southwest Petroleum University of China [14]. The paper draws the following conclusions: the time required for a spilled oil to first appear on the sea surface and its location are two key issues for an emergency response; the difference in pressure inside and outside the leakage determines the pattern of underwater oil movement; the time it takes for the oil to reach the surface increases with decreasing initial momentum and increasing flow rate. The performed review of literary sources confirmed the relevance of the planned studies and revealed the absence of works related to assessing the effect of the water temperature of the reservoir on the parameters of the oil surfacing. Thus, the aim of the work is to develop a mathematical model for assessing the parameters of the surfacing area, focused on the spill of diesel fuel, taking into account the water temperature of the reservoir. To achieve this goal, it is necessary: – identification of factors that have a significant impact on the process of surfacing of diesel fuel; – assessment of the required number of scenarios for the spread of oil pollution and their characteristics; – determination of the parameters of the computational domain and the implementation of numerical modeling of the surfacing process; – carrying out a numerical experiment and obtaining a data array sufficient to construct a regression model for estimating the parameters of the area of possible surfacing of diesel fuel;
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– obtaining communication equations that provide the calculation of the following parameters of the contaminated area: surfacing time, coordinates of extreme points and center, length, width; – assessment of the quality of the obtained mathematical description.
2 Materials and Methods Numerical modeling of oil surfacing scenarios was carried out in the FlowVision software product. As factors were considered: surfacing time, area, length, width, coordinates of extreme points, flow rate, spill weight, depth and water temperature. Estimates of the parameters of the surfacing area corresponding to the extreme values of independent factors are given in Table 1. As a result, it was found that the range of variation is significant and varies over a wide range (see Table 1). Table 1. Influence of factors on the parameters of the surfacing area of the oil product during the spill of diesel fuel from an underwater source Area, S, m2
Surfacing time, ts , min
18 36
378 1332
53 42
80 94
100 99
8000 9306
123 76
Reservoir depth, m 1 10
98 80
80 84
7840 6720
88 79.7
Water temperature, K 273 298
56 76
72 80
4032 6080
57.7 85.6
Values of factors
Length, L, m
Oil product weight, t 1 10
21 37
Flow rate, m/s 0.2 1
Width, B, m
When forming the list of scenarios for numerical modeling, the experiment planning method and the fractional two-level plan of Box and Hunter in the STATISTICA 8.0 mathematical system were used (Table 2). Table 2. Experiment planning matrix for fractional two-level plan of Box and Hunter No.
Independent factors Flow rate, m/s
Depth, m
Water temperature, K
1
0.2
1.0
273.0
2
1.0
1.0
273.0
Weight, t
1.0 10.0 (continued)
1090
V. Naumov et al. Table 2. (continued) No.
Independent factors Flow rate, m/s
Depth, m
Water temperature, K
Weight, t
3
0.2
10.0
273.0
10.0
4
1.0
10.0
273.0
1.0
5
0.2
1.0
298.0
10.0
6
1.0
1.0
298.0
1.0
7
0.2
10.0
298.0
1.0
8
1.0
10.0
298.0
10.0
As an example, Figs. 1, 2 and 3 show the obtained configurations of areas of possible oil surfacing for the surfacing scenario modeled in the FlowVision software product.
Fig. 1. Position of the oil slick (top view)
Fig. 2. Position of the oil slick (vertical section)
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Fig. 3. Position of the oil slick in the watercourse volume
3 Results In the numerical modeling of oil surfacing scenarios, the following parameters of the surfacing area were estimated: surfacing time, area, length, width, coordinates of extreme points. The results of the numerical experiment are presented in Table 3. Table 3. Numerical experiment results Experiment number
Plan 2(4−1) (Box-Hunter)
1
273
1
0.2
1
2
273
10
1
1
3
273
10
0.2
10
44
4
273
1
1
5
298
10
6
298
7 8
Temperature, K
Weight, t
Flow rate, m/s
Depth, m
Coordinate of the extreme right point, m
Coordinate Area, of the m2 extreme left point, m
Surfacing time, min
38
20
1444
271.79
122
82
1760
275.54
28
6256
137.23
10
2
2
1.125
68.3
0.2
1
120
70
2200
670.58
1
1
1
96
80
448
413.19
298
1
0.2
10
24
8
192
65.85
298
10
1
10
42
24
576
106.21
When carrying out a numerical experiment, an array of data was obtained that was sufficient for constructing a regression model for estimating the parameters of the area of possible surfacing of diesel fuel.
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Further, using the method of factor-regression analysis in the STATISTIKA program, the construction of communication equations was carried out, ensuring the calculation of the following parameters of the contaminated area: surfacing time, coordinates of extreme points, length, width: tS = 19.06W − 182.82v + 8.19T − 43.59H − 1878.4
(1)
XRP = 4.66W + 11.25v + 0.76T − 7.33H − 148.06
(2)
XLP = 2.6W + 19.37v + 0, 5T − 5.27H − 100.45
(3)
L = 2.9W − 30.15v − 0.47T − 1, 12H + 174.86
(4)
B = 3.7W − 25.39v − 0.58T − 0.47H + 201.58
(5)
where tS is the surfacing time of oil products, s; XRP , XLP , L, B are parameters of the oil slick, respectively, the coordinates of the extreme right and left points of the slick, length, width, m; W is the weight of the oil product, t; v is flow rate, m/s; T is the water temperature, K; H is depth, m.
4 Discussion The quality assessment of the obtained mathematical description was carried out by obtaining multiple correlation coefficients, parameter estimates and building Pareto maps. As an example, the data for the surfacing time are given (Tables 4 and 5, Fig. 4). Table 4. Coefficients of determination Variable
Surfacing time
SS model and SS residuals Plurality R
Plurality R2
Adjusted R2
SS model
cc model
MS model
SS residual
cc residual
MS residual
F
p
0.97636
0.95329
0.85987
254310
4
63577.6
12460.4
2
6230.20
10.2047
0.09123
The values of the multiple correlation coefficients exceed 0.8; the absolute error of the regression equations is in the range from 5 to 15%, which indicates a high degree of adequacy of the obtained equations to the modeled process. The analysis of the significance of the factors that make up the equation of communication (Fig. 4) showed that the depth of the reservoir and the temperature of the water have the greatest influence on the surfacing time.
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Table 5. Parameter estimates for ascent time Indicator
Standard error
T
P
−95.00% confidence interval
+95.00% confidence interval
Beta
−2.55459
0.125116
−5042.17
1285.360
–
Water temperature
2.5779
3.17538
0.086502
−2.91
19.278
0.518768
Oil product weight
7.1608
2.66124
0.116943
−11.75
49.867
0.434772
80.5593
−2.31902
0.146233
−533.44
159.800
−0.378863
7.1608
−6.08682
0.025945
−74.40
−12.776
−0.994417
Free member 735.3056
Flow rate Depth
Fig. 4. Pareto map for ascent time
5 Conclusion By jointly applying the methods of computational hydrodynamics and mathematical statistics, a mathematical model was developed to assess the parameters of the surfacing area, oriented to the spill of diesel fuel, taking into account the temperature of the reservoir water, the weight of the spill, the flow rate and the depth of the watercourse. Evaluation of the quality of the developed regression model for predicting the underwater movement of a diesel fuel spill confirmed the possibility of performing an adequate calculation of the parameters of the oil surfacing area while taking into account the processes of spreading and movement under the influence of deep flows.
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The results obtained are necessary to assess the damage to the components of the natural environment and to develop measures for the containment and elimination of oil pollution arising from the sinking of ships, and can also be useful for predicting similar situations in case of damage to underwater trunk and field pipelines.
References 1. Shomina, O.V., Kapustin, I.A., Ermoshkin, A.V., et al.: On the dynamics of artificial slick band in the coastal zone of the Black Sea. Sovremennye Problemy Distantsionnogo Zondirovaniya Zemli iz Kosmosa 16(4), 222–232 (2019). https://doi.org/10.21046/2070-7401-2019-16-4222-232 2. Reshnyak, V., Sokolov, S., Nyrkov, A.: Inland waterway environmental safety. J. Phys. Conf. Ser. Int. Conf. Inf. Technol. Bus. Ind. 1015(4), 042049 (2018). https://doi.org/10.1088/17426596/1015/4/042049 3. Batanina, E.A., Borodin, A.N., Domnina, O.L., et al.: Determination of areas of concentration of transport accidents with the participation of ships in the Republic of Tatarstan. Marine Intellect. Technol. 4, 161–168 (2020). https://doi.org/10.37220/MIT.2020.50.4.022 4. Ermoshkin, A.V., Kapustin, I.A., Molkov, A.A., et al.: Test system of ecological monitoring of film pollutions in the Gorkovsky reservoir. Russ. J. Water Transp. 62, 11–19 (2020). https:// doi.org/10.37890/jwt.vi62.35 5. Ermoshkin, A.V., Kapustin, I.A., Danilicheva, O.A., et al.: Investigation of morphological features of film pollution on water surface based on radar sensing data. Russ. J. Water Transp. 64, 48–57 (2020). https://doi.org/10.37890/jwt.vi64.96 6. Selifonova, Z.P., Makarevich, P.R., Samyshev, E.Z., et al.: Study of ecosystem of the Sukhum Bay with emphasis anthropogenic impact, Abkhazian Black Sea coast. Ecologica Montenegrina 22, 108–116 (2019). https://doi.org/10.37828/EM.2019.22.8 7. Sergievskaya, I.A., Lazareva, T.N.: The influence of water temperature on viscoelastic properties of oil films in application to remote sensing. Sovremennye Problemy Distantsionnogo Zondirovaniya Zemli iz Kosmosa 17(2), 176–183 (2020). https://doi.org/10.21046/20707401-2020-17-2-176-183 8. Sun, Y., Cao, X.W., Liang, F.C.: Investigation on underwater spreading characteristics and migration law of oil leakage from damaged submarine pipelines. Process. Saf. Environ. Prot. 127, 329–347 (2019). https://doi.org/10.1016/j.psep.2019.05.030 9. Arzaghi, E., Abbassi, R., Garaniya, V.: An ecological risk assessment model for Arctic oil spills from a subsea pipeline. Mar. Pollut. Bull. 135(2018), 1117–1127 (2018). https://doi. org/10.1016/j.marpolbul.2018.08.030 10. Bessette, D., Rutty, M., Gunn, G., et al.: The perceived risk of the Line 5 Pipeline and spills under ice. J. Great Lakes Res. 47(1), 226–235 (2021). https://doi.org/10.1016/j.jglr.2020. 12.002 11. Lardner, R., Zodiatisb, G.: Modelling oil plumes from subsurface spills. Mar. Pollut. Bull. 124(1), 94–101 (2017). https://doi.org/10.1016/j.marpolbul.2017.07.018 12. Gallego, A., O’Hara, M., Berx, R., et al.: Current status of deepwater oil spill modelling in the Faroe-Shetland Channel, Northeast Atlantic, and future challenges. Mar. Pollut. Bull. 127, 484–504 (2018). https://doi.org/10.1016/j.marpolbul.2017.12.002 13. Li, Y., Chen, H., Lv, X.: Impact of error in ocean dynamical background, on the transport of underwater spilled oil. Ocean Model 132, 30–45 (2018). https://doi.org/10.1016/j.ocemod. 2018.10.003 14. Zhu, H., You, J., Zhao, H.: An experimental investigation of underwater spread of oil spill in a shear flow. Mar. Pollut. Bull. 116, 156–166 (2017). https://doi.org/10.1016/j.marpolbul. 2017.01.002
The Experience of Using Augmented Reality in the Reconstruction of the Crime Scene Committed in Transport Vladimir Tolstolutsky1(B)
, Galina Kuzenkova2
, and Victor Malichenko2
1 Volga State University of Water Transport, Nesterova Street 5,
6039505 Nizhny Novgorod, Russia 2 Nizhny Novgorod State University named after N.I. Lobachevsky, Gagarin Avenue, 23,
603022 Nizhny Novgorod, Russia
Abstract. This work examines the forensic aspects of using augmented reality (AR) technology. It is proposed to use reality technology to reconstruct the picture of crimes committed in transport. A feature of the reconstruction of the trace picture of crimes of this type is visualizing the connections between objects that are not comparable in size to trace-perceiving objects. It is concluded that augmented reality technology can become the basis for a new stage in the development of forensic photography. AR technology provides simultaneous image of traces of crime on objects, then it becomes possible to combine in one computer application the advantages of orientation, survey, nodal and detailed photography. The technology based on markers (AR-tags) requires a minimum of equipment. For a smartphone, the article’s authors have developed an application that allows visualizing a forensic scene using augmented reality. The experience of using a computer AR-application in forensic practice and training in reconstruction of the track picture of crimes in transport is analyzed. With the help of virtual objects, the trail picture of the murder in the ship’s cabin was reconstructed. During reconstruction, augmented reality marks are digital pointers, which, during real investigative examinations of the scene of the incident, indicate the traces of the crime. The advantages of using an application for a smartphone in the educational process carried out in the conditions of an educational forensic training ground (AR-training ground) are considered. Keywords: Augmented reality · Forensic training ground · Trail picture of a crime · AR-tags · Digital pointers
1 Introduction The picture of a crime is an independent forensic concept. The concept was introduced to distinguish an independent forensic object - a system of material sources of evidence that ensure the creation of a mechanism for the event being investigated. The literature emphasizes that the appearance of written evidence is always preceded by a person’s perception of the environment, then an analysis of the situation, and only after that a © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1095–1102, 2022. https://doi.org/10.1007/978-3-030-96380-4_120
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procedure for fixing the results of one’s perception of events and facts and their expression in writing is possible [1]. Using this sequence, some authors, when collecting evidence, pay primarily attention to the provision of photographic and (or) video materials that do not depend on a person’s subjective characteristics and skills. In forensic science, more attention was paid to the study of creating figurative models related to the reconstruction of the trace picture of the crime. Reconstruction is classified as a complex investigation technique, but it does not pay attention to the visualization problem required during reconstruction. The emergence of methods of virtual modeling led to the development of technology for three-dimensional reconstruction [2] of objects, including the mechanism of crime. As a rule, a graphic reconstruction of the situation in the virtual space is carried out, which, as a rule, is not tied to real objects. An example is the programs “Virtual inspection of the scene” and “Virtual search” (the company “Fundamental Systems of Analysis” (FSA), Russia). The forensic theory of reflection, created by RS Belkin, distinguishes “followingforming” and “tracing-perceiving” objects. The traditional forensic training ground is designed to organize the student’s interaction with material objects, which, after mechanical interaction, are divided into changing and changeable [3]. Within the framework of forensic techniques, the study of traces on trace-perceiving objects is put at the forefront of classes on the detection and removal of traces of a crime. The first stage in the study of traces is their formation. In contrast to this, virtual reconstruction of traces of a crime is carried out without reference to a place or object in the real world. From the forensic theory of reflection, this approach has the disadvantage that there is no stage of mechanical interaction of the user with the depicted objects [4]. We believe that augmented reality technology allows you to include mechanical interaction with natural objects, thereby increasing training effectiveness, bringing it closer to classes at a real training ground. They considered questions that demonstrate a wide range of practical problems that can be solved based on augmented reality technology. These include issues, firstly, the reconstruction of the traced picture of a crime during the investigation of crimes, secondly, teaching practitioners to use this technology, and thirdly, teaching forensic science by supplementing classes at the traditional forensic training ground [5–7]. This paper examines the use of augmented reality in a predominantly educational process. Augmented reality (AR) technologies are already significantly changing both natural science and humanitarian and medical disciplines [8]. However, legal disciplines lag in this digitalization process, including in the field of communication [9]. Educational objects created using augmented reality technology allow to increase visibility and interactivity and consider the problem from an unexpected side while showing information and highlighting accents in a way that would be difficult in a traditional format (paper educational material, digital text document) [10]. Augmented reality technologies can introduce vivid three-dimensional images, a game element into the learning process, activate the interaction of participants in the educational process, developing spatial thinking and skills in project activities. Thanks to augmented reality, students have endless opportunities for learning new things [11–13].
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In forensic practice, augmented reality increases the informativeness of an investigative examination, for example, of a human body [14], by superimposing virtual images of objects on real objects and communication between remote participants in the examination, creating a virtual “incident map” [15]. Augmented reality has begun to be applied in teaching forensic science [16]. Forensic science is the closest to the technological way of thinking and quickly includes new information processing methods. Certain types of crimes are specific; in particular, reconstructing the trace picture of a crime committed in transport requires attention. The positive side of augmented reality when reconstructing the picture of crimes committed in the transport sector is the possibility of overlapping two spaces of different volumes. So, in case of aircraft accidents, to understand the picture, it is often necessary to use a helicopter to produce orientation and survey photography due to the large scatter of the parts of the fallen air transport. When these photographs are provided to the participants in the process in the investigator’s office or the courtroom, it becomes necessary to change the scale of the fixed objects. Augmented reality, presented on the screen of a tablet or smartphone, allows you to change the scale of the displayed objects while maintaining the actual scale of the presented material evidence (for example, a part of an aircraft) [16]. The fundamental part is shown simultaneously, which is material evidence, and, due to the technology of augmented reality, at the same time, a complete picture of the crime scene or vehicle. Thus, it becomes possible to demonstrate the connection between the part and the whole in the crime picture. The presented part of a technical apparatus or device can be associated with both the landmark captured on the orienting photograph and the place of its localization indicated in the overview picture. As a result of augmented reality, forensic photography will receive fundamentally new possibilities for illustrating a trace picture, which simultaneously allows combining the positive aspects of all types of forensic photography. The purpose of our study is the regularities of filling the augmented reality technology with forensic content, demonstrated by the example of the experience of using augmented reality technology for educational reconstruction of the track picture of a crime committed in transport.
2 Materials and Methods Three types of augmented reality technologies are used: “markerless” AR technology, AR marker-based technology, and “spatial” technology. In the case of “markerless” technology, a virtual “grid” is applied to the images of objects in the real world or a scene, and reference points are determined to which the virtual model will be “tied.“ AR marker-based technology requires creating visual identifiers - markers (AR tags) that are easily recognized by the camera. The virtual world objects correspond to markers, and the scene is “completed” according to the visualization task. “Spatial” technology is based on the fact that coordinates determine the location of a virtual object in space based on the user’s spatial data.
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The Unity programming environment (https://unity.com/), which supports the Vuforia framework (https://developer.vuforia.com/), was chosen to develop the AR forensic testing ground augmented reality application. Open-source software Blender (https:// www.blender.org/) was used to create 3D computer models. The peculiarity of crime scenes committed in transport and transport infrastructure was taken into account, consisting of a large area of terrain areas that occupy the crime scene. Representing objects that are significantly larger than the space in which the user uses the program, the user was provided with the ability to scale augmented reality objects. In the conditions of a forensic training ground, we used a technology based on markers (AR-tags), which allows us to superimpose virtual images of objects and traces of a crime on a real place and requires a minimum of equipment. This combination of natural and virtual objects will be called AR-forensic testing ground (AR-testing ground). Considering the AR polygon from the point of view of forms of action, we note that the most essential property of this technology for us is that it allows us to combine two forms of action - perceptual and material (materialized).
3 Results Augmented reality allows to combine the positive aspects of virtual objects and at the same time organize the student’s material action with real objects on which AR tags allow to apply of virtual traces of a crime. In Fig. 1, a simplified virtual crime scene environment is created using the 3D models available at open3dmodel.com. The figure shows three objects: a boat, a human body, and a nail hammer. For the consciousness of the AR polygon, the listed objects should be divided into objects of augmented reality, and the boat and the human body should be referred to them; and real ones - a murder weapon - a nail hammer, on which traces of blood and brain matter are applied using an AR-tag. Thus, picking up a real hammer, the trainee will see traces of blood on it and the scene of the crime.
Fig. 1. For the consciousness of the AR polygon, three objects are used: a boat, a human body and a nail hammer
Real world objects can act as AR tags. Figure 2 shows objects of the real world (nail hammer (1), magazine (4)) and virtual objects (money (2), pistol (3), knife (5), blood stain (6), pool of blood (7)), which complement the scene of the trail picture of the crime.
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Fig. 2. Examples of real world objects (1 and 4), supplemented with virtual objects (2, 3, 5, 6, 7)
In forensic practice, digital pointers and rulers are used. Therefore, they must be used as AR tags. Next, we will consider an example of using augmented reality technology to create a forensic scene of a trace picture of a crime, for example, in the cabin of water transport. The process of obtaining a forensic scene with augmented reality objects is as follows. AR-tags are laid out in the room (Fig. 3a). For augmented reality to work correctly, the following three steps are required. The first stage is the recognition of the AR-mark in space (Fig. 3b). To creating a forensic scene, digital pointers were used as AR-marks (Fig. 4), which have additional unique icons to increase recognition (marked with an arrow). Next is the stage of real-time tracking of the location of AR-tags in space using the camera of a mobile device. The last stage combines the real world with the created virtual objects and displays the result of the mixed video stream on the screen of a phone or tablet (Fig. 3c). The execution of the steps should take less than 40 ms to match the perception of the human eye and 25 frames per second.
Fig. 3. The process of working with AR-tags and obtaining a forensic scene - reconstruction of the trace picture of a crime: a) the location of the tags in space, b) capture and recognition of tags, c) combining the real world with the created virtual objects
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Fig. 4. An example of AR-marks in the form of digital pointers with additional icons for better recognition
As a result, the student sees the whole scene on the screen of a smartphone or tablet and can capture the screen (Fig. 5).
Fig. 5. The result of combining the real world with the created virtual objects as a reconstruction of the trace picture of the crime
The main content of a student’s work with an AR polygon is the examination and description of augmented reality objects located by tags and drawing up an examination protocol with photo tables.
4 Discussion The experience of using augmented reality in the creation of an AR forensic training ground made it possible to identify the positive aspects of the technology used and outline the prospects for its improvement. The positive aspects of the proposed technology for reconstructing the trace picture of a crime committed in transport include the possibility of a visual demonstration of the connections between objects that have an incomparable size. Demonstrations are subject
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to the connections existing between the traces of a crime, which can be measured in millimeters (for example, the hair of a criminal), centimeters (fingerprints of a criminal’s hand), meters (for example, a finger pontoon, container loading), kilometers (scatter of vehicle elements). It is necessary to illustrate the location of individual tracks on a large area, which is occupied by the location of the aircraft’s crash by the situation. (For this, a survey photograph is taken), as well as the connection between the situation (for this purpose, an orienting photograph is taken), in which a catastrophe occurred or a crime was committed, and the places of seizure of material evidence. From the technical point of view, the implementation of connections consists of imposing two spaces of different sizes on a tablet or smartphone screen. Changing the scale of the objects depicted while maintaining the real scale of the presented material evidence allows us to summarize the entire amount of information presented in the photo tables to the crime scene protocol and not to look for the corresponding photographs in a multivolume criminal case. Analyzing the presented patterns, we can conclude that as a result of the use of augmented reality, forensic photography receives fundamentally new possibilities for illustrating a trace picture, which allows simultaneously combining the positive aspects of all types of forensic photography. These patterns are of particular importance for reconstructing the trace picture of crimes committed in transport and transport infrastructure. The proposed technology is important for improving the forensic training of lawyers and can also be applied in the educational process of other specialties in the transport sector.
5 Conclusions Forensic science requires interaction with natural objects. Therefore, augmented reality technology is proposed in an acceptable form that is filled with forensic content. It uses virtual objects associated with natural objects that act as traces of a crime and physical evidence. The experience in the development of computer support for the reconstruction of the picture of a crime allows us to formulate criminalistic patterns of providing information available in a criminal case for crimes committed in transport. The special features are the need for a clear demonstration of the connections between objects that are not comparable in size. The solution to this problem using AR-reality makes it possible to illustrate the location of individual tracks over a large area. The use of augmented reality technology makes it necessary to revise the provisions of forensic photography. The new technology provides visibility of the trace picture of the crime, summarizing the types and methods of forensic photography in a single content. These patterns are of particular importance for reconstructing the trace picture of crimes committed in transport and transport infrastructure.
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2. Zhang, L., Ding, Z., Li, H., et al.: Dear identification based on sparse representation. PLoS ONE 9(4), 1–9 (2014) 3. Streefkerk, J.W., Houben, M., van Amerongen, P., ter Haar, F., Dijk, J.: The ART of CSI: an augmented reality tool (ART) to annotate crime scenes in forensic investigation. In: Shumaker, R. (ed.) VAMR 2013. LNCS, vol. 8022, pp. 330–339. Springer, Heidelberg (2013). https:// doi.org/10.1007/978-3-642-39420-1_35 4. Datcu, D., Lukosch, S., Lukosch, H., Cidota, M.: Using augmented reality for supporting information exchange in teams from the security domain. Secur. Inform. 4(1), 1–17 (2015). https://doi.org/10.1186/s13388-015-0025-9 5. Poelman, R., Akman, O., Lukosch, S., et al.: As if being there: mediated reality for crime scene investigation. In: CSCW 2012: Proceedings of the ACM 2012 Conference on Computer Supported Cooperative Work. Association for Computing Machinery, New York, pp. 1267– 1276 (2012). https://doi.org/10.1145/2145204.2145394 6. Lukosch, S.G., Poelman, R., Akman, O., et al.: A novel gesture-based interface for crime scene investigation in mediated reality. In: Proceedings of the CSCW Workshop on Exploring Collaboration in Challenging Environments, Seattle, Washington, pp. 1–4. ACM (2012) 7. Kobayashi, L., Zhang, X.C., Collins, S.A., et al.: Exploratory application of augmented reality/mixed reality devices for acute care procedure training. West J. Emerg. Med. 19(1), 158–164 (2018). https://doi.org/10.5811/westjem.2017.10.35026 8. Miller, M.R., Jun, H., Herrera, F., et al.: Social interaction in augmented reality. PLoS ONE 14(5), e0216290 (2019). https://doi.org/10.1371/journal.pone.0216290 9. Kuzenkova, G.V., Tolstolutsky, V.U.: Augmented reality as an additional means of forensic training. Mod. Probl. Sci. Educ. 3, 1–13 (2021). https://doi.org/10.17513/spno.30786 10. Kommera, N., Kaleem, F., Shah Harooni, S.M.: Smart augmented reality glasses in cybersecurity and forensic education. In: 2016 IEEE Conference on Intelligence and Security Informatics (ISI), Tucson, AZ, pp. 279–281. IEEE (2016). https://doi.org/10.1109/ISI.2016. 7745489 11. Anderson, A.: Virtual Reality, Augmented Reality and Artificial Intelligence in Special Education: A Practical Guide to Supporting Students with Learning Differences. Routledge, New York (2019) 12. Leung, W.S., Blauw, F.F.: An augmented reality approach to delivering a connected digital forensics training experience. In: Kim, K.J., Kim, H.-Y. (eds.) Information Science and Applications. LNEE, vol. 621, pp. 353–361. Springer, Singapore (2020). https://doi.org/10. 1007/978-981-15-1465-4_36 13. Kilgus, T., et al.: Mobile markerless augmented reality and its application in forensic medicine. Int. J. Comput. Assist. Radiol. Surg. 10(5), 573–586 (2014). https://doi.org/10.1007/s11548014-1106-9 14. Gee, A.P., Escamilla-Ambrosio, P.J., Webb, M., et al.: Augmented crime scenes: virtual annotation of physical environments for forensic investigation. In: MiFor 2010 Proceedings of the 2nd ACM Workshop on Multimedia in Forensics, Security and Intelligence, New York. Association for Computing Machinery, pp. 105–110 (2010). https://doi.org/10.1145/ 1877972.1877999 15. Daeid, N.N., Thomson, G.: Using virtual reality, augmented reality and mixed reality for crime scene visualization (2020). https://www.dundee.ac.uk/projects/using-virtual-reality-augmen ted-reality-and-mixed-reality-crime-scene-visualization. Accessed 15 May 2021 16. Shchur, L., Ziganurova, L.: Simulation of virtual time profile in conservative parallel discrete event simulation algorithm for small-world network. Lobachevskii J. Math. 38, 967–970 (2017). https://doi.org/10.1134/S1995080217050316
Coastal Protection Device in the Area of the Novosibirsk Water Park Evgeniy Sorokin(B)
and Marina Voroshilova
Siberian State University of Water Transport, Schetinkina st. 33, Novosibirsk, Russia [email protected]
Abstract. The problems arising during the construction of embankments on floodplain sections of rivers within urbanized territories are considered in this paper. The main problem of arranging soil dumping on the floodplain for the further construction of various objects is the impact of such embankments on riverbed processes. The solution of such problems is also complicated by the insufficient volume of hydrological surveys necessary for the study of riverbed processes. In the present work, an attempt is made to use the available limited hydrological data with an acceptable degree of accuracy to assess the impact of the development of the left-bank floodplain of the Ob River on riverbed processes. The performed studies made it possible to determine the roughness coefficients, calculate the slopes of the free surface and their relative change in the domestic and design state. The Ob River in the area of the Novosibirsk Water Park allows concluding that the flow rates can vary from 4 to 5% with regard to the common ones. Consequently, the dynamics of the riverbed flow will not undergo significant changes and will not affect the stability of the coastal strip both in the development area and in the areas upstream and downstream. Despite the fact that, in general, the influence of the object under construction on the dynamics of riverbed processes is insignificant, local erosion of the bank slope of the embankment under the foundation of the structures is possible. To prevent the negative consequences of local erosion, a device for securing the slopes is recommended. When choosing and calculating the options for fastening, the impact of the flow and wave effects were taken into account. As a result, 2 options for fastening the slopes of floodplain embankments were proposed and calculated – dumped rock embankment and fastening with monolithic reinforced concrete slabs. Keywords: Riverbed processes · Floodplain · Floodplain embankments · Bank protection
1 Introduction The problem of many large settlements located on the banks of rivers is, on the one hand, the desire to build new facilities as close to the river as possible, and on the other hand, a possible negative impact on riverbed processes and shoreline erosion. Thus, the problem of building floodplain sections of rivers requires an integrated approach, which includes not only the creation of conditions for the implementation of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1103–1110, 2022. https://doi.org/10.1007/978-3-030-96380-4_121
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construction, but also the need to assess the possible consequences of such intervention for riverbed processes, as well as taking into account the interests of all possible water users. In the presented work, an example of such an approach is considered in relation to the construction of the Novosibirsk Water Park.
2 Materials and Methods The Novosibirsk Water Park complex is located on the left bank of the Ob River within the city of Novosibirsk. Since this complex is mostly located in the area of a flooded floodplain area, its construction involves the creation of an artificial embankment. The embankment was planned to be created in two stages: – the first – an embankment directly adjacent to the building of the Water Park with a mark corresponding to the security level of 0.1%; – the second – a floodplain embankment for the construction of an outdoor pool of a health complex with a water park and a hotel. In the case of the construction of any structures on the floodplain section of the river, their influence on the processes occurring in the riverbed, in some cases, can be very significant with all the ensuing consequences. This effect occurs during periods of high water when water flows out to the floodplain. When deciding on the possibility of erecting a floodplain embankment, it was necessary to analyze its possible impact on riverbed processes. In world practice, considerable attention is paid to the interaction of hydraulic processes of the floodplain and the riverbed [1–14]. It should be noted that riverbed processes occurring in the floodplains of rivers are very complex due to the variety of external natural conditions. When performing a calculated estimate, it is necessary to apply an integrated approach based on the research results of the largest researchers in Russia and abroad. The section of the Ob River in the area of the Water Park is a section with a floodplain on the left bank, and this determines the methodology for further calculations. As a result of the analysis of topographic, climatic and hydrological materials, studies carried out by Moscow State University, as well as data from studies by other authors (Baryshnikov N.B.; Grishanin K.V., Degtyarev V.V., Seleznev V.M.; Chalov R.S.; Chow V.T. and others), a series of calculations was performed to solve the problem. The section of the river in the area of the Water Park is a riverbed with a onesided floodplain (left bank). The right bank is practically devoid of a floodplain, and as a result, it becomes possible to wash out and destroy the bedrock coast. In addition, such constraint can radically affect riverbed processes in general, especially the level drawdown, which has already reached a critical value by now. Thus, it became necessary to assess the impact on riverbed processes and stability of the right-bank coastal strip. It is also necessary to take into account the possibility of erosion of the riverbed along the berths of the left-bank cargo area of the Novosibirsk river port, which is unacceptable.
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Over the years after the construction of the Novosibirsk hydroelectric complex, there has been a significant decrease in the design water level, the value of which has not yet been established. Consequently, the results obtained in this work cannot be considered final due to the above reasons, and the work should be continued after the hydrological surveys in this area. At the same time, the available limited hydrological data already today make it possible to assess with an acceptable degree of accuracy the impact of the development of the left-bank floodplain on the above conditions. The influence of the floodplain on riverbed processes and shoreline erosion can hardly be overestimated, since the release of water to the floodplain during floods significantly changes the hydraulic characteristics of the flow. The degree of this influence depends on a large number of factors – topographic, geological, biological. The combination of these factors leads to a significant increase in roughness. So, if for the riverbeds of many lowland rivers the roughness coefficient n in the Chezy-Manning formula V=
1 2/3t1 /2 R n
(1)
(according to long-term researches of specialists) varies in the range of 0.025 ÷ 0.040, then for floodplains the range of variation of roughness can vary, depending on numerous conditions, in the range from n = 0.050 to n = 0.200. In this case, the effect of the roughness of the floodplain surface on the flow hydraulics changes depending on the degree of flooding of the floodplain. This leads to the fact that the use of the roughness coefficients given in the corresponding reference books gives a very approximate characteristic. To take into account the influence of the floodplain on the hydraulic characteristics of the flow during the flood, Yu.N. Sokolov proposed to determine separately the roughness coefficients caused by the relief of the floodplain nf and vegetation nv . σf nf = 0.025 + 0.25 hf lv nv = f p · dv
(2) (3)
where hf – average flow depth on the floodplain; lv – distance between roughness elements; df – width of the roughness section normal to the direction of flow; p – vegetation parameter, which is determined by the formula 3 p=
i=1 Sv hv δd a2 hf
where Sv – horizontal projection of vegetation, m2 ; hv – flooded vegetation height, m;
(4)
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δd – parameter that takes into account the degree of continuity of multilateral vegetation; a – linear length of the floodplain section, m. σf – standard deviation of floodplain surface elevations; The combined influence of vegetation and relief elements is expressed by the roughness coefficient n = nf2 + nv2 (5) To determine the degree of constriction of the floodplain by the embankment being erected and to determine the roughness coefficients, transverse profiles were built in the common and design state along six sections within the area under consideration. On the basis of the calculations performed, the roughness coefficients were determined, the slopes of the free surface and their relative change in the common and design state were calculated. Due to the low level of knowledge of riverbed processes on the floodplains, the calculations were carried out using most of the known methods, and the final conclusions were made based on the “worst” calculation results. To determine the degree of constriction of the floodplain by the planned development and to determine the roughness coefficients, calculations were performed in the common and design state. A series of calculations performed to determine the change in the slopes of the free surface of the Ob River in the area where the Novosibirsk Water Park is located allow concluding that the flow rates can vary from 4 to 5% with regard to the common ones. Consequently, the dynamics of the riverbed flow will not undergo significant changes and will not affect the stability of the coastal strip both in the development area and in the areas upstream and downstream. To assess the impact of the development of the left-bank floodplain on riverbed processes and changes in navigational conditions, the calculation of the plan of currents was carried out. As a result of the analysis of the obtained results, it was concluded that the proposed construction will not affect the course of the riverbed process and, as a consequence, the safety of the navigable route and the stability of the right bank. Despite the fact that, in general, the influence of the object under construction on the dynamics of riverbed processes is insignificant, local erosion of the bank slope of the embankment under the base of the structures is possible. To prevent the negative consequences of local erosion, a device for securing the slopes is recommended. Possible structures for fastening slopes are very diverse [2, 5, 11, 12, 15].
Fig. 1. The design of a monolithic reinforced concrete slope pavement: 1 - preparation from rubble; 2 - slabs made of monolithic reinforced concrete; 4 - downstream toe (concrete or stone prism).
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When choosing and calculating the options for fastening, the impact of the flow and wave effects were taken into account. As a result, 2 options for fastening the slopes of floodplain embankments were proposed, presented in Figs. 1 and 2.
Fig. 2. The design of the cover of the slope by dumped rock: 1 - natural stone; 2 - two-layer or one-layer preparation of gravel or crushed stone
For the variant of the embankment directly adjacent to the building of the water park, a structure made of monolithic reinforced concrete was adopted, since most of the time it is located above the common water levels, and for the floodplain embankment for the construction of an outdoor pool, it was fastened with damped rock. By itself, the calculation of the above structures for fastening slopes does not cause any particular difficulties. It is carried out in accordance with the requirements of the relevant regulatory documents. Design options adopted are subject to locally available building materials and customer requirements. When choosing suitable types of support for slopes, the authors reviewed and analyzed the existing types and methods of strengthening the banks. It should be noted that the use of most modern, progressive methods of coastal protection from destruction can be justified in the technical and economic aspect in the design and construction of coastal protection sections that are large in height and length. In the example under consideration, we are dealing with structures that are relatively small in height and length, and the use of expensive technologies and specialized construction equipment seems to be inappropriate. The proposed designs are distinguished by relative simplicity and have proven themselves well during operation in various conditions. The main factor that determines the reliability and trouble-free operation of such structures is the high-quality preparation of the base, therefore, at the initial stage of construction, a particularly strict control was carried out to fulfill the requirements of the project (compliance with the required steepness of slopes, high-quality compaction of the base and crushed stone preparation, etc.). Taking into account the importance of the design object and the possible consequences of accidents, the designed structures are classified as class II. When calculating the fastening structures, the main parameters of waves were determined. The sizes of wind waves are determined: wave height h = 0.44 m; period T = 2.18 s;
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wavelength λ = 7.4 m. To determine the elevation of the top of the slope attachment, the height of the wave run up onto the slope was calculated (Russian State Standard SP38.13330.2018). hrun = Kr kp Kp Ksp Krun h; For fixing with slopes Kr = 1.0; Kp = 0.9; Ksp = 1.4; Krun = 2.3 Thus, hrun = 1.0 * 0.9 * 1.4 * 2.3 * 0.44 = 1.27 m. Since the height of the wave run-up at maximum water levels exceeds the mark of the territory of the Water Park, then when fastening with monolithic reinforced concrete slabs, a reinforced concrete breaker parapet was provided to prevent the wave from overwhelming the slope. When calculating bank protection, both the height of the wave run-up and the possibility of erosion of the bottom at the base by descending water flows were determined. The performed calculations give the erosion depth h = 1.0 m, from where we determine the required volume of the downstream toe, which in this case, among other things, provides protection of the embankment base from erosion. Erosion of the base is possible as a result of the influence of two factors: longitudinal currents and waves. The largest erosion depths obtained only from wave actions or from the calculated longitudinal currents in the presence of waves were taken for the calculation. Since the erosion of the embankment base is unacceptable, the obtained erosion depths characterize the type and thickness of the reinforcement required to protect the embankment base from erosion. When calculating the fastening of the embankment slopes for the pool, it was necessary to determine the external influences. The impacts on rock-reinforced bank slopes and embankments can be calculated using the dependencies below. The fastening parameters are determined when the condition is met, which takes into account wave effects and longitudinal flows hw > 1.1
vf4 q2 hf
f (m)
(6)
where hw - calculated wave height determined by the Russian State Standard SP38.13330.2018; f(m) - coefficient depending on the steepness of the embankment slope and the coefficient of the natural slope of the stone under water; at m = 1.2 1.1 ·
1.64 · 1.66 = 0.062 < hw = 0.44 9.82 · 2.0
Consequently, the thickness of the attachment of the slopes (when they are strengthened with damped rock) will depend on the wave loads. As a result, the calculation was carried out and all parameters of the dumped rock embankment were determined.
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3 Results In the presented work, the following results were obtained: – an assessment of the possible impact of an artificial embankment on the floodplain section of the Ob River within the city of Novosibirsk on the change in riverbed processes and shoreline erosion was made. Based on the studies performed, the maximum permissible boundaries of the embankment were determined, which will not create conditions for any noticeable change in the hydrological regime. – the choice and calculation of two types of fastening of embankments slopes on different building sites has been made.
4 Discussion Riverbed processes that occur when water flows into the floodplains of rivers are very diverse due to almost the entire complex of external natural conditions (geological, hydrological, topographic, climatic, biological, etc.). This, obviously, is the reason that until now there is no unified approved methodology for assessing riverbed processes in floodplain sections of rivers. In most specific cases, the solution of such problems is a unique scientific study. The presented work should be considered as an attempt to solve the problem for a specific set of conditions.
5 Conclusions When solving problems related to the development of river floodplains, an integrated approach is required, taking into account a very wide variety of external conditions. It should also be noted that riverbed processes on the floodplains have not yet been sufficiently studied. Well-known publications refer mainly to specific cases. In domestic and foreign construction practice, we increasingly observe the desire to bring new construction of various objects as close as possible to the riverbed. The foregoing allows us to conclude that interference with riverbed processes occurring in the floodplain sections of rivers requires increased attention and large-scale research, especially within urbanized areas.
References 1. Toussaint, B.: Training the rivers and exploring the coasts. Knowledge evolution in the Netherlands in two engineering fields between 1800 and 1940. Phys. Chem. Earth, Parts A/B/C 34(3), 132–141 (2009). https://doi.org/10.1016/j.pce.2008.06.039 2. Oyegbile, B.O., Oyegbile, B.A.: Applications of geosynthetic membranes in soil stabilization and coastal defence structures. Int. J. Sustain. Built Environ. 6(2), 636–662 (2017). https:// doi.org/10.1016/j.ijsbe.2017.04.001
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3. Drago, E.C., Paira, A.R., Wantzen, K.M.: Channel-floodplain geomorphology and connectivity of the Lower Paraguay hydrosystem. Ecohydrol. Hydrobiol. 6(1), 31–48 (2008). https:// doi.org/10.2478/v10104-009-0003-2 4. Witt, E.C.: Evaluation of the U.S. geological survey standard elevation products in a twodimensional hydraulic modeling application for a low relief coastal floodplain. J. Hydrol. 531, 759–767 (2015). https://doi.org/10.1016/j.jhydrol.2015.10.051 5. Saathoff, F., Oumeraci, H., Restall, S.: Australian and German experiences on the use of geotextile containers. Geotext. Geomemb. 25(4–5), 251–263 (2007). https://doi.org/10.1016/ j.geotexmem.2007.02.009 6. Forzieri, G., Degetto, M., Righetti, M., Castelli, F., Preti, F.: Satellite multispectral data for improved floodplain roughness modelling. J. Hydrol. 407(1–4), 41–57 (2011). https://doi. org/10.1016/j.jhydrol.2011.07.009 7. Hiroshi, T., Hajime, N., Hao, Z.: Effects of hydraulic structures on river morphological processes. Int. J. Sedim. Res. 26(3), 283–303 (2011). https://doi.org/10.1016/S1001-6279(11)600 94-2 8. McMillan, H.K., Brasington, J.: Reduced complexity strategies for modeling urban floodplain inundation. Geomorphology 90(3–4), 226–243 (2007). https://doi.org/10.1016/j.geomorph. 2006.10.031 9. Beevers, L., Douven, W., Verheij, H.: Cumulative impacts of road developments in floodplains. Transp. Res. Part D: Transp. Environ. 17(5), 398–404 (2012). https://doi.org/10.1016/j.trd. 2012.02.005 10. Viparelli, E., Eke, E.C.: Channel-floodplain response to changes in sediment supply and floodplain width. In: Uijttewaal, W., et al. (eds.) River Flow 2020, pp. 601–609. CRC Press (2020). https://doi.org/10.1201/b22619-85 11. Heibaum, M.: Geosynthetics for waterways and flood protection structures – controlling the interaction of water and soil. Geotext. Geomemb. 42(4), 374–393 (2014). https://doi.org/10. 1016/j.geotexmem.2014.06.003 12. Elbisy, M.S.: Estimation of regular wave run-up on slopes of perforated coastal structures constructed on sloping beaches. Ocean Eng. 109, 60–71 (2015). https://doi.org/10.1016/j.oce aneng.2015.08.059 13. Whigham, P.A., Young, W.J.: Modelling river and floodplain interactions for ecological response. Math. Comput. Model. 33(6–7), 635–647 (2001). https://doi.org/10.1016/S08957177(00)00268-5 14. Guida, R.J., Remo, J.W.F., Secchi, S.: Tradeoffs of strategically reconnecting rivers to their floodplains: the case of the Lower Illinois River (USA). Sci. Total Environ. 572, 43–55 (2016). https://doi.org/10.1016/j.scitotenv.2016.07.190 15. Le Xuan, T., Ba, H.T., Anh, D.T.: Hydraulic performance and wave transmission through pile-rock breakwaters. Ocean Eng. 218, 108229 (2020). https://doi.org/10.1016/j.oceaneng. 2020.108229
Reducing the Metal Consumption of Ship Repair Using Fiberglass Composites Evgeniy Burmistrov1(B)
, Tatiana Mikheeva1
, and Marina Menzilova2
1 Volga State University of Water Transport, Nesterova str., 5, 603950 Nizhny Novgorod, Russia 2 Siberian State University of Water Transport, Schetinkina st., 33, Novosibirsk, Russia
Abstract. The article presents the intermediate results of a study carried out to determine the prospects for reducing the metal consumption of ship repair due to the expansion of the use of fiberglass composite materials. The field of research is ship repair, in particular, repair of hulls and erection of metal vessels, and the object is fiberglass used in the repair (as a kind of armopolymers), in particular, their strength and durability. The obtained results allowed us to establish that the use of fiberglass makes it possible to reduce the metal consumption of repairing local areas of the vessel by three times or more with the virtually complete restoration of the lost characteristics and properties of a wide range of repair objects. In addition, the article describes a method for calculating the thickness of a fiberglass coating that is equivalent in strength to a metal duplicate. In conclusion, it is concluded that it is necessary to expand the research area of the applicability of fiberglass (and polymer composites in general) in the repair of ships, without limiting it only with such obvious repair objects as the hull, erection, pipage. Keywords: Ship repair · Metal consumption · Armopolymers · Fiberglass · Polymer composites · Adhesion · Cohesion · Strength of the adhesive joint
1 Introduction During operation, river and sea vessels receive various damages. This can occur during loading and unloading operations, mooring operations, stranding, metal fatigue during a long service life, etc. [1–3]. Currently, at ship repair enterprises, the restoration of hulls and other elements of ships damaged during operation is mainly carried out with the use of metal (steel, aluminum-based alloys). Alternative materials are used much less often: wood, armed concrete, plastics. Polymer composites and their further development – armopolymers are considered as one of such substitutes. Fiberglass is an independent group of armopolymers of a complex composition (resin with various additives and reinforcing material), very popular structural materials. Due to a number of properties characteristic only for fiberglass, in particular, the possibility of varying the ratio of the adhesive composition and filler in a wide range, it is possible to obtain fiberglass materials that differ significantly in technical characteristics and create products for specific tasks [4]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1111–1119, 2022. https://doi.org/10.1007/978-3-030-96380-4_122
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Indeed, fiberglass duplicates are characterized by: excellent anti-corrosion properties, good resistance against chemical, electrochemical and biological damage; inertia to ultraviolet rays, high humidity, atmospheric precipitation. In addition, fiberglass has a significantly lower density and weight and at the same time strength at the level of high-quality structural steels. The operating temperature range is from −60 °C to +80 °C. Unique physical properties, such as: electrical insulation ability, low moisture absorption, coefficient of thermal expansion, heat capacity and thermal conductivity, relatively low production cost compared to steel, also make fiberglass a worthy alternative to metals. That is, even despite the presence of some shortcomings that have not yet been overcome (low modulus of elasticity (can cause undesirable deformations by bending products); weak wear resistance (manifests itself mainly under abrasive influences); over time, the decrease in strength and the occurrence of deformations; the formation of carcinogenic dust during mechanical processing; the dependence of the product quality on the manufacturing technology), currently fiberglass can be considered a material that combines high technological and strength qualities and an affordable price [5].
2 Materials and Methods The study of the applicability of fiberglass in ship repair is carried out on the basis of the Department of Design and Technology of Ship Construction from the late 1980s to the present. Since in the ship repair during this period, polymer composites were mainly used, based on multicomponent adhesive compositions of the Soviet and then Russian production of the Sprut series with standard technical characteristics corresponding to the patent SU 668334 and RD 39-30-968-83, the obtained statistics for the most part characterize this group of fiberglass as the most popular and in demand. The purpose of the research is to assess the prospects for reducing the metal consumption of ship repair by expanding the use of fiberglass to restore the lost characteristics and properties of a wide range of repair objects on modern ships (hull, erections, PSU, pipage, etc.). The research involves various theoretical and experimental methods. In particular, the adhesive strength of fiberglass compositions was determined by the method of inadvert peeling and the cut-off method, taking into account the results of studies of the interfacial strength of composites performed by B. Mahato, V. Babarinde, S. Abaimov, etc. [6–8], as well as by the method of limit states. The mathematical basis of the research is based on generally recognized methods of mathematical statistics and analysis. For the purpose of comparison, Table 1 presents the main characteristics of alternative materials used in ship repair. Table 1. Characteristics of materials for ship repair Name of the characteristic
Reinforced Plastics fiberglass
Density, t/m3
1.6…2.0
Strength limit by bending, MN/m2
690…1240 80..110
1.4
Carbon steel
Aluminum-magnesium Wood-based alloys materials
7.8
2.7
0.5…0.6
400
275
48.5…68.0
(continued)
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Table 1. (continued) Name of the characteristic
Reinforced Plastics fiberglass
Carbon steel
Breaking stress (bending), MPa
690…1240 80…110 400
Aluminum-magnesium Wood-based alloys materials 275
48.5..68.0
Breaking stress 410…1180 41…48 (bending), (stretching/compression), MPa
410..480 80…430
20.8..87.8
Modulus of elasticity, GPa
21…41
210
70
8.7..10.3
Coefficient of thermal conductivity, W/m·K
0.30…0.35 0.3
46
140…190
0.26..0.28
11…14
2.2…2.3
29.7..31.3
Coefficient of expansion, 5…14 10–6 mC−1
2.8
57…75
The density and mass of a fiberglass composite is determined by the volume of reinforcement and the used material for this. On average, it is 1.6…2.0 t/m3 . That is, the thesis known from the works of [1–5, 9] and other authors about the superiority of modern composite materials over traditional structural materials in many parameters is once again confirmed. In the conditions of serious competition on the world market of ship repair services, the issue of reducing the repair time of ships is very acute. According to the authors’ research, as well as the results presented in [10], the use of fiberglass can contribute to solving this problem. It is known that one of the most important problems in the operation of ships is increased corrosion wear of the structures of their hulls and erections, as they are continuously exposed to increased aggressive environmental influences (high humidity, freezethaw temperatures with significant differences, cyclic loads due to wave action, bulk loads during mooring and sluicing, etc.). The occurrence and intensity of corrosion is due to many factors and is well described, for example, in [11]. The results of the survey of the hulls of passenger motor vessels “Denis Davydov”, “Alexander Nevsky”, “Lev Tolstoy” (508), “Pyotr Andrianov” (80) and others are indicative in this regard. These defects showed that the hull structures, in particular, the open decks of these ships, are characterized by all possible types of corrosion damage [12]. For the metal decks of these vessels, the authors developed a technology for their repair using fiberglass based on the adhesive composition “Sprut-9M”. The thickness of the applied adhesive layer is fundamentally important here. With uniform wear, it should be no more than 1 mm. In other cases, the thickness of the adhesive layer is from 1.5 to 5 times greater, especially in the depressions. With a corrosion wear of 5… 10%, a layer of fiberglass is rolled along the glue layer. In places of through-corrosion, as well as in the presence of corrosion of 10…25%, two or more layers of fiberglass are rolled along the layers of glue (depending on the degree of damage).
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To calculate the thickness of a fiberglass duplicate, you can use the formula: (1) where m s the mass of the adhesive composition, kg; S – the area of the repaired area (the area of the fiberglass duplicate), m2 ; Pfb -the density of the reinforcing material (fiberglass), kg/m3 ; Kimp is the coefficient of impregnation of the reinforcing material with an adhesive composition (Kimp = 0.8…1.0). Moreover δ n ≥ δ fb , where δ ct is the thickness of the reinforcing material. The technology described above allows for the subsequent laying of metal duplicate linings on the putty. The bypass of the lining from the boundary of through corrosion should be more than 70… 75 mm. To calculate the thickness of the lining (duplicate) (δ d ), you can use the expression: (2) δd = kstren · h − h , m, where k stren is the strength coefficient determined empirically (k stren = 1.0…1.3); h – the design thickness of the repaired connection, mm; h’ is the minimum permissible residual bond thickness, mm. It is known from sources [9, 11] that the strength of the adhesive joint is determined by adhesive and cohesive bonds. The ratio of adhesive and cohesive bonds in this compound will determine the type of destruction [13]. Practice shows that the destruction of a fiberglass duplicate, as a rule, takes place along the boundary layer. Therefore, when analyzing the quality of the corresponding compounds, it is necessary to take into account the so-called “Bickerman relationships”. In general, they are described by a dependency of the following type (3) where K is the cohesion (cohesive strength of the joint); f –molecular strength of the compound, MPa; δ int – internal (destructive) stresses, MPa; α is the coefficient of the difference between the mechanical properties of the adhesive and the base material (substrate); β is the coefficient of structural heterogeneity of the adhesive composition. This equation does not take into account the change in the structure of the adhesive composition during its polymerization. And this, in our opinion, determines the appearance of internal stresses in it. Taking into account this circumstance, it is more correct to represent the dependence (3) as follows: (4) where σ p is the potential voltage, MPa: σp =
E(δ0 − δ1 ) · k, MPa, δ0
(5)
where E is the elastic modulus of the adhesive, MPa; k is the coefficient of the different thickness of the adhesive layer.
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Formulas (4) and (5) were tested experimentally by the authors. The experiments were carried out with the destruction of samples on: 1) shift; 2) uniform and 3) uneven separation. The seam shear modulus was calculated as: σk = τ · γ · krough , MPa,
(6)
where τ is the average stress in the seam: τ=
P , MPa, F
(7)
where P is the destructive force, MPa; F – area for applying the duplicate, mm2 ; K rough – the roughness coefficient of the sample surface (K rough = 1.0…1.5); γ-relative shift: γ =
l , mm, δt
(8)
where l is the displacement of the adhesive seam: l = l − l1 , mm,
(9)
where l is the initial length of the adhesive joint, mm; l1 – the length of the adhesive joint after shear tests, mm; δ t is the thickness of the adhesive seam (mm), where, taking into account the formula (5) δ t = δ 1 : δt =
σaj · l · krough , mm. τ
(10)
The calculation of σ aj allowed us to calculate the thickness of the adhesive joint, at which τ → max. Analysis of the results of experiments with overlapping joints shows that both pure fiberglass duplicates and fiberglass duplicates with metal overlays provide a safety margin of 25… 35% (see Table 2). Therefore, to calculate the adhesive joint, we can offer the following formula: n · r · Q ≤ m · R · S,
(11)
Table 2. Test data of full-scale samples of polymer composites for strength Sample description
Type of coating
Sample area, cm2
Breaking load, MPa
Fracture pattern
1. Metal with uniform corrosion wear
Metal without coating
105
1.52
The breakup on the base metal
Polymer composite reinforced with fiberglass in 1 layer on the glue “Sprut-9M”
105
1.87
(continued)
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Sample description
1. Metal with uneven corrosion wear
1. Metal with corrosion-resistant wear spots
Type of coating
Sample area, cm2
Breaking load, MPa
Polymer composite reinforced with fiberglass in 1 layer with a duplicate metal overlay on the glue “Sprut-9M”
105
2.16
Metal without coating
105
1.48
Polymer composite reinforced with fiberglass in 1 layer on the glue “Sprut-9M”
105
1.77
Polymer composite reinforced with fiberglass in 1 layer with a duplicate metal overlay on the glue “Sprut-9M”
105
2.03
Metal without coating
105
1.41
Polymer composite reinforced with fiberglass in 1 layer on the glue “Sprut-9M”
105
1.76
Polymer composite reinforced with fiberglass in 1 layer with a duplicate metal overlay on the glue “Sprut-9M”
105
2.01
Fracture pattern
where n = 1.5 is the stress concentration coefficient; r = 1.1 is the coefficient that takes into account the possible excess of the standard load; Q – standard load, kg; m-coefficient that takes into account the operating conditions); R is the calculated resistance; S is the area of the glued surfaces, cm2 . For ease of use, the formula (11) is better represented as follows: n · r · Q ≤ m · ku · kl.r · R · S,
(12)
where ku is the coefficient of uniformity; kl.r . is the coefficient of long-term resistance for polyester adhesives.
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Substituting the numerical values of the coefficients into the formula, we get: 1, 5 · 1, 1 · Q < (0, 6 . . . 0.8)(0, 35 . . . 0, 70)(0, 50 . . . 0, 55)Rr · S,
(13)
where Rr is the regulatory resistance, MPa. In order to ensure equal conditions by evaluating the strength of fiberglass duplicates and fiberglass duplicates with a metal overlay, the limit state method was used in both cases [14]. During the calculations, the coefficient of normative resistance Rr was determined. As a result, the range of values of the kl.r coefficient included in the formula (12) and the co coefficient included in the same formula was determined. Under optimal bonding conditions, kl.r = 0.50…0.55 and co = 0.35…0.70 [15]. The product of Rr by k u gives the value of the calculated resistance: R = ku Rr , MPa
(14)
By the coefficient n (formula (11)) it is possible to adequately take into account the unevenness of the shifting forces in the joints [16, 17]. When the thickness of the adhesive layer is 0.1, the thickness of the connected elements is n = 1.5.
3 Results Based on the results of the already completed part of the study, the main provisions of which are set out in this article (the study itself is ongoing), a method for calculating the strength of fiberglass duplicates (including those with cover plates) for repairing hulls and erections of metal vessels, as well as a method for predicting the durability of such joints can be created. For example, assume that the local deck area for a load of Q = 1000 kg has an area of S = 1.0 m2 . It is repaired with fiberglass based on the Sprut-9M multicomponent adhesive composition and single-layer fiberglass. Substituting this data into our formulas, we get: 1.5–1.1–1000 < 0.6 · 0.35· 0.5· 8.86 · 1000 · 1650 kg < 9303 kg. From the obtained result it follows that under the action of static loads, the strength of this repaired section of the deck is sufficient.
4 Discussion The performed study of the use of fiberglass in ship repair suggests their high prospects for reducing the metal consumption of ship repair. From the analysis of Table 1, it follows that the metal consumption of repairing the local surfaces of the objects under repair can be reduced by more than three times. At the same time, the results of the study allow us to state that in many cases it is possible to completely restore the lost characteristics and properties of a wide range of repair objects on ships (hull, erections, PSU, pipage, etc.), as evidenced by extensive statistics. As the part of the study were used the method of inadvert peeling, the cut-off method and the method of limiting states. Their use confirms the reliability of the obtained results. On the basis of these methods, as well as using the known formulas (1) and
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(2), in particular, the thicknesses of a fiberglass coating equivalent in strength to a metal duplicate are calculated, and formulas (14) and (15) are obtained to determine the calculated resistance R of the coating (necessary for evaluating the durability of the coating). The results of this part of the research allowed us to obtain practical data on testing full-scale samples for strength (Table 2), as well as the thickness of the reinforcing layer of fiberglass during the repair of ship hull metal structures (Table 3). In addition, the ranges of changes in the coefficient of long-term resistance of joints (kl.r.) and the coefficient of uniformity (ku)) included in the formula (12) for calculating the adhesive joint were experimentally established. That is, in general, the goal and tasks set by the authors have been fulfilled, although a number of very important aspects of the use of fiberglass (and polymer composites in general) in ship repair were considered outside of consideration. All these aspects require separate consideration, since each of them has very special features.
5 Conclusions The results of the research allow us to formulate the following conclusions: 1) the use of fiberglass makes it possible to reduce the metal consumption of repairing local areas of repaired objects on the ship by more than 3 times; 2) with the correct determination of the thickness of fiberglass duplicates, it is possible to completely restore the lost characteristics and properties of a wide range of repair objects on the ship. The effect is enhanced by the additional use of thinly-laminated metal duplicates (where possible); 3) the methods used in the study made it possible to calculate the thickness of the fiberglass coating, which is equivalent in strength to a metal duplicate, and also to obtain the calculated expressions (14) for determining the calculated resistance R of the coating, which largely determines its durability; 4) the ranges of changes in the coefficient of long-term resistance of the joint (kl.r ) and the coefficient of uniformity (ku ) included in the formula (12) for calculating the adhesive joint are experimentally established. They are, respectively: for ku = 0.35…0.70; for kl.r . = 0.50…0.55; 5) it is necessary to expand the research area of the applicability of fiberglass (and polymer composites in general) in the repair of ships, not limiting it only to the most obvious objects of repair (hull, erection, pipage), but also extending them to other elements of ships (elements of ship mechanisms, PSU; various ship devices, etc.).
References 1. Ashley, L., Haseebuddin, M.R., Harsha, S., Ganesh Acharya, K., Balaji, G., Bhaskar, P.: Mechanical behavior of disposed fiberglass filled bamboo mat reinforced polyester composite. Mater. Today: Proc. (2021) (In Press). https://doi.org/10.1016/j.matpr.2020.12.822
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2. Zhang, W., Zhang, X., Qin, Z., Yiwei, W., Zhang, W., Yang, R.: High-transparency polysilsesquioxane/glycidyl-azide-polymer resin and its fiberglass-reinforced composites with excellent fire resistance, mechanical properties, and water resistance. Comp. Part B: Eng. 219, 108913 (2021). https://doi.org/10.1016/j.compositesb.2021.108913 3. Dagwa, I.M., Egege, C.M., Omiogbemi, I.M.-B., Arogundade, A.: Physical and thermomechanical behaviour of adansonia digitata-glass fibres and ceramic hybrid epoxy composite. Mater. Today: Proc. 45(6), 4587–4594 (2021). https://doi.org/10.1016/j.matpr.2020.12.1230 4. Russell, C.: Composites: long-term viability and benefits. Reinforc. Plast. 49(9), 36–42 (2005). https://doi.org/10.1016/S0034-3617(05)70766-9 5. Bai, Y., Jin, W.-L.: Chapter 2 - Marine Composite Materials and Structure // Marine Structural Design, pp. 19–37, 2nd edn. (2016). https://doi.org/10.1016/B978-0-08-099997-5.00002-2 6. Mahato, B., Babarinde, V., Abaimov, S., Lomov, S., Akhatov, I.: Interface Strength o Glass Fibres in Polypropylene: Dependence on the Cooling Rate and the Degree of Crystallinity, vol. 41, pp. 1310–1322. Wiley, USA. https://doi.org/10.1002/pc.25456 7. Nayak, S., Mohanty, S., Samal, S.: Influence of interfacial adhesion on the structural and mechanical behavior of PP-banana/glass hybrid composites. Polym. Comp. 31, 1247–1257 (2009). https://doi.org/10.1002/pc.20914 8. Sugihara, H., Jones, F.R.: Promoting the adhesion of high-performance polymer fibers using functional plasma polymer coatings. Polym. Compos. 30(3), 318–327 (2009). https://doi.org/ 10.1002/pc.20603 9. Wahrhaftig, A., Ribeiro, H., Nogueira, A.: A structural composite for marine boat constructions. In: Marine Composites, pp. 301–314. Elsevier (2019). https://doi.org/10.1016/B978-008-102264-1.00010-8 10. Anoshkin, A.N., Vil’deman, V.E., Lobanov, D.S., Chikhachev, A.I.: Evaluation of repair efficiency in structures made of fibrous polymer composite materials. Mech. Comp. Mater. 50(3), 311–316 (2014). https://doi.org/10.1007/s11029-014-9416-0 11. Tikhomirov, A.V.: Resource-saving technologies based on the use of polymers in shipbuilding and ship repair: monograph. Publishing House of FGOU VPO “VGAVT”, N. Novgorod (2006). ISBN 978–5–4365–1885–5 12. Cao, J., et al.: Characterization of mechanical behavior of woven fabrics: experimental methods and Benchmark results. Compos. A Appl. Sci. Manuf. 39(6), 1037–1053 (2008) 13. Sorkin, G., Pohler, C.H., Stavovy, A.B., Borriello, F.F.: An overview of fatigue and fracture for design and certification of advanced high performance ships. Eng. Fract. Mech. 5(2), 307–352 (1973). https://doi.org/10.1016/0013-7944(73)90025-8 14. Lobanov, D.S., Vildeman, V.E., Babin, A.D., Grinev, M.A.: Experimental research into the effect of external actions and polluting environments on the serviceablity of fiber-reinforced polymer composite materials. Mech. Compos. Mater. 51(1), 69–76 (2015) 15. Matseevich, T.A., Kovriga, O.V., Askadskii, A.A.: The influence of the chemical composition and concentration of components of a polymer/nanoparticle mixture on their flow temperature. Int. Polym. Sci. Technol. 44(10), 23–26 (2018). https://doi.org/10.1177/0307174X1704 401005 16. Vallons, K., Adolphs, G., Lucas, P., Lomov, S.V., Verpoest, I.: The influence of the stitching pattern on the internal geometry, quasi-static and fatigue mechanical properties of glass fibre non-crimp fabric composites. Compos. A Appl. Sci. Manuf. 56, 272–279 (2014) 17. Helbling, C., Karbhari, V.M.: Durability. assesment of combined enviromental eposur and bending. In.: Proeedings of 7-th International Symposium on Fiber Reinforsed Polymer Reinforcement Concrete Structures (FRPRCS-7), pp. 1379–1418. New Orlean, Loisiana, USA (2005)
Parameters Modeling of Deformed Components of Hull Structures Pavel Bimberekov1(B)
and Evgeney Burmistrov2
1 Siberian State University of Water Transport, 33, Schetinkina St., Novosibirsk 630099, Russia
[email protected] 2 Volga State University of Water Transport, 5, Nesterov st., Nizhny Novgorod 603950, Russia
Abstract. The research compares precise, strength-defining characteristics, geometrical parameters of cross-section of the deformed frame beam’s web and the frame beam with a hull strake attached for a deformed web with several models that successively replace the original section. The models have several options for the ratio of the height of the web to its thickness and different forms of buckling of the beam web. In addition, it is demonstrated that the precision of modeling makes it possible to satisfactorily assess the geometric parameters of the strength of the cross-section of the frame beams of the ship’s set with a deformed web without direct access to the beam and evaluate the zone and type of web strain by measuring the deformation of the outer sheathing at the point where beam is attached. A composite model is recommended as the main one, representing a combination of a simulated undeformed T-beam with a web of the same thickness, depth, which is equal to the that of the web of the deformed beam, and plating onto the plane of the beam web adjacent to the casing. It is concluded that the use of the above-mentioned simulation method makes it possible to obtain an analytical description of the geometric parameters for strength of a model with satisfactory accuracy. Keywords: Ship skeleton · Deformed beam · Model · Strength · Modeling accuracy
1 Introduction During operation, vessel hulls accumulate damage in the form of wear and permanent deformations which have an impact on the strength characteristics of structure hulls and are therefore standardized by ship-classification societies [1–3]. The frame beams of the framing often suffer deformation-type damage in the form of buckling and edge deformation of the webs thereof; moreover, buckling means deformation of the entire web of the beam along its depth in one cross section, while the edge deformation is partial and takes place in the web adjacent to the structure hull. With both of these types of deformation, the geometric parameters of the buckling strength in the cross-section of the t-beam - moments of inertia and resistance - change in some way. Experimental evaluation of the performance of damaged beams is generally difficult and impractical because of the apparent undesirability of their removal from the hull or the difficulty © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1120–1132, 2022. https://doi.org/10.1007/978-3-030-96380-4_123
Parameters Modeling of Deformed Components of Hull Structures
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of loading them to control the fixed parameters, however such solutions exist and are described, for example, in [4–6]. In order to perform accurate calculation of the above parameters of the deformed beams it required to know the exact form of the crosssectional profile resulting from the damage. Selection of models for the cross-section of the beam with a deformed web and consequent accuracy assessment of the simulation are the main goals of the study. Accuracy assessment of these model variants in determining the types of reinforcements for damaged beams is of interest. In this regard, the study takes into account the option to strengthen the strained web of the frame beam with plate elements in plane of the web provided by methods [7–9]. At the same time, there is possibility to reinforce the casing with plate elements [10], composite materials [11, 12] and framing beams [13–15]. Figure 1 shows the cross-sectional type of the original undamaged frame t-beam with the hull strake attached. It consists of a web 1 of area f and height hc (at thickness t c ), flange 2 of area f 1 , with a hull strake f2 attached. The height of a given t-beam profile of an area f1 + f is hPR . The total height of the profile in the figure is hT .
Fig. 1. Cross-section of a non-deformed frame t-beam with an attached hull strake (i.a. is the initial axis at the beginning of the calculation of the geometric parameters for the cross section, conventionally selected in the middle of the thickness of the attached hull strake).
Figure 2 shows a cross-section of a damaged frame T-beam with an edge deformation of the web with an attached hull strake, design and options for its modeling. The position of the web and the attached strake of the original structure is indicated by dashed lines.
Fig. 2. Cross-section of a deformed frame t-beam with an attached hull strake at the edge deformation of its web, reinforced with a plate element (a) and a number of stepwise versions of its simulation (b, c) and simulation of its parts (d, e) (the figure is taken from [9] with preserving the numbering of elements source).
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Figure 3a shows a cross-section of a damaged frame T-beam with an edge deformation of the web with an attached hull strake reinforced with a plate element 18 in plane of the beam’s web, and options for its modeling.
Fig. 3. Cross-section of a deformed frame t-beam with an attached hull strake at the edge deformation of its web, reinforced with a plate element (a) and stepwise versions of its simulation (b) and simulation of its parts (c) (the figure is taken from [9] with preserving the numbering of elements source).
2 Materials and Methods The research was carried out by the authors in the creative partnership of the departments «Ship Theory, Shipbuilding and Materials Technology» (SSUWT) and «Ship Construction Design and Technology» (VSUWT) in 2021. In order to select the best models and to evaluate the accuracy of the simulation parameters of the cross-section of the frame tbeams with deformed webs, it was necessary to obtain samples of the characteristic form of deformation of the webs of the frame beams. For these purposes, we used the data of scanning the cross-sectional profiles of deformed tin models made using the patent for useful model No. 31650 “Samples for model tests of structures”, publ. 20.08.2003, bul. No. 23. Cross section scanning of deformed beam models was measured using dial indicator gages ICh10 at a 0.2 mm interval for height with an accuracy of reading from the indicator of 0.01 mm. Measurements were made from the strakes of the beam and then superimposed on each other at the right height. Several values of geometric parameters for deformed models are given in Table 1. The deformed web profiles of the models are copied and scaled in «Kompas» CAD and, using the CAD toolkit, there were obtained precise values of geometric parameters of cross-section. The values are presented in Table 2.
Parameters Modeling of Deformed Components of Hull Structures
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Table 1. Values of geometric parameters for cross-section of the webs in deformed models. Parameter
Beam with intact web size t C × hC 0.33 × 0.33 × 0.33 × 0.52 × 13.2 19.2 26.4 20.8
0.52 × 31.2
0.52 × 41.6
Actual height of 9.2 the deformed web according to the measurements of the deformed section of the web, mm
15.4
22.8
19.8
29.0
39.8
Actual maximum 3.40 deformation (buckling) in comparison to its initial (intact) position, mm
3.97
4.43
1.02
2.36
−1.71/1.29
The scenarios for defining the deformation zone of the web of the beam are as follows: – form of deformation is fully known; – deformation form of the beam web is unknown, but it is assumed that it is edge-type of height 0,4hCD (where hCD = hC -ω); – deformation form of the beam web is unknown, but it is assumed that its length is 2/3hCD ; – deformation form of the beam web is unknown, but it is assumed that it propagates over entire length of the web. When assessing the value of arrow’s deviation in comparison to the initial position (buckling) of the web that has no contact with the framing for our calculations, the deviation value shall be deemed correct and determined by the expression: fB /hC = 13[1 − exp(−5, 5ω/h)/40 + (m − 40)/2], Where f B /hC is relative value of the arrow of the web buckling to its height; ω/h is relative size of the dent at the point where framing is attached; m = hC /t C ; is the ratio of the height of the beam web to its thickness.
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Table 2. The value of the geometric parameters of the graphical models of the cross-section of the webs of deformed models in the “Kompas” CAD and the calculated values of T-beams with an attached hull strake. Parameter
Beam with intact web size t C × hC 0.33 × 13.2
0.33 × 19.2
0.33 × 26.4
0.52 × 20.8
0.52 × 31.2
0.52 × 41.6
1. Height of the 9.21 graphical model for the cross-section of the deformed web, mm
15.40
22.70
19.85
29.06
39.88
2. Length on one side of framing heightwise of the graphical model for the cross-section of the deformed web, mm
19.12
26.60
20.19
30.16
40.98
3. Maximum 3.43 values for deformation of arrows (buckling) in comparison to its initial (intact) position, mm
3.96
4.43
1.00
2.35
−1.69/1.31
4. Sectional area 4.28 of the graphical model for the cross-section of the deformed web, mm2
6.30
8.80
10.43
15.57
21.28
5. Center of gravity position according to 4, mm
6.736
10.24
9.85
14.17
19.81
12.99
3.965
(continued)
Parameters Modeling of Deformed Components of Hull Structures
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Table 2. (continued) Parameter
6. Central moment of inertia of the area according to 4, which is relative to the horizontal axis of the deformation, mm4
Beam with intact web size t C × hC 0.33 × 0.33 × 0.33 × 0.52 × 13.2 19.2 26.4 20.8
0.52 × 31.2
0.52 × 41.6
36.0
148.2
439.6
348.6
1146
2856
7. Central 529.2 moment of inertia of cross-section of the t-beam with hull strake attached to the deformed web according to the graphical model of the cross-section of the web relative to the horizontal axis of the deformation, mm4
1493
3320
3965
8808
17316
8. The position 3.26 of the neutral axis of the cross-section of the graphical model of the cross-section of a t-beam with an attached hull strake to a deformed web relative to the original axis Fig. 1, mm
5.48
8.18
7.37
11.0
15.6
(continued)
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P. Bimberekov and E. Burmistrov Table 2. (continued) Beam with intact web size t C × hC 0.33 × 0.33 × 0.33 × 0.52 × 13.2 19.2 26.4 20.8
Parameter
9. Section 81.2 modulus of resistance based on 7, 8, mm3
142.5
220.2
296.6
0.52 × 31.2
0.52 × 41.6
464.9
688.0
3 Results The calculation for the positions specified above will be performed in Tables 3, 4, 5 and 6. Table 3. The value of the geometric parameters for the cross-section of the models of deformed webs and t-beams with a hull strake attached to these webs under the assumption that the shape of its deformation is fully known and simulated according to Fig. 2b. Parameter
Beam with intact web size t C × hC 0.33 × 13.2
0.33 × 19.2
0.33 × 26.4
0.52 × 20.8
0.52 × 31.2
0.52 × 41.6
Model
Webs
Beams
Webs
Beams
Webs
Beams
Webs
Beams
Webs
Beams
Webs
Beams
f, cm2
4.12 −3.85
–
6.23 −2.03
–
8.61 −2.21
–
10.5 0.25
–
15.6 0.49
–
21.2 −0.27
–
, % zC ,cm , %
3.79 −4.52
3.23 −
6.23 −1.07
10.5 −
10.1 −1.17
8.21 −
9.83 −0.25
7.36 −
14.1 −0.33
11.0 −
19.6 −1.08
15.5 –
zC ,cm4 , %
34.4 −4.36
527.4 −0.349
6.55 −2.82
1488 −0.426
422 −4.02
3318 −0.061
348 −0.18
3963 −0.067
1146 0.04
8804 −0.041
2879 0.81
17298 −0.106
WC ,cm4
–
80.6
–
141.4
–
220.5
–
296.4
–
464.5
–
685.1
, %
−0.820
−0.824
0.153
−0.075
−0.086
−0.426
Where: f is area of the web; zC is center of gravity position of cross-section of the deformed web relative to hull; iC and WC are central moment of inertia of cross-section either of the deformed web or the beam and central modulus of resistance of the beam relative to the horizontal axis; , % is error compared to the prices value (Table 1), %
From the analysis of Table 3, there follows a conclusion about the satisfactory application of the approximating broken lines, which simulate the estimated parameters of the initial graphical model of the web, mainly with an error of ±2%. Furthermore, from the comparison of data in Tables 4 and 5, it is obtained that the specified parameter errors in the model of the broken line are leveled for the estimated parameters of the beam with the attached hull strake to the error within 1%, which can be deemed satisfactory. Simulation calculations for the estimated parameters of beams with an attached hull strake according to the option in Fig. 2c with modifications of replacing element 15 with elements 16 and 17 are given in Table 6.
0.4hCD
4.58
9.97
3.27 −17.5
38.7 7.45
f, cm2
, %
zC , cm , %
zC , cm4 , %
38.7 7.47
3.40 −14.25
3.27
4.42
2/3hCD
0.33 × 13.2
39.5 9.73
3.48 −12.2
1.06
4.33
1.0 hCD
163 10.3
6.01 −10.7
6.88
6.73
0.4hCD
161 8.80
6.15 −8.66
4.56
6.58
2/3hCD
0.33 × 19.2
Beam with intact web size t C × hC
Zone of deformation
Parameter
163 9.70
6.23 −7.50
3.28
6.51
1.0hCD
483 9.77
9.38 −8.37
6.03
9.24
0.4hCD
477 8.49
9.52 −7.01
3.64
9.11
2/3hCD
0.33 × 26.4
479 8.89
9.60 −6.29
2.75
9.04
1,0 hCD
377 8.21
9.54 −3.14
3.14
10.8
0.4hCD
376 8.00
9.55 −3.02
3.01
10.7
2/3hCD
0.52 × 20.8
376 8.00
9.56 −2.96
2.95
10.7
1,0hCD
1280 11.7
13.5 −4.59
4.72
16.3
0.4hCD
1275 11.2
13.6 −4.32
4.41
16.3
2/3hCD
0.52 × 31.2
1275 11.2
13.6 −4.18
4.26
16.2
1,0hCD
3021 5.79
19.3 −2.70
0.92
21.5
0.4hCD
3021 5.78
19.3 −2.70
0.92
21.5
2/3hCD
0.52 × 41.6
3021 5.78
19.3 −2.66
0.88
21.5
1,0 hCD
Table 4. Values of geometric parameters for cross-section of the webs in deformed models when simulating zones of deformations as a broken line with a various value of propagation by height of the strained web hCD , according to Fig. 2b.
Parameters Modeling of Deformed Components of Hull Structures 1127
−1.115
−0.752
80.6
530.0 0.130
1.0 hCD
−0.943
141.2
1499 0.351
0.4hCD
−0.613
141.5
1498 0.305
2/3hCD
0.33 × 19.2
−0.745
141.2
1501 0.455
1.0hCD
0.251
220.7
3358 1.120
0.4hCD
0.402
221.0
3356 1.061
2/3hCD
0.33 × 26.4
0.626
221.5
3359 1.175
1,0 hCD
The main designations are similar to those adopted in Table 2. Moreover, hCD is the height of the deformed beam web
80.3
−1.376
530.7 0.291
2/3hCD
80.1
530.0 0.150
iC , cm4 , %
WC , cm4 , %
0.4hCD
0.33 × 13.2
Beam with intact web size t C × hC
Zone of deformation
Parameter
−0.022
296.6
3979 0.347
0.4hCD
−0.013
296.6
3979 0.342
2/3hCD
0.52 × 20.8
0.001
296.6
3979 0.349
1.0hCD
0.071
465.2
8883 0.852
0.4hCD
0.100
465.4
8881 0.833
2/3hCD
0.52 × 31.2
0.146
465.6
8883 0.854
1.0hCD
−0.303
685.9
17389 0.416
0.4hCD
−0.294
686.0
17387 0.407
2/3hCD
0.52 × 41.6
−0.280
686.1
17388 0.414
1.0 hCD
Table 5. Value of geometric parameters for cross-section of t-beams with an attached hull strake when webs are deformed according to Table 4.
1128 P. Bimberekov and E. Burmistrov
4
82.2 1.189
531.6 0.447
hCD
1.0
80.5 −0.980
524.2 −0.953
2/3hCD
0.33 × 13.2
80.7 −0.631
523.5 −1.073
hCDI
144.5 1.368
1494 0.013
1.0hCD
141.7 −0.575
1479 −0.979
2/3hCD
0.33 × 19.2
Beam with intact web size t C × hC
141.8 −0.488
1473 −1.393
hCDI
225.1 2.251
3328 0.233
1.0 hCD
0.33 × 26.4
221.1 0.426
3297 −0.695
2/3hCD
222.6 1.075
3285 −1.058
hCDI
298.5 0.612
3979 0.354
1.0hCD
296.8 0.065
3967 0.052
2/3hCD
0.52 × 20.8
296.6 −0.083
3966 0.0 29
hCDI
470.6 1.217
8854 0.531
1.0hCD
464.1 0.115
8803 −0.556
2/3hCD
0.52 × 31.2
465.4 0.115
8795 −0.145
hCDI
710.1 3.218
17725 2.362
1.0 hCD
0.52 × 41.6
689.7 0.246
17452 −0.542
2/3hCD
689.6 0.228
17426 0.632
hCDI
broken line residual thickness, i.e. by replacing element 15 (Fig. 2) or 16 with element 17
The main designations are similar to those adopted in Table 2. Moreover, hCD is the height of the deformed beam web, hCDI = 2/3hCD is the height of the simulated plate, compensating and equal in cross-sectional area to the
WC , cm , %
iC , cm4 , %
Zone of deformation
Parameter
Table 6. Value of geometric parameters for cross-section of t-beams with an attached hull strake when performing simulation according to the variant Fig. 2c with an account of element 15 with element 16 (two columns for each beam) and with element 17 (third column for the same beam).
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It follows from Table 6 that the estimated variants of the model are practically equal to the variants of Table 5. Comparison of the values for calculating the geometric parameters of the crosssection of t-beams with the attached hull strake when simulating according to the variant in Fig. 2c, taking into account the replacement of element 15 with element 17 (the last of the three columns in the table for each beam) and the reinforcement of elements 18 according to Fig. 3 is demonstrated in Table. 7. Table 7. Value of geometric parameters for cross-section of T-beams reinforced with a plate element in the plane of t-beam web with attached hull strake. Parameter
Beam with intact web size t C × hC 0.33 × 13.2
0.33 × 19.2
0.33 × 26.4
0.52 × 20.8
0.52 × 31.2
0.52 × 41.6
Precise value
Model
Precise value
Model
Precise value
Model
Precise value
Model
Precise value
Model
Precise value
Model
iC , cm4 , %
553.5
546.6
1556
1534
3494
3437
4081
4082
9199
9186
18266
18372
−
−1.248
−
−1.383
−
−1.631
−
0.028
−
−0.135
−
0.582
WC , cm4 , %
86.6 −
85.8 −0.844
150.3 −
149.5 −0.578
234.5 −
232.6 −0.799
304.8 −
305.0 0.061
484.1 −
484.5 0.084
717.6 −
719.7 0.296
The main designations are similar to those adopted in Table 2
It can be seen from the table that the proposed cross-sectional model provides satisfactory accuracy with an error of the result, which in most cases is no more than 1.5% in absolute value.
4 Discussion When analyzing the Table 5 we may assume that the most accurate option of modeling both the moment of inertia and the moment of resistance is when the deformation of the beam web is equal to 2/3hCD . Taking into account probable impossibility to access the deformed beams from the inside of the hull, we are going to compare the error in obtaining the result under the specified scenarios to determination of the length of the beam web deformation along its height. Analyzing the data in the Table 5, one can notice that their difference is insignificant in terms of obtaining final calculation result: in particular, the difference between values of the required geometric strength parameters of cross-sections of beams with the attached hull strake – moments of inertia and resistance. Sequenced modeling of the residual section of polygonal path in accordance with the options shown in Fig. 2c, 2d before adding extra plate element of the same area in a plane of the beam web did not lead to deterioration of the final result. Moreover, according to the error value the final result has even improved in a number of cases. The use of the specified combined model consisting of an imitation beam with an additional metal plate of the residual area and a reinforcing plate element, led to sufficiently accurate calculation of the required geometric parameters, which is understandable, since complementation of the calculation scheme with an element having exact characteristics should have led to a decrease in errors.
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5 Conclusions The described options for modeling cross-sections of deformed webs of frame T-beams proved that the method of considering a deformed web as a composite model is the simplest and yet quite accurate method. This model represents an assembly of an undeformed simulated T-beam, a wall of the same thickness, the height of which is equal to the height of the deformed beam web, and an extra plate element in the plane of the beam web adjacent to side plating. The cross-sectional area of the extra plate element is taken equal to the difference between the areas of webs of the non-deformable modeled and simulated beams, while its height is taken equal to 2/3 of the height of the deformed beam, and possibly of the undeformed beam. Thus, the proposed approach, which allows finding fairly simple intermediate solutions and completing the final model via sequenced modeling, gives a satisfactory result as applied to the description of geometry parameters of the modified (deformed) beams. We also would like to note the possibility of its rational use in elaboration of dynamically changing models [16, 17].
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Influence of the Slot Configuration on Its Stability (On the Example of the Ob River) Tatayna Pilipenko , Arseny Kalashnikov(B)
, and Ilya Botvinkov
Siberian State University of Water Transport, 33, Schetinkina St., Novosibirsk 630099, Russia
Abstract. The article discusses the issue of assessing the stability of dredging slots in the Ob River section. An important challenge in the dredging and straightening works production is the issue of the dredging slots stability. The experience of researching the issue is considered, a brief review of the literature is presented. The necessity of developing regional strategy for assessing the slots stability has been substantiated. Field data were obtained and analyzed in the course of track works on the Ob River cripples. A regional strategy for assessing the working width loss in dredging slots made on the Ob River “Novosibirsk - Tom river mouth” reach cripples is proposed. The dependences of the width loss in the slot on time after the work production on the roll, which make it possible to estimate the value of such losses, were obtained. The ways of further research of the dredging and navigable slots stability issue are outlined. River transport, having a number of advantages over other modes of transport, is an important link in the network of transport communications in Russia. It is of particular importance for the Siberian regions. Normal functioning of inland waterways transport in general, and river transport, in particular, is impossible without the implementation of a complex of track works and, above all, dredging works. An important task in maintaining the existing or increasing the fairway overall dimensions is the efficient production of dredging and river training works. Keywords: Dredging · River training work · Dredging slots · Stability of dredging and shipping slots
1 Introduction At the same time, the issue of assessing and predicting the safety of the riffles’ depth after the development of dredging slots during such works is of great importance. The experience gained in recent years in the production of dredging works and the development of the river beds stability theory [1–5] make it possible to obtain more general methods for calculating the navigable route stability substantiation [6] and sediment movement [7, 8]. However, some questions, such as the impact of the dredging slots’ configuration on improving their stability, as well as the slots stability assessment remain open. Various researchers have studied the process of stability of river channels in general and, in particular, the drift of dredging and navigable slots, and the works of V.M. Botvinkov, A.S. Gubkin, B.F. Snishchenko, A.M. Lavygin, K.V. Grishanin and others are of great value. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1133–1140, 2022. https://doi.org/10.1007/978-3-030-96380-4_124
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B.F. Snishchenko showed that the drift of the slots directly depends on the sediments ridge movement nature for the rivers of the European part of the USSR. The geometric dimensions of the ridges, the formation mechanism and their movement speed, the hydraulic characteristics of the flow largely determine the process of depth loss in a navigable slot. However, the results obtained are applicable for the production of track works on the rivers of the European part of Russia due to their hydro morphological features. To solve this problem, an attempt to find a regional connection between the slot exploitation depth and its drift in relation to the specific features of rivers was made in the work of A.S. Gubkin. The studies of A.M. Lavygin, who carried out the work on the slot transverse drift study are of particular importance. Despite the closeness to the proposed model introduction physical picture, there are a number of limitations in the proposed models: the position of the slot axis in the stream, the hydrological regime of the waterway, the morphometric characteristics of the river channel [9], morphological changes in the river channel [10, 11], the slot forms, the use of regional field data and so on. Thus, with all the advantages of the existing methods, an opportunity for their further improvement, as well as the development of new ones still remain. In addition, the analysis of the existing methods for assessing the slots stability showed the need to create a regional strategy for assessing their stability. Regional techniques make it possible to take into account the hydromorphological river bed evolution [12, 13] features [14–16] on the rivers of the studied basin. There is a need to develop a set of recommendations to justify the dredging slots’ configuration choice that has maximum resistance to drift, i.e., loss of transit depth and width. The aim of the study is to develop a regional strategy for assessing the loss of transit width in dredging slots using the example of riffles on the Ob basin rivers, taking into account their hydro morphological features.
2 Materials and Methods To achieve this goal, it was necessary to solve the following tasks: – to carry out a study in natural conditions of bottom deformation in dredging slots during the track works construction on the example of the Ob river reach “Novosibirsk - the Tom (river) mouth” riffles; – to develop a methodology for assessing the loss of transit width in the slot after the end of its development during the track works construction on the Ob basin rivers on the example of the “Novosibirsk – Tom (river) mouth” reach riffles of the Ob river. For a detailed study of the dredging slots stability issue and the accumulated experience generalization, the field studies when developing riffles on the section of the Ob River from Novosibirsk to the Pochta village werecarried out. The riffles of Orsk, Orsko-Borsk, Dregunovskiy, SredniiMochishchenskiy were studied (Fig. 1).
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Fig. 1. Aerial photography of the reach “Novosibirsk - the Tom (river) mouth” riffles of the Ob river.
At the same time, during the field surveys, the following work was carried out: Surveys of riffles were obtained and a plan of riffles in hydroisobaths was drawn up for the period from the end of the development: 1 h, 4 h, 8 h, 24 h, 36 h; Longitudinal profiles of the developed trench were obtained for the period from the end of the development: 1 h, 4 h; 8 h, 24 h, 36 h; The course of the working water levels on the riffles for the observation periodwas determined. As a result of processing the data obtained by the measurements made by the echo sounder, the plans for the studied riffles were built using the IndorDraw 2019 software package. The water levels were brought to the design level to take into account the change in the operating water level at the riffles over time. Due to careful surveys carried out during the channel exploitations, it was possible to obtain a detailed plan of the slot in the hydroisobaths at a scale of 1: 2000. Hydroisobaths were drawn with the step of 0.1 m. This made it possible to analyze the reshaping in the slot and evaluate the transit width loss in the slot after the work completion, and also allows to estimate the loss of depth at the edges of the slot with high accuracy. In addition, for each point in time after the end of the work on the production of the slots, a bathygram was drawn up along the longitudinal profile of the slot.
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The obtained surveys of the riffles were combined with the planned outlines of the dredging slots, making it possible to determine the distance between the guaranteed isobaths within the made slot. The guaranteed depths on the riffles were 2.2 m. The geometric characteristics of the slot on the investigated riffles are presented in Table 1 (Fig. 2). Table 1. Geometric characteristics of the slots. Parameter
Design value
Slot length
700 m
Slot width
100 m
Development depth
2m
Fig. 2. The slot plan in hydroisobates after 1 h after development.
It should be noted that all slots on the investigated riffles were made using their simple configuration, i.e., without the use of soil dumps to regulate the flow, without the creation of auxiliary structures and sediment control trenches. The slots were made by trenching.
3 Results One of the most important requirements for dredging slots in addition to the design depth requirements, is that the working width is guaranteed. Thus, it was necessary to investigate the process of losing the working width in the slot similar to the process of losing the working depth. Prediction of slot drift, loss of transit width and depth can be made by the hydro morphological method, i.e., on the basis of the available information about channel processes at the rift, which was done in the course of the slots’ investigations. As a result of processing the field data, the dependences of the change in the width of the slot on time after its development were obtained. On the graph (Fig. 3), the relative width was plotted along the ordinate in the form: Brel =
B , Bg
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where B – is the minimum width between guaranteed contours, m; Bg – is the design width of the slot development, m. The abscissa represents the relative time: trel =
t , 24
where t – is the time after the slot development, h. For the approximating function selection convenience, the development time axis was divided into two sections: 1) plot No. 1 - 0…10 h after developing the slot; 2) plot No. 2 - 10…36 h after developing the slot. As a result of the approximation, the obtained dependences are described by the following equations: plot No. 1 (0…10 h after development): Brel = −12.62(trel )3 + 7.47(trel )2 − 1.91(trel ) + 1, where Brel – is a relative depth on the right, except for the slot, m; trel – defines relative time after the development of the slot, h; plot No. 2 (10…36 h after development): Brel = 0.04(trel ) + 0.95,
Relave width
where Brel – is a relative depth along the axis of the slot, m; trel – defines relative time after the development of the slot, h. The graphs of the approximating functions for the right edge are shown in Fig. 4. 1 0.9 0.8 0.7 0.6 0.5 0
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
1
1.1 1.2 1.3 1.4 1.5 Relave me
Fig. 3. Change in the working width of the slot according to the field observations.
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1.1 1.05 1 0.95 0.9 0.85 0.8 0.75 0.7 0.65 0.6 0.55 0.5 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 1.1 1.2 1.3 1.4 1.5 Relave me Fig. 4. Graph of the approximating expression for the width of the slot.
4 Discussion In the first hours after the development of the slot, the width changes significantly, which may be due to the intensive flattening of the underwater slope of the slot. In this respect, the data obtained by us are consistent with the model of the slot lateral drift, which is based on the analogy with the propagation of heat in a semi-insulated rod, obtained by A.M. Lavygin. As it can be seen from the conducted surveys, the working width of the slot is maintained for a long time until the moment when the width between the guaranteed isobaths does not become less than the working one. This is achieved with a large margin for the slot incision. Even after 36 h, the width in the slot does not decrease to the guaranteed one. The question of the incision rational value choice, which makes it possible to achieve high stability of the slot and to spend fewer resources on dredging production, becomes relevant. The use of additional field data will make it possible to clarify the proposed assessment methodology. It is also worth noting the need to create a laboratory model of a dredging slot for studying the drift process by the hydrodynamic method with the development of recommendations for the selection of optimal configurations depending on the hydrological and hydromorphological characteristics of the rivers’ rocky sections.
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5 Conclusions As a result, based on the processing of field data, taking into account the experience accumulated by the Department of Water Surveys, Routes and Hydraulic Structures of the Siberian State University of Water Transport, we obtained the dependencies that allow us to determine the value of the transit width loss in the slot after the work completion. The results obtained give an idea of the transit width loss magnitude in the slots and make it possible to propose possible ways to solve the problem of drift in dredging slots due to the slots’ geometric dimensions rational selection, i.e., their configuration. Our further research will focus on developing the recommendations for choosing the optimal configuration of a dredging slot by creating a slot configuration, including the schemes for the auxiliary structures’ planned layout and the location of soil dumps by using additional field data. To solve this problem, it will be necessary to attract the additional field data, as well as to perform modeling of the processes occurring in the river flow in the area with dredging slotsin laboratory conditions.
References 1. Collins, B.D., Dickerson-Lange, S.E., Schanz, S., Harrington, S.: Differentiating the effects of logging, river engineering, and hydropower dams on flooding in the Skokomish River, Washington, USA. Geomorphology 332,138–156 (2019). https://doi.org/10.1016/j.geomorph. 2019.01.021 2. Woo, H.: Trends in ecological river engineering in Korea. J. Hydro-environ. Res. 4(4), 269– 278 (2010). https://doi.org/10.1016/j.jher.2010.06.003 3. Campmans, G.H.P., Roos, P.C., Van der Sleen, N.R., Hulscher, S.J.M.H.: Modeling tidal sand wave recovery after dredging: effect of different types of dredging strategies. Coast. Eng. 165, 103862 (2021). https://doi.org/10.1016/j.coastaleng.2021.103862 4. Alekseevsky, N.I., Berkovich, K.M., Chalov, R.S.: Erosion, sediment transportation and accumulation in rivers. Int. J. Sedim. Res. 23(2), 93–105 (2008). https://doi.org/10.1016/S10016279(08)60009-8 5. Borshchenko, E.V., Chalov, R.S.: Channel-forming water flow rates and morphodynamics of river channels in the Russian part of the Amur basin. Geograp. Nat. Resour. 31(2), 148–158 (2010). https://doi.org/10.1016/j.gnr.2010.06.010 6. Wu, T., Li, X.-X.: Vertical 2-d mathematical model of sediment sitting in dredged channel. J. Hydrodyn. 22, 605–609 (2010). https://doi.org/10.1016/S1001-6058(10)60005-4 7. Salmelaa, J., Kasviab, E., Alhoac, P.: River plume and sediment transport seasonality in a non-tidal semi-enclosed brackish water estuary of the Baltic Sea. Estuar. Coast. Shelf Sci. 245, 106986 (2020). https://doi.org/10.1016/j.ecss.2020.106986 8. Singh, M., MüllerG, S.I.B.: Sediment characteristics and transportation dynamics of the Ganga River. Geomorphology 86, 144–175 (2007). https://doi.org/10.1016/j.geomorph.2006. 08.011 9. Chen, X., An, Y., Zhang, Z., Hu, C.: Equilibrium relations for water and sediment transport in the Yellow River. Int. J. Sedim. Res. 36(2), 328–334 (2021). https://doi.org/10.1016/j.ijsrc. 2020.07.006 10. Ramirez, J.A., Zischg, A.P., Schürmann, S., et al.: Modeling the geomorphic response to early river engineering works using CAESAR-Lisflood. Anthropocene 32, 100266 (2020). https:// doi.org/10.1016/j.ancene.2020.100266
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11. Cserkész-Nagya, A., Tóthb, T., Vajkc, Ö., Sztanóa, O.: Erosional scours and meander development in response to river engineering: middle Tisza region, Hungary. Proc. Geol. Assoc. 121(2), 238–247 (2010) https://doi.org/10.1016/j.pgeola.2009.12.002 12. Rinaldi, M., Belletti, B., Bussettini, M., et al.: New tools for the hydromorphological assessment and monitoring of European streams. J. Environ. Manage. 202(2), 363–378 (2017) https://doi.org/10.1016/j.jenvman.2016.11.036 13. Trevisana, C.L., Vicente, M.C., Cesar, B., et al.: Development of a Dredging Sensitivity Index, applied to an industrialized coastal environment in Brazil. Sci. Total Environ. 748, 141294 (2020). https://doi.org/10.1016/j.scitotenv.2020.141294 14. Mossa, J., Chen, Y.-H.: Geomorphic insights from eroding dredge spoil mounds impacting channel morphology. Geomorphology 376, 10757 (2021). https://doi.org/10.1016/j.geo morph.2020.107571 15. BWYJXu: Dynamics of 30 large channel bars in the Lower Mississippi River in response to river engineering from 1985 to 2015. Geomorphology 300, 31–44 (2018). https://doi.org/10. 1016/j.geomorph.2017.09.041 16. Sitnov, A.N., Voronina, Y.E., Shestova, M.V.: Channel deformations forecast and features of floodplain quarries of non-metallic construction materials development in meandering riverbeds based on safe navigation conditions (On The Example Of The Belaya River). Russ. J. Water Transp. 65, 179–188 (2020). https://doi.org/10.37890/jwt.vi65.138
Improving the Strength Characteristics of Materials for Hydraulic Structures with Reinforcing Compositions Alexander Kudryashov1(B) , Yuriy Bik1 , Vadim Kofeev1 and Alexander Sitnov2
,
1 Siberian State University of Water Transport, 33, Schetinkina St., Novosibirsk 630099, Russia
[email protected] 2 Volga State University of Water Transport, 5, Nesterov St., Nizhny Novgorod 603950, Russia
Abstract. Reliable functioning of berths is a necessary component of the waterways’ progressive development in the Siberian region of Russia. The harsh climate makes it difficult to maintain and use these structures and requires the use of special building materials. It is known that the properties of the latter are influenced by a number of external factors (changes in temperature, humidity, current of time) that cause corrosion, fatigue and, inevitably, worsen their holding capacity and strength. No less important criteria are manufacturability and ease of materials use. There are two known ways of dealing with negative factors: adding polymers to concrete and impregnating materials with polymer compositions. So, epoxy and acrylic resins, water glass, polyvinyl acetate are widely used for this. Their use for stone and concrete reduces the tendency of structures to deformations, reduces thermal conductivity and increases the internal material reserves. The strength properties of the resulting mixture depend on its composition and the components’ percentage. Various materials for concrete impregnation are considered, the main properties are described. It is shown that the addition of polymers (in a fraction of up to 20%) of the cement mass increases mechanical strength. The use of almost all polymeric materials improves the properties of concrete and can be recommended for general practice. Keywords: Quayside embankments · Concrete impregnation · Corrosion resistance · Moisture resistance
1 Introduction Resource intensity is an integral feature of construction industry, which requires a constant search for the new constructive and technological solutions, the search for materials and methods of handling them [1]. Construction innovations are especially important in Siberia, whose sharply continental climate, formed by the air masses of the Arctic and Central Asia, is characterized by extremely sharp temperature changes. Frosts in the northern part of Western Siberia can reach −50 ºC and below, in the south, the average temperatures of the winter months are −20 ºC. Average monthly temperatures range © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1141–1147, 2022. https://doi.org/10.1007/978-3-030-96380-4_125
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from +5 ºC to +25 ºC respectively. Temperature drops contribute to the accumulation of moisture in the structures’ array. Decrease in humidity does not occur completely in the summer months, as the period of sufficiently dry air is extremely short. Such climate features and, above all, prolonged humidification (2020–258 h/year) increase the corrosive aggressiveness of the air, the coverage of surfaces with films of moisture, as well as prolonged humidification of the phase and adsorption films of moisture, the values of which are 1340–1690 and 710–1430 h, respectively/year. Hydraulic engineering construction on the rivers of Siberia has a pronounced seasonal character; moreover, even in the autumn, spring and summer months, the weather is far from always being favorable for construction works. At the same time, taking into consideration the fact that a huge number of large and small rivers, lakes, underground water sources are a feature of Western Siberia, the volume of hydraulic engineering construction in the region is large [1, 2]. These factors affect the technological and design solutions: it is necessary to increase the dimensions of structures during construction, increase their material consumption, deepen pipelines, foundations, and piles. Taking into account the difficulties of building materials’ delivery to hard-to-reach areas, all of the above said leads to a significant increase in the estimated cost of construction of any objects and, first of all, the hydraulic structures. Design and technological solutions should be fairly simple, not requiring expensive components or complex technology. The foregoing testifies to the difficult ecological and economic conditions of Siberia, which make it constantly relevant to search for the ways to reduce the building materials’ cost, the introduction of innovative materials, primarily for hydraulic structures and an increase in their durability. The increasing use of inexpensive local building materials and cheaper raw materials (including what is considered a waste of chemical production and cannot be used productively in other industries) is also important. This trend is economically beneficial. However, inexpensive local materials should in no way degrade the quality of the structures being built. The search for the new materials and means to improve their characteristics is a priority task for the construction industry in the region. It is known that the quality of additives, as well as the type and technology of applying impregnating compositions and coatings, affects the durability and performance of concrete structures. In connection with the above-mentioned, there is an acute question about the need to create new or use the known protective coatings (including the penetrating materials). Such coatings should provide long-term protection, have anti-corrosion properties and be easy to apply on surfaces. To accomplish the tasks, the following issues were studied: improving the mechanical characteristics, moisture and corrosion resistance of concrete with the addition of inexpensive polymeric materials, as well as changing the characteristics of concrete and wall materials when using impregnations.
2 Materials and Methods The test method consisted of adding various kinds of polymers to concrete or impregnating materials (epoxy oligomer, latex, polyvinyl acetate, phenolic resin and organosilicon
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composition) and their subsequent analysis for mechanical stress, water and corrosion resistance. These materials were selected as fairly widespread, relatively inexpensive and available for processing the hydraulic structures available in the Siberian region. Surface application, impregnation with polymer compositions and application through holes were used as application methods. When choosing the methods, the need to select the compositions indifferent to alkalis was taken into account. When choosing other compositions, the hardening will be obviously insignificant due to alkaline hydrolysis. Attention was also paid to the level of boundary surface tension between the impregnated material and water and the resistance of the material itself to being in the open air [3–5]. Particular attention was paid to the impregnation quality, its deep penetration into the material mass and the absence of a film on the surface were controlled. The polymer composition must penetrate into the pores of materials by 3–12 mm, otherwise the improvement in strength characteristics and water-repellent properties will be extremely low [6–12]. The strength characteristics, as well as the moisture and corrosion resistance of concrete were determined by the standard destructive methods in the laboratory of hydraulic engineering of the Siberian State University of Water Transport. Concrete for hydraulic structures, consisting of Portland cement and a filler in the form of sand was used as a control sample.
3 Results Tests of concrete and stone wall materials resistance gave the following results. Table 1. Results of testing the concrete and stone materials resistance when added and impregnated with polymers (mechanical impact, as a percentage of the control (untreated) sample. Protective polymer
Concrete (addition/impregnation)
Stone materials (impregnation)
None (control sample)
100/100
100
Epoxy oligomer
110/105
100
Phenolic resin
120/115
110
Latex
95/100
–
Polyvinyl acetate
125/105
–
Organosilicon composition
125/–
–
Analyzing the results obtained, it can be argued that the addition of polymers to concrete (up to 20% of the cement mass) contributes to an increase in bending and tensile strength (see Table 1).
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Compressive strength increases slightly less, up to 110–150% for different samples. In contrast, the addition of latex leads to a deterioration in the mechanical properties of concrete. Table 2. Results of testing the concrete and stone materials resistance for water and corrosion resistance (as a percentage of the control (untreated) sample. Protective polymer
Concrete
Stone materials
None (control sample)
100
100
Epoxy oligomer
115
105
Phenolic resin
130
110
Latex
110
–
Polyvinyl acetate
105
–
Organosilicon composition
130
–
According to Table 2, polymers improve the resistance of concrete to alternating wetting and drying. It should be noted that these results can provide information on the overall durability of porous lightweight concrete [6, 7]. It was found that concrete products impregnated with polymers to a certain depth (about 10 mm) have the highest characteristics of water and corrosion resistance. On average, for porous materials, moisture resistance increases by 15–20%. However, this method is technologically difficult, expensive and leads to a significant increase in polymer consumption (up to 25%). The use of another, less expensive method, namely, the application of protective coatings through special holes also leads to an increase in the material characteristics by 15–20%, however, much less polymer is consumed (12–15%). This method is quite acceptable with high adhesion of the example to concrete. Experiments with the thermosetting resins and polyvinyl alcohol introduction into cement mortar have shown a number of technological complexities of such a process, which may interfere with their practical application.
4 Discussion Experiments have shown some difference in the effect of polymers on concrete and wall stone materials. The strong interaction of polymers with cement seems quite obvious. In our opinion, organosilicon compositions can become the most promising. Concretes with these additives, introduced even in small quantities, provide their effect on the cement stone, improve its structure and increase its durability [9]. To date, such compositions are produced under the brands OSF-10, OSF-11 and OSF-94. It is known that organosilicon fluids OSF-94 contribute to the formation of small closed pores in concrete, arising from the reaction of such compounds as alkyl siloxanes with Ca(0H)2 . These pore systems lead to an increase in the resistance of the concrete to
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low temperatures. Based on the data of other authors, it can be argued that the porosity of cement-polymer mortars with the addition of 0.1% organosilicon compositions showed that the total pore volume increases, and a significant number of large pores appear. However, this trend is not typical for all of the above-introduced compositions. In case of resin No. 89 addition, the total porosity is decreased, and the number of small pores (30–50 µm in size) is increased [8]. In some studies [8], very strong cement-polymer concretes were obtained with the introduction of epoxy resins of various grades. At the same time, the materials had a very high strength; therefore, the use of epoxy resins should be recognized as promising. In addition, cement-polymer concretes with water-soluble resins have a number of useful qualities, namely: 1. Ability in humid and water conditions, moreover, mainly in water conditions (which is extremely important in the construction of hydraulic structures). 2. Much more economical compared to latexes and polyvinyl acetates (PVAC). 3. Do not reduce frost resistance. 4. Have a lower consumption compared to latexes and PVAC. 5. Increases compressive, tensile and flexural strength. 6. Increases density and water resistance. 7. Reduces (slightly) creep and compression shrinkage. It is necessary to note the practical difficulties of adding polymers to cement concretes, which is associated with the opposite signs of the polymer and concrete particles’ charge. So, the particles of Portland cement carry a positive charge and pozzolanic ones are negative. In the case of a difference in the charge of the polymer and the binder, coagulation occurs. The process of mechanical mixing itself can also serve as a reason for the cementpolymer mixture coagulation, which makes the cement-polymer mixtures stabilization a very urgent task that requires new engineering solutions [9]. However, the above-mentioned difficulties can be solved by using hydrophilic polymers. In this case, the need for stabilization practically disappears, since stabilizers in cement-polymer mixtures include the coagulation of polymers and affect the concrete structure formation. This, of course, leads to both an improvement in strength characteristics and a simplification of technological processes. Another important task is to recognize the stabilization provision. For these purposes, electrolytes and colloids (most often hydrophilic) are used. To reduce or eliminate aqueous dispersions mixtures coagulation for polymers with cement, it is recommended to use such substances as: 1) Esters, alcohols, artificial or natural proteins, cellulose, nonionic soaps, sulfite acids (all refer to either surfactants or colloids). 2) Carbonates and bicarbonates, silicates, caustic potassium and sodium, phosphates of monovalent metals and ammonium, other electrolytes. 3) Combinations and mixtures of these substances [9].
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The use of ammonium caseinate for the stabilization of latexes is not so successful. The problem is that caseinate solutions become unusable and salt slow down cement hardening. It is possible that the use of this substance may be necessary only with large volumes of building mixtures with the obligatory constant intensive mixing [10]. Surfactants can simplify the cement-latex systems handling. It seems promising to use nonionic soaps of various brands for this purpose. These soaps act precisely as surfactants and significantly reduce the requirements for the technological process. In general, it is necessary to strive for using polymers that can be dispensed with without additional stabilizing agents. Electron microscopic studies of concrete are of particular interest. The fact of hydration deceleration only at the initial stage in particular was noted in them. After some time (several tens of hours), the hydration of cement with additives is almost identical to that of cement without additives. Aqueous dispersions of polymers (PVAC and latexes) showed lower results than the organosilicon composition. At the same time, it should be taken into account that they are introduced in rather significant quantities: 10–20% of the cement weight (while watersoluble resins are only 1–2%) and greatly slow down the concrete formation rate. PVAC and latexes trap air and the bubbles formed when they are added are of great importance for enhancing concrete frost resistance, water resistance and chemical resistance. The decrease in mechanical properties with the addition of latex is somewhat unexpected. Generally adding PVC vinylidene-butadiene or divinyl-styrene latex grades under the brands SKS-65GT, SKS-50GP leads to an increase in tensile strength, reduces the modulus of elasticity and increases extensibility, while increasing water resistance when exposed to corrosive liquids. Study of the microstructure of concrete with the PVAC addition revealed the effect of film formation around cement particles. However, in this case, it is necessary to accurately select the cement and PVAC ratio. So, for about 8% PVAC from the dry cement weight only films are formed and voids remain with this ratio. To fill the voids, it is necessary to introduce 20% PVAC. At the values over 20% PVAC, the homogeneous polymer regions may form [12–15]. The action of latex in concrete is similar to that of PVAC. Latex is also absorbed onto the surface of the particulate matter. These polymers reduce the bulk density of concrete (by up to 27%), since they are capable of entraining a significant amount of air when mixing the aggregates. In this case, the number of pores per unit volume becomes larger, and their average size is significantly smaller. It is necessary to continue research in the direction of the concrete protection practical use in specific hydraulic structures.
5 Conclusions The tested polymer and polymer-containing compositions are suitable for increasing the strength of concrete and stone materials. The best results were shown by the organosilicon composition, which is quite accessible and technologically applicable for additives to concrete used in the construction of hydraulic structures.
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A variety of polymers gives an opportunity to select their best characteristics for impregnation, taking into account the porosity of the material, its availability and specific production conditions.
References 1. Leo Samuel, D.G., Dharmasastha, K., Shiva Nagendra, S.M., Prakash Maiya, M.: Thermal comfort in traditional buildings composed of local and modern construction materials. Int. J. Sustain. Built Environ. 6(2), 463–475 (2017). https://doi.org/10.1016/j.ijsbe.2017.08.001 2. Park, H.S., Lee, M., Kang, H., Hong, T.: Development of a new energy benchmark for improving the operational rating system of office buildings using various data-mining techniques. Appl. Energy 173, 225–237 (2016). https://doi.org/10.1016/j.apenergy.2016.04.035 3. Martinsa, R., Carmoa, R.N.F.b*, Costaa, H.B., Júliob, E., et al.: Interface role in composite RC beams with a light-weight concrete core and an ultra high-durability concrete skin. Eng. Struct. 228(3), 111524 (2021). https://doi.org/10.1016/j.engstruct.2020.111524 4. Kiselev, A., Zhang, H., Liu, Z.: The effect of two-phase mixing on the functional and mechanical properties of TPS/SBS-modified porous asphalt concrete. Constr. Build. Mater. 270(1), 121841 (2021). https://doi.org/10.1016/j.conbuildmat.2020.121841 5. Labadie, S.J., Aldous, A.R., Burkholder, E., Zubieta, J.: Solid state coordination chemistry of molybdenum oxides: construction of bimetallic organic–inorganic hybrid materials from Keggin clusters and copper-imine building blocks. Polyhedron 52, 582–590 (2013). https:// doi.org/10.1016/j.poly.2012.08.007 6. He, Z., Hu, L., Li, Y., et al.: Use of sandstone powder as a mineral additive for concrete. Constr. Build. Mater. 186, 276–286 (2018). https://doi.org/10.1016/j.conbuildmat.2018.06.228 7. Liu, K., Lu, L., Wang, F., Liang, W.: Theoretical and experimental study on multi-phase model of thermal conductivity for fiber reinforced concrete. Constr. Build. Mater. 148, 465–475 (2017). https://doi.org/10.1016/j.conbuildmat.2017.05.043 8. Dai, M., Ward, W.O.C., Meyers, G., Tingley, D.D.: Residential building facade segmentation in the urban environment. Build. Environ. 199(6), 107921 (2021). https://doi.org/10.1016/j. buildenv.2021.107921 9. Shen, J., Liang, J., Lin, X., et al.: Recent progress in polymer-based building materials. Int. J. Polym. Sci. 2020(6), 1–15 (2020). https://doi.org/10.1155/2020/8838160 10. Krickl, S., Touraud, D., Kunz, W.: Investigation of ethanolamine stabilized natural rubber latex from Taraxacum kok-saghyz and from Hevea brasiliensis using zeta-potential and dynamic light scattering measurements. Ind. Crops Prod. 103, 169–174 (2017). https://doi.org/10.1016/ j.indcrop.2017.03.046 11. Kettwich, S.C., Kappagantula, K.S., Kusel, B., Avjian, E.K.: Thermal investigations of nanoaluminum/perfluoropolyether core–shell impregnated composites for structural energetics. Thermochim. Acta 591, 45–50 (2014). https://doi.org/10.1016/j.tca.2014.07.016 12. Indra Teja, S., Ramesh kumar GB,: A review on polymer impregnated concrete with steel fibre. IOP Conf. Ser. Mater. Sci. Eng. 923, 012047 (2020). https://doi.org/10.1088/1757-899X/923/ 1/012047 13. An, F., Shi, Y., Cao, Y., et al.: Relation between bulk resistance and pore structure of hardened cement pastes. J. Chin. Ceram. Soc. 42(8) (2014). https://doi.org/10.7521/j.issn.04545648. 2014.08.09 14. Kong, L., Du, Y.: Interfacial interaction of aggregate-cement paste in concrete. J. Wuhan Univ. Technol.-Mater. Sci. Ed. 30(1), 117–121 (2015). https://doi.org/10.1007/s11595-015-1111-z 15. Tsvetkov, V.E., Machneva, O.P.: Impregnating compositions for lamination of wood materials. Polym. Sci. Ser. D 13(1), 31–33 (2020). https://doi.org/10.1134/S1995421220010232
Concrete Polymer Material for the Protection of Concrete and Reinforced Concrete Structures of Hydraulic Structures from Biological Damage Ada Mazgaleva1(B)
, Viktoriya Bobylskaya1
, and Maxim Reshetnikov2
1 Siberian State University of Water Transport, 33, Schetinkina st., Novosibirsk 630099, Russia
[email protected] 2 Volga State University of Water Transport, 5, Nesterov st., Nizhny Novgorod 603950, Russia
Abstract. The issues of obtaining concrete-polymer material based on local raw materials and production wastes are considered by the authors of the article. The article analyzes the operating conditions and corrosion destruction of concrete. The proposals to expand the raw material base of local materials and use waste from the construction industry enterprises of the Novosibirsk region have been made. The compositions and properties of the materials used are given. The possibility of using chrysotile-cement waste from the production of roofing building materials as a micro-reinforcing filler for a corrosion-resistant coating of a concrete surface has been determined. A concrete-polymer material of a protective corrosion-resistant coating based on production wastes has been developed. The formulation and technological parameters of the polymer additives’ introduction, which ensure adhesion to the underlying layer and the durability of the coating under conditions of biocontamination, have been developed. The structures formed in the contact zone of chrysotile cement waste and polymer components with the introduction of latex and bitumen emulsion composition have been revealed. The article presents the optimal ratio of bitumen and latex emulsion, creating the effect of corrosion resistance and good adhesion to the hardened stone of cement binders in the underlying concrete surface composition during the fibrous waste structures processing. Optimal compositions that contribute to the increase in corrosion resistance and durability of concrete-polymer material under biocontamination conditions are presented. Keywords: Concrete polymer material · Concrete corrosion · Concrete biodeterioration · Expansion of the local materials and production waste raw material base · Chrysotile cement waste · Chrysotile cement waste · Micro-reinforcing fillers · Bitumen-latex compositions
1 Introduction Concrete is one of the most common materials used everywhere in construction today. [1] This state of affairs arises from the following technical and economic advantages:
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1148–1158, 2022. https://doi.org/10.1007/978-3-030-96380-4_126
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– concrete and reinforced concrete structures can be produced both in the factory and directly at the construction site; – the production process of concrete mixtures and concrete and reinforced concrete structures is mechanized, automated and even possible with the use of print systems; – material is durable and fire-resistant in operation; – there are technical possibilities of obtaining material with predetermined properties; – the possibility of obtaining concrete with almost any decorative characteristics (color, transparency, texture, etc.); – low cost of concrete and reinforced concrete structures production. – Among the disadvantages of concrete, the following features can be distinguished: – the tensile strength of concrete is from 0.07 to 0.1 of the compressive strength (hence the need for reinforced concrete structures); – along with the fact that with the correct operation of buildings (structures), the strength of concrete in the structure continues during operation itself (the logarithmic law of hardening strength growth), at the same time there is a possibility of strength loss and concrete mass due to various types of corrosion [2]. Corrosion of concrete is known to be a combination of physical and chemical processes between the components of the cement gel and the external environment. In this case, the compounds are formed either of a different volume, which can cause undesired internal or soluble stresses. The result of corrosion is a decrease in the concrete strength in comparison with the initial one or its complete destruction [3]. Hydraulic structures are exposed to intense exposure to the following corrosive environments: – – – –
fresh and sea water; atmospheric climatic influences; industrial emissions; waste (excrement) of birds.
According to GOST 31384-2017, to prevent corrosive destruction of concrete, reinforced concrete and structures made of them, the following types of protection can be provided: primary, secondary and special. Primary protection includes the measures to protect concrete from corrosion, which are built in at the design stage. Primary protection measures include: – the use of concretes resistant to the aggressive environment effects, this is ensured by the choice of binders and aggregates, the selection of the concrete optimal composition, a decrease in the water permeability of concrete, the use of various kinds of additives that increase the corrosion resistance of concrete during operation in adverse conditions and are a protective barrier for steel reinforcement, embedded and connecting elements; sealing of concreting joints with hydro active materials; – selection of reinforcement in accordance with operating conditions, protection of prestressed reinforcement in the structures’ channels, embedded parts and connections from corrosion at the manufacturing and installation stage of precast concrete structures;
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– compliance with the design and design requirements for the concrete cover thickness and limiting the crack opening width when designing concrete and reinforced concrete structures; – frost resistance of concrete must be provided with primary protection measures. Secondary protection of concrete is the concrete surface protection, it is used if protection against corrosion cannot be provided by the primary protection measures, as a rule, it requires periodic renewal. It includes the protection of the concrete and reinforced concrete surface with the following coatings: – – – –
paint and varnish, thick-layer (mastic), plaster coatings; gluing materials for water isolation; piece cladding and block products; impregnation of the surface layer for the structures with sealing chemically resistant materials; – surface treatment of concrete with compositions of penetrating action with compaction of the porous structure of concrete by crystallizing new formations; – treatment with water repellent compounds and special preparations - biocides, antiseptics, etc. [4]. Water isolation of concrete and reinforced concrete structures and sealing (joints, gaps, seams, etc.) as protection against corrosion is carried out in accordance with the regulations on waterproofing. Special protection includes various physical and physical and chemical methods that reduce the aggressive effect of the environment. One of the corrosion types is concrete biodeterioration. Bio deterioration (biological damage) is a change in the physical and chemical properties of materials due to the impact of living organisms in the process of their vital activity. Bio deterioration includes the destruction of industrial and building materials by microorganisms (bacteria), lower and higher plants, fungi, lichens, algae, as well as insects, chanks, crustaceans, rodents, birds and other fauna, damage to aircraft by birds, river and sea vessels and hydraulic structures by aquatic organisms - fouling. Bio deterioration is accompanied by one of the following damage types: mechanical, chemical, biological contamination, electrochemical or their combination. The mechanisms of bio deterioration are more complex and multi-stage in comparison with corrosion processes caused only by aggressive chemical media - acidic, alkaline and saline. For a number of objective reasons, biological corrosion of concrete in comparison with other types of corrosion (chemical, electrochemical, etc.) is the least studied. A relatively small amount of work in the field of biological damage prevents the development of mechanisms and complex measures for the effective protection of concrete from biological corrosion. In this regard, it is extremely important to develop relatively simple, reliable and inexpensive methods of protecting concrete and reinforced concrete structures [5–11] of hydraulic structures [12] from biological damage related to primary and secondary types of protection. Such protection, according to the authors, can be the protective
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coatings applied to concrete (reinforced concrete) both during construction and during repair work on old concrete after appropriate processing [13].
2 Materials and Methods 2.1 Characteristics of the Investigated Materials Based on the raw material base study in the Novosibirsk region, those materials, the widespread use of which will not require additional production and will contribute to the processing of waste from building materials production, have been identified. Cement Cement of a limited company “Iskitim cement” production was used for the research. The tests were carried out in accordance with GOST 310.1-76, GOST 310.2-76, GOST 310.3-76, GOST 310.4-81, GOST 5382-2019. According to the data of physical and mechanical tests and chemical studies, the cement meets the requirements of GOST 10178-85 as Portland cement 400-D0 GOST 10178-85. The chemical composition of the cement is indicated in Table 1. Chrysotile cement waste The research uses large-capacity sludge (waste) from production “Iskitim slate” company [14, 15]. The chemical composition of chrysotile cement waste is presented in Table 1. Table 1. Chemical composition of chrysotile cement waste cement. Oxides, % by mass
Cement
CaO
Al2 O3 Fe2 O3 MgO SiO2 SO3 K2 O TiO2 Na2 O FeO Ignition loss
56.95
8.18
2.98
0.25
23.15 1.97 3.51 –
–
–
2.95
3.38
2.92
14.2
0.44
0.17 31.8
Chrysotile 36.0 cement waste
6.19 1.97 0.27
3.06
Latex Synthetic butadiene-styrene latex was used as a film former SKS 65 GP GOST 10564–75. Properties: mass fraction of dry matter -47%, pH = 11, viscosity in VZ–4 - 12 s. Bitumen emulsion (Emulsion slurry) Bitumen emulsion is a suspension of dispersed bitumen in water. The work used a bitumen road anionic emulsion slowly decaying grade EBDA M GOST R 58952.1–2020. An emulsion slurry, which is a dispersed system of particles of an organic binder (liquid or viscous road bitumen, highly resinous oils), evenly distributed in water together with fine solid particles of a mineral emulsifier can be used instead of a bitumen emulsion.
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The composition of bitumen emulsion and emulsion slurry are given in Table 2. Table 2. Composition of bitumen emulsion and emulsion slurry, % by weight. Component
Bitumen emulsion
Emulsion slurry
Bitumen
50
30–64
Emulsifier
1–5
8–35
water
49–45
26–32
The properties of bitumen emulsions and slurries are given in Table 3. Table 3. Properties of bitumen emulsions and slurries. Indicator
Bitumen emulsion
Emulsion slurry
Average particle diameter of bitumen, μm
1
20
Density, kg/m3
1035–1040
1050–1150
Water absorption (by weight), %, no more
5
5
Swelling (by volume), %, no more
2
1
Viscosity according to a standard viscometer 2 with a 5 mm orifice, s
1
The ability to be diluted with water
non-limited
10 times that amount
Cone mobility, cm
15–20
15–18
Heat resistance for 5 h at an angle 90° at a temperature not lower, °C
55
65
2.2 Research Methods The production of samples for determining the optimal composition and studying the properties and various characteristics of the concrete-polymer coating material is carried out according to the generally accepted methods of building materials science. To determine the physical and mechanical characteristics of the selected compositions and study their properties, the following shapes and sizes of samples were taken: – ultimate strength in compression determination – the cubes with an edge 70 mm long; – ultimate strength in bending determination –beams with the dimensions 40 × 40 × 160 mm; – abrasion tests – the cubes with an edge length of 70 mm; – shear tests and determination of the adhesion strength of the contact “protective solution - lightweight concrete” - double cubes with an edge length of 40 mm.
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Compression tests were carried out on a hydraulic press using standard procedures. Tests for abrasion, water absorption and frost resistance were carried out according to the test methods for cement mortars and concretes. The shear test was carried out according to the method of A.A. Gvozdev. Determination of porosity, water permeability, heat resistance, mobility of the mixture and other characteristics was carried out according to the methods for conventional cement concretes and mortars, as well as concrete-polymer materials. Each indicator of the various tests was derived as the arithmetic mean of the test samples. The scatter of indicated values did not exceed 5–7% of the average. The results of the experimental study are the established patterns, expressed by the dependences of various factors on each other. The primary factors are the relative content of components, technological parameters, etc.; the secondary factors are the properties of the resulting material (strength, thermal conductivity, heat assimilation, etc.). To study the properties of concrete-polymer material and their optimization, the technique of a full factorial experiment was used. The following indicators - the content of cement and chrysotile cement were chosen as the main factors.
3 Results. The Concrete-Polymer Coating Material Optimal Composition Determination 3.1 Optimization of the Material Composition by the Content of Cement and Chrysotile Cement To study the properties of the coating and its optimization, the method of a full factorial experiment (FFE) was used. At FFE the dependence of the function (response)Y from n- variables X1, X2, …, Xn was observed. 2n experiments - the minimum number sufficient for a complete analysis of the connection – were performed for a full factorial experiment. In FFE 2n type each factor took on two levels of significance - upper and lower. Our task was to optimize the composition, that is, to achieve a minimum binder consumption while maintaining the required strength Rcomp = 7.5 MPa. In this case, two factors were chosen - the content of cement and chrysotile cement. After FFE it was found that the minimum cement content is achieved at the values of 3.8 cement per 4.06 chrysotile cement. 3.2 Reducing the Effect of Chrysotile Cement Waste High Porosity on the Coating Corrosion Resistance As a result of working with the material, the main property that deteriorates the coating quality was determined - it is high porosity. The consequence of this is low corrosion resistance, high water absorption and fast abrasion of the test material. To reduce the waste porosity, it is necessary to reduce water demand of the mixture; this can be achieved by introducing plasticizing additives that make the material hydrophobic. As it can be seen from Table 4, none of the additives directly gives the desired effect in all respects. Therefore, an attempt to introduce a complex additive “latex + bitumen additive” was made; this gave a possibility to ensure the stability of the concrete-polymer coating material’s properties within the outlined boundaries of the requirements.
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Additive
Compressive strength, MPa
Abrasion, g/cm2
Water absorption, %
Adhesion to base material, kPa
No additive
10.9–11.8
0.39–0.51
44–51
17–19
Polyamide resin 89 + SCL
10.2–11.5
0.35–0.44
29–33
27–29
Latex
6.9–7.7
0.32–0.37
2.8–3.2
28–30
Bitumen emulsion
10.5–11.3
0.26–0.30
6.6–6.8
27–28
Latex + bitumen emulsion
7.8–8.9
0.24–0.25
2.4–3.0
32–34
3.3 Checking the Corrosion Resistance of the Material in Aggressive Environments Investigation of the chemical corrosion resistance of the coating material based on chrysotile cement wastes is necessary to assess the suitability of the protective coating for use. One of the indicators of the test material’s resistance to chemical attack is the effect of the environment on the change in strength indicators. The main strength indicator for concrete was chosen - ultimate compressive strength. The frequency of tests to determine the residual strength of the sample is after 1, 2, 3, 6, 12 months. Replacement of chemical media was carried out 2 times a month. To determine the suitability of the obtained material for protecting the parapets of the lock chambers, the material was tested in the following media: aqueous solutions of nitric, carbonic, hydrochloric and acetic acids, caustic soda, ammonia, hydrogen sulfide, sugar syrup, a synthetic solution of fauna representatives - animals and birds’ excrement (Table 5), distilled water. Table 6 shows the aqueous solutions’ concentration and the residence time of the samples in various aggressive solutions. Table 5. Chemical composition of synthetic excrement solution. Excrement
Content, % Water
Dry organic matter
Nitrogen
Potassium
Magnesium
Phosphoric acid
Calcium
Sulfuric acid
Solid
84.37
14.66
0.29
0.10
0.13
0.17
0.34
0.04
Liquid
94.89
3.50
0.58
0.49
0.40
Traces
0.01
0.13
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Table 6. Concentration of aqueous solutions and hold-up time of the samples in various aggressive solutions. Environment
Concentration, %
Time spent in the environment, months
Nitric acid
5
180
Carbonic acid
5
365
Hydrochloric acid
5
365
Acetic acid
2
7
Sodium hydroxide
5
180
Hydrogen sulfide
–
365
Sugar syrup
–
90
Aqueous ammonia solution
5
365
Synthetic excrement solution
–
365
Distilled water
–
365
Real operating conditions
–
365
Analysis of the results obtained during the tests in aggressive environments showed that all samples showed a decrease in strength compared to control the samples stored in laboratory conditions. At the same time, for all samples, the compressive strength did not fall below the recommended 7.5 MPa during the year. In real operating environment - the barrier wall of the sluice chamber - the material showed fairly stable strength indicators. Table 7 shows the composition of the obtained concrete-polymer material for the hydraulic concrete structures’ protection. Table 7. Protective coating composition. Components
Consumption, kg/m3
Cement
360–370
Chrysotile cement waste
220–230
Bitumen emulsion
40–45
Latex
8–10
Water
650–670
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4 Discussion As a result of a full factorial experiment, it was possible to optimize the composition of the protective material - to achieve a minimum cement consumption while maintaining the required strength. This will reduce the cost of coating by 10–12%. The next step was to solve the problem of chrysotile cement waste’s high porosity, since the greater the porosity, the larger the surface of the material that interacts with aggressive environmental factors. The penetration depth of aggressive solutions also increases. The introduction of a complex additive consisting of latex in the amount of 0.8–1.0% and bitumen emulsion 4.2–4.7% makes it possible to create the following structure: randomly distributed fibrous particles of chrysotile cement with fragments of the complex additive locally coagulated on them. The cementing part is a polymer cement stone - latex-bitumen-Portland cement binder. The resulting structure makes it possible to increase the corrosion resistance of the coating and to increase the quality of adhesion to the underlying layer. The obtained test results in various aggressive environments and operating environments confirmed our assumptions and made it possible to obtain a concrete-polymer material with the required properties (Table 8). Table 8. Protective coating properties. Property
Designation
Measurement unit
Amount
Density
ρm
kg/m3
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Compressive strength
Rcomp
MPa
7.8
Flexural strength
Rflex
MPa
0.5
Abrasion
A
g/cm2
0.25
Substrate adhesion
R
kPa
32
Water absorption
Wm
% by mass
2
Chemical resistance coefficient
CRC
–
0.95
5 Conclusions Based on the results of the work carried out, the following conclusions can be drawn. In the construction industry, there is a need for simple, reliable and inexpensive protective anti-corrosion coatings for concrete and reinforced concrete structures that can be applied to the surface to be protected both during construction and during repair work. The research to obtain the compositions based on local materials and chrysotilecement wastes with particular parameters and properties has been carried out; that make it possible to use these compositions as coatings for reinforced concrete structures of the chamber barrier wall to protect against biological damage. It was found that with
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the introduction of latex 0.8–1.0%, bitumen emulsion 4.2–4.7%, it is possible to reduce the porosity and water mixture demand, which stabilizes the protective properties of the coating. It is proved that when processing chrysotile-cement waste with a composition of latex and bitumen emulsion in a ratio of 1: 4–1: 5 on mineral phases due to organic inclusions, the effect of corrosion resistance is created, and the joint work with the underlying layer is ensured. The following environmental aspect should also be noted: when the developed concrete-polymer material is introduced, chrysotile-cement waste from the production of roofing will be disposed.
1. References 1. Micelli, F., Renni, A., Kandalaft, A.G., Moro, S.: Fiber-reinforced concrete and ultrahighperformance fiber-reinforced concrete materials. New Mater. Civil Eng. 2020, 273–314 (2020). https://doi.org/10.1016/b978-0-12-818961-0.00007-7 2. Topchiy, D., Bolotova, A., Pichugin, A.: Analysis of technological errors that caused the monolithic structures collapse. IOP Conf. Ser. Mater. Sci. Eng. 953, 012031 (2020). https:// doi.org/10.1088/1757-899X/953/1/012031 3. Wang, T., Wu, K., Kan, L., Wu, M.: Current understanding on microbiologically induced corrosion of concrete in sewer structures: a review of the evaluation methods and mitigation measures. Constr. Build. Mater. 247, 118539 (2020). https://doi.org/10.1016/j.conbuildmat. 2020.118539 4. Anglani, G., Mullem, T.V., Zhu, X., et al.: Sealing efficiency of cement-based materials containing extruded cementitious capsules. Constr. Build. Mater. 251, 119039 (2020). https:// doi.org/10.1016/j.conbuildmat.2020.119039 5. Brandth, A.M.: Fibre reinforced cement-based (FRC) composites after over 40 years of development in building and civil engineering. Compos. Struct. 86(1), 3–9 (2008). https://doi.org/ 10.1016/j.compstruct.2008.03.006 6. Moon, H.Y., Shin, D.-G., Choi, D.S.: Evaluation of the durability of mortar and concrete applied with inorganic coating material and surface treatment system. Construc. Build. Mater. 21(2), 362–369 (2007). https://doi.org/10.1016/j.conbuildmat.2005.08.012 7. Grengg, C., Ukrainczyk, N., Koraimann, G., Müller, B.: Long-term in situ performance of geopolymer, calcium aluminate and Portland cement-based materials exposed to microbially induced acid corrosion. Cem. Concr. Res. 131, 106034 (2020). https://doi.org/10.1016/j.cem conres.2020.106034 8. Aguirre-Guerrero, A.M., Mejia, R.: Alkali-activated protective coatings for reinforced concrete exposed to chlorides. Constr. Build. Mater. 268, 106034 (2021). https://doi.org/10.1016/ j.conbuildmat.2020.121098 9. Cruz-Moreno, D., Miguel, G.F.S., Vivian, I.F., et al.: Multifunctional surfaces of portland cement-based materials developed with functionalized silicon-based nanoparticles. Appl. Surf. Sci. 531, 147355 (2020). https://doi.org/10.1016/j.apsusc.2020.147355 10. Flores, M.R., Formagini, S., Serna, P.: Self-healing concrete-what is it good for? Mater. Constr. 71(341), e237 (2021). https://doi.org/10.3989/mc.2021.07320 11. Joshi, S., Goyal, S., Reddy, M.S.: Influence of biogenic treatment in improving the durability properties of waste amended concrete: a review. Constr. Build. Mater. 263, 120170 (2020). https://doi.org/10.1016/j.conbuildmat.2020.120170 12. Lv, J., Cao, Z., Hu, X.: Effect of biological coating (Crassostrea gigas) on marine concrete: enhanced durability and mechanisms. Constr. Build. Mater. 285(3), 122914 (2021). https:// doi.org/10.1016/j.conbuildmat.2021.122914
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13. Moreno, M.S., Faria, P., Ferrara, L., et al.: External treatments for the preventive repair of existing constructions: a review. Constr. Build. Mater. 193, 435–452 (2018). https://doi.org/ 10.1016/j.conbuildmat.2018.10.173 14. Khritankov, V.F., Pichugin, A.P., Smirnova, O.E., et al.: Use of nano-sized additives in concrete and construction solutions for providing adhesion in repair works. Intellekt Sist Proizv 17(1), 131 (2019). https://doi.org/10.22213/2410-9304-2019-1-131-137 15. Yakovlev, G.I., Drochytka, R., Pervushin, G.N., et al.: Fine-grained concrete modified with a suspension of chrysotile nanofibers. Stroitel’nye Materialy 767(1–2), 4–10 (2019).https:// doi.org/10.31659/0585-430X-2019-767-1-2-4-10
Step-By-Step Digitalization of Preparation of Production of Small Shipbuilding Enterprises Sergei Studnev(B)
and Eugene Burmistrov
Volga State University of Water Transport, 5, Nesterov St., Nizhny Novgorod 603950, Russia
Abstract. The article reflects the issues of shipbuilding production automation in terms of its technological, material and technical preparation. It is noted that one of the essential elements of increasing the flexibility of the shipyard production system is the development of automated control systems for the production preparation based on artificial intelligence, capable of analyzing the required changes in the production system for the development of new products and determining the preliminary construction cost of a new order for the shipyard (including the cost of material, labor, energy resources, development of special equipment, etc.). The article provides an enlarged description of the fundamental algorithm of the software product created by the authors for analyzing the production capabilities of the shipyard when switching to the release of new products. This enlarged algorithm is reduced to a step-by-step determination of the time and resources spent on technological and material-technical preparation of production. It is especially noted that for its software implementation, the necessary databases (registers) must be created for the “training” of an intelligent control system in order to improve the forecasting accuracy provided by the system and the recommendations for making managerial decisions in conditions of uncertainty (for example, the absence of complete technical information for new products). In addition, the article outlines the main directions of further research on the step-by-step development and implementation of assembly units’ registers, used jigs, fixtures and tools and tooling, options for in-plant logistics, production risks, management decisions to reduce them, etc. at the existing shipyards. Keywords: Production technological preparation · Flexible production systems · Shipbuilding · Ship repair · Forecasting · Production process simulation
1 Introduction According to the Government order of the Russian Federation No.2553-r from 28.10.2019 “Strategy for the shipbuilding industry development for the period up to 2035”, art.5 “Organization of production in the shipbuilding industry”, the lag of the domestic shipbuilding industry from the world shipbuilding enterprises was noted in the following areas: “… the use of modern management technologies aimed at improving the efficiency of planning and organization of design and production; use of production automation and robotization means…”. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1159–1167, 2022. https://doi.org/10.1007/978-3-030-96380-4_127
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In addition to the above-noted, the Government order indicates an extremely urgent problem of low utilization of shipbuilding enterprises, which also negatively affects the enterprise owners’ decisions in relation to the production modernization and renovation. In addition to renovating production and updating the material and technical and technological base, a separate block is the creation of flexible production systems (FPS) [1]. In this regard, it is important to determine the current directions of production preparation automation (and its digitalization in general) in Russian shipbuilding and in this part to develop understandable approaches to the state program implementation for the fleet development until 2035, in addition to digitalization issues, including the problems’ solution related to the replacement of moral and physically outdated jigs, fixtures and tools (JFT) and technologies, the use of automated design and project management environments [2], the use of lean technologies [3], contributing to significant reduction in the loss of material, energy, time, etc. Preparation of production is a part of production business planning [4]. At the same time, the economic basis for the FPS development is the maintenance of production in optimal condition, the ability to adapt the production system to the changes in demand, to the processing of small-scale and single orders [5]. In turn, the joint use of modeling of production processes, databases and other information on the preparation of production will make it possible interactively to determine the current level of flexibility FPS and, if necessary, vary it without stopping the main production [6].
2 Materials and Methods The results of the research presented in this article were obtained by the authors in the process of studying the requests of small shipyards’ owners (including the newly created ones) in terms of equipping the latter with the latest JFT, management systems and support for the life cycle of products, decision support systems, implementation of lean technologies, etc. On the basis of the research work performed, monitoring of the existing production facilities, the timing of orders, related problems, etc., the authors, in a first approximation, have developed an algorithm for the small and medium-sized shipbuilding enterprises production material and technical preparation technological digitalization. The algorithm is based on the thesis: production, from the point of view of its modeling, is a dynamic system with a set of random characteristics, that is, to a large extent functioning under conditions of uncertainty. Therefore, modeling of production processes, as shown in [7], can be performed using the method of statistical tests (Monte Carlo method). Hence, the system functionality should be quite wide: from modeling production conditions, under which the production system reacts relatively quickly to changes in market conditions (changeover of production in order to release new products) to control of the production process as a whole, taking into account warehouse stocks, control safety of technical processes, workflow automation, etc. Taking into account the above, the general structure of automation of the “design-production” system can be represented by the diagram shown in Fig. 1.
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Applied to the automation of small and medium-sized enterprises through the FPS creation it becomes possible to can talk about reducing the costs of intra-workshop and intra-warehouse logistics, reducing production losses, increasing competitiveness and creating a production environment that can be adapted to market conditions with the least losses. In other words, in an automated mode, an economic justification for the acceptance of a new order into operation should be carried out with the determination of the required additional capital investments. This procedure is often complicated by the lack of accurate initial information, which also predetermines the creation of conditions of uncertainty. The algorithm for implementing the predictive approach to production preparation can be formalized by the block diagram shown in Fig. 2.
Automation of shipbuilding and ship repair production
Production automation:
Automation designing:
- Partial (automation of individual operations or groups of processes); - Integrated (automation of structural units workshop, etc.); - Full (automation of production and control of production progress)
- Industryspecific automated design systems; - Automated systems for analyzing the timing and design quality
Automation of operational planning and preparation production:
Document flow automation, warehouse accounting stocks
Analysis and accounting of material and energy reserves; - Automated construction of network graphs; - Determining the priority of order fulfillment, etc.
- Formation of a unified workflow environment between the general designer and production; - Drawing up reports, orders, forming an archive of documents and information
Fig. 1. General structure of the “design-production” system automation.
The number 1 in the block diagram represents the operator generating the request. In the general case, an application is a Customer request for the products manufacturing, participation in a tender, analysis of a promising production direction.
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1
Analysis of the technical feasibility of new products manufacturing
2
Х=1
Production application
13
3
Х=0
The enterprise has the necessary production facilities
14 Enlarged breakdown of the ship's hull into technological units
Determination of required investments for preparation of production
4
Drawing up a technical process as a first approximation; Approximate analysis of labor intensity; Determination of the JFT required quantity; Analysis of the existing and required equipment used
Recording the result
8 JFT and
9
snap are enough
Development (selection) of equipment. Cost calculation
Recording results 5 - Analysis of the required amount of 10 Recording the result materials and energy for production; Х=1 - Analysis of the available reserves Stocks are Х=0 enough
Calculation of the required number of production personnel
6
7 Calculation of the required payroll 12
Calculation of the required material amount; delivery time. Material is enough. Recording results.
11
Calculation of costs in monetary terms; Calculation of the re-adjustment duration Recording the result Fig. 2. General structure of the information model for production technological preparation.
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As a part of the application, the shipyard receives the minimum required package of technical and financial information, terms for the contract execution. The initial data are: type, class, dimensions and displacement of the vessel, design documentation, construction time, deadline for fulfilling the obligations of counterparties, the initial contract price. Operator 2 analyzes the technical capabilities of the ship (s) construction. This analysis assumes checking the workshops aisles’ dimensions, the presence of transport devices, the presence of experience in the construction of such ships, the analysis of the completed projects’ archive. In case of a positive analysis result (availability of required production areas, launching device, transport equipment, etc.), an index X = 1 is generated. Consideration of a situation in which X = 0, will be shown below. One of the initial data elements are the design drawings of the vessel (general arrangement drawings, structural drawings of the hull and superstructure, the scheme of breaking down the hull and superstructure into sections and blocks, etc.). Operator 3 at the first stage determines the largest dimensions of sections and blocks, based on the drawings submitted to the design office and the production capabilities of the enterprise. This operator, while gaining experience in production and analysis of already implemented projects, forms interproject unification of the ships. Such unification will reduce the number of standard sizes of used parts, assemblies, sections, blocks, etc. and will provide the basis for the initial analysis of the labor intensity and timing of production changeovers in the future. Operator 4 defines the fundamental technological process of mastering new products, that is, a stage-by-stage description of the main works in the order of their implementation. The main works include the manufacture of parts, assemblies, block-sections, housing blocks with the systems and equipment saturation. As part of the analysis, this operator also selects the necessary jigs, fixtures and tools, primarily from those available at the enterprise, as well as from those available on the market. Operator 8 analyzes the required quantity and type of rigging and equipment. The lack of the equipment can be caused not only by its actual absence at the enterprise, but also by its parallel use with the simultaneous construction of other orders. In case of rigging and equipment sufficiency, operator 8 generates an index X = 1 and no further calculation is made. In case of JFT production insecurity and auxiliary equipment, operator 9 selects and calculates the required quantity of JFT. The calculation results should be taken into account when calculating capital investments for production changeover. Operator 5, based on the results presented by the operators 4, 8, 9, calculates the required volume of materials and energy carriers. In order to increase the turnover of warehouse stocks, this operator analyzes the warehouse stocks available at the enterprise. If there are unused surpluses in the central warehouse of the shipyard, suitable for use in the development of a new order, the operator takes them into account, transmitting the relevant information to the operator 10, who analyzes the sufficiency. Operator 6 on the basis of the developed principal technology, the production approximate labor intensity used JFT, the production cycle determines the required number of production personnel. Information from block 6 serves as the basis for calculating the wage fund, taking into account the workers qualifications level, the category of labor severity, etc. [8].
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Operator 12 is a block for calculating the main costs associated with the new products’ development. This operator sums up the following costs: 1) for materials (metallic, non-metallic), energy supply (electricity, compressed air, industrial water, industrial gases, etc.; 2) for the purchase of additional JFT units or fundamentally new equipment; 3) for the development of new jigs, fixtures and tools; 4) salary fund. Each operator, in addition to calculation functions, can be used as an element of “information storage”. In other words, as experience is gained in using this algorithm, it is planned to form databases on implemented projects, the main emerging risks, ways to exclude or level them to an acceptable level, etc.). Databases can be structured, for example, according to the following characteristics: 1) 2) 3) 4)
Assembly units (AU); JFT and machine tool attachment; technological processes; used materials and energy types, etc.
In turn AU (parts, assemblies, sections, etc.) can be grouped by the following attributes: a) b) c) d) e) f) g)
applied material; geometric characteristics (dimensions); material thickness; presence and types of curves; the presence of cutouts and holes; AU complexity (one-piece, multi-piece); the presence of edges for welding, etc.
Such structuring will make it possible to define parts and groups of parts with homogeneous production routes. Based on this approach, it is possible to determine the required amount of equipment and jigs, fixtures and tools for the new products manufacturing, as well as the labor intensity and timing of the production system changeover for the new products release. Thus, the main features of AU structuring when creating the corresponding database, are defined by: dimensional characteristics of the product (dimensions of the part, assembly, section, block); metal thickness; the surface curvature; material consumption; material grade. The base of unified technological processes can be formed on the basis of the already sold products, that is, on the basis of the content and sequence generality of technological operations for the products manufacturing at a given enterprise. Increasing the production system flexibility level, especially for small and medium-sized enterprises, is possible by simplifying the most time-consuming operations. For example, the shaping of curved surfaces of the ship’s hull using automated equipment [9].
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The task of optimizing intra-workshop and interdepartmental logistics is a separate complex of technical and economic aspects that significantly affect the enterprise economic efficiency. Accounting for the organization level of the transport system at the enterprise at the stage of preparation for production is presented, for example, in [10]. It is worth considering the fact that at present many modern enterprises are distributed production units (located in different regions of the country and even in different countries). This complicates logistics, causes delays and interruptions in deliveries, which negatively affects the production cycle of the order. Thus, it seems extremely necessary to collect and record information on delivery times and develop recommendations for the formation of a centralized supply management system. The main task of the cluster for collecting data and forming statistical models containing information about a sample of objects (AU, JFT and etc.), is the statistical processing of the information obtained with its subsequent application in the production analysis [11, 12]. Having operational information about the state of jigs, fixtures and tools, the number, type and kind of equipment, its load, statistics of failures and the timing of scheduled repairs, it becomes possible to analyze and make decisions about the possibility of manufacturing new products at this enterprise.
3 Results The result of this study is the structuring of the general concept underlying the algorithm, which makes it possible to automate the technological, material and technical preparation of shipbuilding production at small and medium-sized shipbuilding enterprises in conditions of uncertainty. Based on the presented algorithm (see Fig. 2), it is planned to develop a special software product with the artificial intelligence elements. The main function of artificial intelligence, in this case, is modeling and forecasting the most rational option for implementing a particular technological process with varying different options (levels) of technological and material and technical preparation of production and the formation of recommendations in terms of: the possibility of using available unused warehouse stocks, compliance of the existing type and type of equipment and jigs, fixtures and tools with the technology specified for processing specific parts and AU, determining a new order development timing. The authors assume, that such a software product will be in demand primarily at small and medium-sized shipbuilding enterprises, since they are characterized by a high level of technological operations’ concentration at the production sites with a very low level of production organization.
4 Discussion In a market economy, at the time of concluding a contract for manufacturing a new type of product, it is required to determine the cost part of the project. The latter is often hampered by the fact that the processes of building a ship and issuing working design documentation for a given ship at Russian shipyards, as a rule, are carried out in parallel. The scheme shown in Fig. 1 assumes various options for automation systems for the production preparation. At the same time, for various reasons (high cost, lack of
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implementation experience without stopping the production process, etc.), enterprises prefer to carry out automation in stages. Within the framework of this article, the authors tried to present the architectonics of a special software product, the main function of which would be an integrated analysis of the current state of the production system and the required changes in the development of a new type of product with the development of appropriate forecasts and recommendations. The latter are necessary in cases of manifestation of conditions of uncertainty, for example, for the cases of only partial submission of design and/or technical documentation on time. In addition to such “internal risks”, due mainly to uncertainty at the time of production preparation, the program should also take into account such external risks as disruptions in supplies from counterparties, changes in market conditions, changes in the cost of materials, semi-finished products, components, etc.), which can significantly affect the project timing [13, 14]. As FPS assumes not only the automation of production, but also the creation of conditions for the most efficient use of production personnel, then the main functionalities of the software product should include the calculation of the jigs, fixtures and tools load (taking into account its planned repairs), analysis of the production sites’ load, etc. [15]. The issue of dynamically changing interconnections between individual production sites and shipyard workshops also remains relevant. Obviously, it is necessary to approach its solution using various tools of simulation modeling [16, 17]. A completely independent set of tasks, apparently, must be solved when choosing the methods of transporting objects of labor, methods of storing them, methods of fixing the passage through a warehouse for processing to account for consumption, methods of optimizing routes for transferring workpieces and products between production sites and workshops, etc. In this regard, it is of interest to conduct joint research with the representatives of foreign shipbuilding firms in order to exchange experience, including in terms of production planning, FPS organization, application of the lean technologies’ system and so on.
5 Conclusions Based on the presented algorithm underlying the existing knowledge systematization into special databases (AU, Unified technological processes, intra-plant logistics, management decisions taken, etc.), it becomes possible to digitize the technological and material-technical production preparation at small and medium-sized shipbuilding enterprises with the prospect of creating full-fledged FPS. At the same time, the elements of artificial intelligence can be widely used in software products created on the basis of this algorithm. The development of such databases is a primary task for “training” the artificial intelligence system to analyze the initial production capabilities of the shipyard (which is very important when preparing applications for participation in tenders and signing a contract), assessing the labor intensity and cost of manufacturing the new products, calculating the required number of production facilities, personnel and their distribution to workshops and production areas, the development of forecasts and recommendations in relation to specific production situations. In general, the functionality of such programs should be aimed at increasing the flexibility of shipyards.
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1. References 1. Kostal, P., Velisek, K.: Flexible Manufacturing System, vol. 53. World Academy of Science, Engineering and Technology (2011) 2. Osipov, O.N., Mikheeva, T.A.: A study on applicability of automated project management systems at shipbuilding plants with a single and small-scale production types. Russ. J. Water Transp. 64, 99–109 (2020). https://doi.org/10.37890/jwt.vi64.101 3. Lebedeva, L., Shvaneva, Y., Volotskoi, A., Sompoltseva, A.: Implementation of information support for the shipbuilding products life cycle as a stage of creating «lean production». Russ. J. Water Transp. 63, 68–76 (2020). https://doi.org/10.37890/jwt.vi63.78 4. Choe, S.W., Lee, J.M., Woo, J.H.: Development of production planning system for shipbuilding using component-based development framework. Int. J. Naval Arch. Ocean Eng. PII S2092–6782(21), 00026–00031 (2021). https://doi.org/10.1016/j.ijnaoe.2021.05.001 5. Wenzelburger, P., Allgöwer, F.: A novel optimal online scheduling scheme for flexible manufacturing systems. IFAC-PapersOnLine 52(10), 1–6 (2019) 6. Hernandez, J.D., Cespedes, E.S., Gutierrez, D.A., et al.: Human-computer-machine interaction for the supervision of flexible manufacturing systems: a case study. IFAC PapersOnLine 53(2), 10550–10555 (2020) 7. Magnanini, M.C., Terkaj, W., Tolio, T.: Robust optimization of manufacturing systems flexibility. Procedia CIRP 96, 63–68 (2021) 8. Molenda, P., Drews, T., Oechsle, O., et al.: A simulation-based framework for the economic evaluation of flexible manufacturing systems. Procedia CIRP 63, 201–206 (2017) 9. Frohn-Sörensena, P., Hochstrate, W., Schillera, M.: Analytic process model for flexible manufacturing of cylindrical or conical sheet metal profiles in an incremental sequence. Procedia CIRP 99, 254–259 (2021) 10. Sender, J., Klink, S., Flügge, W.: Method for integrated logistics planning in shipbuilding. Procedia CIRP 88, 122–126 (2020) 11. Wockera, M., Betza, N.M., Feuersänger, C., et al.: Unsupervised learning for opportunistic maintenance optimization in flexible manufacturing systems. Procedia CIRP 93, 1025–1030 (2020) 12. Kegenbekov, Z.K., Jakson, I.V.: Enterprise resource management based on logistics concepts. Russ. J. Water Transp. 62, 103–110 (2020). https://doi.org/10.37890/jwt.vi62.41 13. Zych, A.: Programming of welding robots in shipbuilding. Procedia CIRP 99, 478–483 (2021) 14. Diaz, R., Smith, K., Acero, B., et al.: Developing an artificial intelligence framework to assess shipbuilding and repair sub-tier supply chains risk. Procedia Comput. Sci. 180, 996–1002 (2021) 15. Gerlach, S., Hämmerle, M., Schuler, S.: Patterns for analysis of human resource flexibility in manufacturing. Procedia Manuf. 39, 947–955 (2019) 16. Sender, J., Illgen, B., Flügge, W.: Digital design of shipbuilding networks. Procedia CIRP 79, 540–545 (2018) 17. Jaguscha, K., Sendera, J., Flüggeb, W.: Databased product adjustments during manufacturing based on agile production and digital representation in shipbuilding prefabrication. Procedia CIRP 93, 789–794 (2020)
Preliminary Studies of the Life-Saving Vehicle Positioning Stabilizer Viktor Sichkarev(B)
, Vyacheslav Kuzmin , Andrey Cherenovich , and Alexey Leschenko
Siberian State University of Water Transport, Schetinkina str., 33, Novosibirsk 630099, Russia [email protected]
Abstract. The use of life-saving vehicles remains the last measure to preserve human life at sea in the event of a ship wreck. According to the insufficiently complete statistics available, up to a quarter of human casualties are accounted for by life-saving vehicles. The main reason for the death of people on life-saving vehicle is their insufficiently quick detection during rescue operations. This is due to the drift of life-saving vehicles from the place of the sinking of the ship. The task is to minimize the drift of life-saving vehicles by using special devices. An added mass anchor is used as a prototype. To prevent drift, it is proposed to use the indirect wave energy. A device for stabilizing the positioning of a life-saving vehicle has been developed and manufactured. It is based on the principle of a wing that operates in two modes during the wave period: the ascent mode on the front slope of the wave and the descending mode on the rear slope of the wave. The problem of working out the structural elements, as well as the spatial arrangement of the device during its rise and fall on waves, was solved experimentally in the pool. The efficiency of the device operation in waves is evaluated in the experiment by the angle of ascent of the device on the rise and the force created on the cable. The necessary parameters of the initial installation of the device and the mutual arrangement of the elements of the device have been obtained. One of the tested devices is recommended for design and technological study with the aim of further use on life-saving vehicles. Keywords: Reducing the drift of life-saving vehicles · Added mass anchor · Positioning stabilizer · Imitation of wave action in preliminary studies
1 Introduction Diversified economic activity at sea leads to the development of new technical systems and methods of their research [1–4]. Among them, there are energy floating objects for the selection and conversion of wind and wave energy [5–12], for which it is necessary to ensure positioning stabilization, counteraction to wind, wave and internal loads. Much of these functions are performed using anchor systems. However, there remains a very important area of maritime activity, which also tends to stabilize positioning, but this cannot be provided with traditional anchoring systems, held by traction, due to the great © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1168–1175, 2022. https://doi.org/10.1007/978-3-030-96380-4_128
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depths of the sea. This area is associated with the use of life-saving vehicles at offshore facilities. The use of life-saving vehicles remains the last measure to preserve human life at sea in the event of a ship wreck. According to the insufficiently complete statistics available, up to a quarter of human casualties occur during the stay of people in life-saving vehicles. The main reason for the death of people on rescue equipment is their insufficiently quick detection during rescue operations. This is due to the drift of life-saving vehicles from the place of the sinking of the ship. The area of the search zone for life-saving vehicles from the place of the wreck of the ship is proportional to the probable angle of scatter and the square of the path of the life-saving vehicles drift. This circumstance makes one of the most important tasks of preserving human life at sea to reduce the time of search operations, therefore, to reduce the drift of life-saving vehicles. The task is to minimize the drift of life-saving vehicles by using special devices. Life rafts, which are one of the main collective life-saving vehicles of sea-going vessels, are equipped with a floating anchor to prevent wind drift, which provides the raft drift coefficient, according to the results of the experiment [13], equal to kd = 0.044. A comparative experiment conducted in 2019 at the Novosibirsk reservoir on the drift of two identical PSN-10R rafts, one of which was armed with a standard floating anchor, and in the other, the floating anchor was replaced by an added mass anchor (AMA) according to [14], showed that a raft with AMA drift coefficient is much less and amounts to kd = 0.029. In this case, the area of the bell of the floating anchor is SAA ≈ 0.4 m2 , and the area of the bottom of the AMA is SAMA = 0.11 m2 . This comparative experiment showed the promise of research to reduce the drift of life-saving vehicles using new ideas. AMA in the experiment worked on the principle of providing additional resistance to the drift of the raft, due to the wind pressure on the surface of the raft. The floating anchor works on the same principle. The resulting difference in the drift speed is due to the removal of the AMA from the zone of orbital wave motion of water in the surface layers in which the floating anchor is located. This leads to the idea that a good stabilizer for the positioning of life-saving vehicles should take into account the peculiarities of wave movement on the surface, at depth, movement on the wave of the life-saving vehicles (rolling), and an ideal stabilizer should also use all the properties of the external environment and the state of the stabilized object. In this case, it is possible to formulate the Ideal Final Result (IFR) of stabilization: the energy of the drift and the external environment is converted into work against the forces of the drift. To perform work against the forces of drift, it is no longer enough to resist the drift as a passive (secondary) force, but it is necessary to form an active force directed opposite to the force of drift. Considering that the real final result cannot perform any energy conversion with 100% efficiency, additional energy must be attracted to work against the forces of drift, the source of which can be the energy of wave, and the rolling of the life-saving vehicles can become the mechanism for extracting wave energy. Using the oscillatory movements of the life-saving vehicle in waves, one must learn to generate active hydrodynamic forces and direct them towards the forces of drift. It should be noted that waves create wave transport of bodies on the surface only due to nonlinear effects; therefore, the main contribution to the drift is made by the wind, as well as the
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surface wind current generated by the wind. Hence it follows that in the rolling of the raft, wave is an external source of energy; its energy is the accumulated wind energy along the entire path of wave acceleration and can significantly exceed the local wind energy at the location of the life-saving vehicle.
2 Materials and Methods Thus, the technical problem is to transform the rolling of the life-saving vehicle into an active hydrodynamic force, and the transducer itself can be called a positioning stabilizer. Of greatest interest in the framework of the task is the vertical movement of the suspension point of the positioning stabilizer, which provides vertical movements of the stabilizer buried under the life-saving vehicle into water layers with less orbital motion than on the surface. In turn, the vertical movement of the suspension point is due to both the vertical rolling of the life-saving vehicle and its pitching (pitching should be understood as rolling the raft in the plane passing through the center of mass of the raft and the stabilizer suspension point). However, the stabilizer, with its active hydrodynamic forces, reduces the pitching of the raft, which promotes the vertical rolling as the main source of vertical displacements. The best means of creating hydrodynamic forces known today is a wing placed in a stream of water at an optimal angle of attack. At the same time, the wing efficiency (the magnitude and ratio of various components of hydrodynamic forces) depends rather strongly on many geometric parameters, and therefore the quantitative parameters of the forces can be determined experimentally. The peculiarity of the work of the wing as a means of creating a force that counteracts the drift of the life-saving vehicle is its non-stationary, oscillatory work: a sufficiently large force for the movement of the wing can be created only when it is raised by the buoyancy of the life-saving vehicle on the forward slope of the oncoming wave; the lowering of the wing on the rear slope of the wave occurs under its own weight. Therefore, in general, during the period of the wave, the active hydrodynamic force is created only on the rise of the wing. When lowering the wing, it would be important not to lose the effect accumulated during raising. And the very effect of the positioning stabilizer operation can be assessed by the tension force of the anchor cable, by the angle of the cable in the active section and by the change in this angle during the raising of the stabilizer. Understanding the nonstationarity of the wing operation during the period of the wave makes it possible to formulate the shape of its ideal trajectory. It should be a sawtooth broken line with an oblique movement of the wing from the bottom point towards the wave on its front slope and vertical lowering of the wing or even movement towards the wave on the rear slope of the wave while maintaining the optimal angle of attack during the entire dive. It is clear that a single wing of a fixed shape cannot provide such a trajectory. Therefore, it is necessary to solve an inventive problem with a technical contradiction: on the raising there should be a wing at the desired angle of attack to the raising velocity vector, and on lowering the wing, there should be no or there should be a wing with the desired angle of attack to the lowering velocity vector.
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The solution to this inventive problem can be found using a combination of soft shells and rigid elements, rigid wings with flaps and slats, with a change in the influence of each element on the entire system at each stage of the wave period, etc. The inventive problem is realized in the form of various design options, in each of which, by means of experimental verification, the positive and negative sides of the two main stages of work – raising and lowering – are revealed.
3 Results and Discussion As one of the options, a device containing a metal frame on which a metal mesh is fixed has been developed, manufactured and tested in the pool. Tape strips along the upper edge are sewn to the mesh in the transverse direction of lifting and lowering so that they form a continuous closure of the entire frame, Fig. 1. In this form, the device is a flat wing when it rises upward with a certain angle of attack. On such a flat wing, a hydrodynamic force is formed, which forces the device to move towards the wave, Fig. 2. When the device is lowered down, the tape strips are bent upward under the action of the water flow and almost do not interfere with the immersion of the device. This simulates the idea of the absence of a wing when the frame is immersed, Fig. 3.
Fig. 1. The main part of the positioning stabilizer and its suspension on a cable.
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Fig. 2. Testing the main part of the positioning stabilizer.
Fig. 3. Diagram of movement of the positioning stabilizer between the trough and the top of the wave.
To simulate the lowering of the wing frame with a different angle of attack, a flap is attached to the lower part of the main frame, which in its structure is analogous to the main wing, but with tape strips sewn to the mesh along the lower edge, Fig. 4.
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Fig. 4. Main wing with flap.
Testing this version of the device showed significantly better efficiency, Fig. 5.
Fig. 5. Movement of the device with a flap towards the wave during ascent.
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In pool tests of devices, where the vertical vibrations of the raft are modeled by pulling and lowering the anchor end, the term “towards the wave” means the direction in the vertical plane of which the required angle of attack of the plane of the main wing is set.
4 Conclusions A model of a tape stabilizer for positioning a life-saving vehicle with a flap was recognized as promising for further design study and for full-scale tests with life-saving vehicles. As a result of preliminary tests, it was possible to work out the optimal ratio of the areas of the main wing and the flap, the angle of the flap relative to the main wing, the optimal angle of attack of the main wing relative to the anchor cable [15].
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11. Ruzzo, C., Muggiasca, S., Malara, G., et al.: Scaling strategies for multi-purpose floating structures physical modeling: state of art and new perspectives. Appl. Ocean Res. 108, 102487 (2021). https://doi.org/10.1016/j.apor.2020.102487 12. Singh, U., Abdussamie, N., Hore, J.: Hydrodynamic performance of a floating offshore OWC wave energy converter: an experimental study. Renew. Sustain. Energy Rev. 117, 109501 (2020). https://doi.org/10.1016/j.rser.2019.109501 13. Sichkarev, V.I., Kuzmin, V.V., Ruskin, A.A., Ivanov, I.A.: Experimental verification of the efficiency of reducing the drift of life rafts by anchoring the attached mass. Scientific and Technical Collection of the Russian Maritime Register of Shipping 56–57:19–25 (2019). https://rs-class.org/ru/register/about/scientific/schedule_detail.php?ID=3877 14. Sichkarev, V.I., Zakharova, M.G.: Wave installation. Copyright certificate of the USSR 1642056 (1989). https://patents.su/3-1642056-volnovaya-ustanovka.html 15. Sichkarev, V.I., Kuzmin, V.V.: Stabilizer of floating object positioning. Patent of the Russian Federation 2743456 (2020). https://findpatent.ru/patent/274/2743456.html
Conceptual Approaches to the Design of Swimming Pools on Passenger Vessels Ekaterina Cherepkova(B) Volga State University of Water Transport, 5 Nesterova Str, Nizhny Novgorod 603950, Russian Federation [email protected]
Abstract. Currently, there is a trend of gradual demand increase in the tourism industry, both abroad and in Russia, the customer puts the issues of service type and quality to the fore. One of the key positions is occupied by sea and river cruises, so the matter of increasing competitiveness of passenger ships is relevant for shipowners, where the key parameter is “passengers’ comfortable stay on board”. An integrated and systematic approach to the issue of designing or modernizing a given vessel type is an effective method of increasing comfort. The analysis of the sources showed a poor development of this parameter due to the placement of a swimming pool with its own water treatment system on board a river cruise passenger ship. The author has studied the architectural and structural types of swimming-baths on foreign river cruise passenger ships. The possibility of placing swimming pools on board Russian cruise passenger or cargo-passenger ships is considered. The dependencies of the pool areas on vessel length and the percentage of passengers bathing simultaneously on Russian and foreign vessels were obtained at a first approximation, which will allow creating specialized software products that can simplify the process of placing pools on river and sea vessels for specialists of different training levels. Keywords: Passenger vessels · Design of swimming pools · The parameters of swimming pool areas
1 Introduction Currently, according to the types of tourist resources used, recreation is divided into the following categories: beach, sea, river, mountain, cave, etc. The most promising of all previously mentioned categories are river and sea transportation by cruise passenger and cargo-passenger ships (CPS). This recreation type is common in those countries where there are extensive networks of inland waterways or free access to the open sea. Russian inland waterways are quite developed. The largest passenger volume in the European part of our country is transported along rivers, lakes and reservoirs, which are a part of a single deepwater system. The analysis of global trends has shown that cruise tourism in Russia has every chance of rapid growth, despite the fact that this recreation type percentage is no more than 5. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1176–1185, 2022. https://doi.org/10.1007/978-3-030-96380-4_129
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Sea or river cruises are a special recreation type that combines shore excursions and entertainment on board, such as sports and invigoration, cultural and educational, recreational and business activities. Based on the above, the issue of improving the competitiveness of the CPS is relevant for shipowners, where the parameter “passengers’ comfort on board” is the most important. But an effective method of increasing comfort is an integrated and systematic approach to the issue of design or modernization [1–7]. The aim of this work is to create dependencies for determining the parameters of swimming pool areas, as well as the percentage of passengers bathing at the same time at the first approximation, both on foreign and Russian ships. When achieving this goal, the author will solve the following tasks: 1. Research of the best global trends of river CPS for the presence of swimming pools. 2. Determine the percentage distribution of the ship basin forms on foreign river CPS, as well as the following parameters of variation: the length of the vessel, passenger capacity and the area of the pool bath. 3. To analyze Russian river CPS for the possibility of placing a swimming pool on board in accordance with SanPiN 2.1.2.1188-03. 4. Obtain formulas for the pool bath areas on foreign and Russian CPS at the first approximation using the initial data. 5. Determine the percentage of simultaneously bathing passengers on foreign and Russian ships at the first approximation in accordance with SanPiN 2.1.2.1188-03 and GOST R 53491.2 – 2012. 6. Build a graphical image of the obtained dependencies.
2 Materials and Methods The work was carried out in 2020–2021 at the Department of “Lifting and transport machines and machine repair”. The study used diagrams and plans of foreign and Russian river CPS, sanitary rules and regulations (SanPiN 2.5.2-703-98. 2.5.2., SanPiN 2.1.2.1188-03.2.1.2.), state standards of the Russian Federation (GOST R 53491.1-2009) and scientific articles. The obtained experimental results were processed in the Statistica software package using the analytical alignment method. The proposed approach will allow future development of specialized software products to simplify the design process of ship swimming pools on CPS with its own water treatment system.
3 Results By analyzing the operation and design of foreign CPS, it was found that more than 55% have swimming pools on board (see Table 1). According to the author, the placement of a swimming pool on board the CPS will increase the comfort and, accordingly, the attractiveness of cruise tourism, which will consequently lead to an increase in passenger traffic [7–9].
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Ship name
Year of construction
State
Ship accommodation
Passenger capacity
Basin area, m2
Scenic Spirit
2016
Southeast Asia
Diamond deck
68
24.0
Scenic Aura
2016
Myanmar
Diamond deck
44
10.0
River Tosca
2017
Egypt
Sun deck
82
105.0
Iberotel Crown Emperor
2003
Egypt
Upper deck
234
70.0
Scenic Azure
2016
Spain/Portugal
Sun deck
96
12.0
Scenic Sapphire, Scenic Diamond
(2008/2009) 2017
Europe
Sun deck
149
52.0
Prince Abbas
1998
Egypt
Upper deck
130
49.0
Ms Vistaprima
2010
Switzerland
Sun deck
158
14.0
Amadeus Elegant
2010
Germany
Sun Deck
130
16.0
American Queen
1995
USA
Promenade deck
430
60.0
Scenic Jasper, Scenic Opal, Scenic Amber
2015/ 2016
Europe
Sun deck
163
18.0
Viking Royal Lotus
2005
Egypt
Sun Deck
120
22.0
Alemannia
2010
Germany
Sun deck
184
70.0
Swiss Peara
1993
Switzerland
Emerald Deck
123
23.0
S.S. Antoinette 2011
Switzerland
Princess deck
152
21.0
Alessandra
Egypt
Sun deck
144
45.0
1996
a There are 2 swimming pools on board the ship. The table shows the largest pool bath area.
Having studied the architectural and structural bath types of foreign CPS, the author determined the percentage distribution of pool shapes [10–15]: – rectangular - 94%; – ellipsoid - 5%; – round - 1%.
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It is also established that ships with a swimming pool on board vary: – in length (85…135), m; – passenger capacity (44…430), people.; – the pool bath area (10…105), m2 . According to the initial data (see Table 1) the formula for the area of the pool bath on foreign CPS was obtained at the first approximation, m2 : Sfp = −0.000115 L2 − 0.0554 L + 46.299,
(1)
where, Sfp – the area of the pool bath on foreign ships, m2 ; L is the length of the vessel, m (Fig. 1).
Pool bath area on foreigh ships (Spf), m²
120
100 Sfp= - 0.000115L² - 0.0554L+46.299 80 60
40
20 0 50
100
150
200
Ship length, L, m Fig. 1. The graph of swimming-bath areas on foreign ships.
Using the method of analytical alignment, we obtain the formula for the pool bath area on Russian ships at the first approximation, m2 : Sp = −0. 00637L2 + 2.559 L − 130.468, where, Sp – pool bath area, m2 ; L is the length of the Russian vessel, m.
(2)
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We will analyze the Russian river CPS for the possibility of placing a swimming pool on board (see Table 2). When designing a swimming pool, it is necessary to take into account the possibility of placing sun loungers for bathing, as well as the size of walking paths for passengers along the deck [2]. In passenger cabins according to the SanPiN 2.5.2-703-98.2.5.2 the following requirements must be met: – the width of the passage to the ladder ≥ 800 mm; – passage width ≥ 600 mm; – he distance between seat rows ≥ 450 mm. Based on the obtained data, Table 2 and the parabola smoothing method, a graph of swimming-bath areas on Russian ships was constructed (see Fig. 2). With the overlay of foreign and Russian basin area graphs, there is a fairly extensive area of value match along the length (80…135) m, and over the area (10…75) m2 . When designing a swimming bath, it is necessary to take into account (SanPiN 2.1.2.1188-03 and GOST R 53491.2-2012): – placement type of sun loungers (with the average length of 1.9 m); – the number of sun loungers (equal to the number of passengers bathing at the same time); – availability and placement of sanitary and hygienic premises.
Table 2. Russian river CPS with swimming pools №
Name of ship projects
River Register Number of class vessels in operation
1
588
O
Number of decks
Deck dimensions, L × B, m (max)
Pool size Lp × Bp, m (max)
33q
4
17.7 × 6.5
12.7 × 1.5
2
302
M
27b
4
13.2 × 22,1
8.2 × 17.1
3
305
O
24c
3
18 0 × 8.3
13.0 × 3.3
O
20d
4
20.5 × 11.0
15.5 × 6.0
4
301
5
26–37
O
12e
4
12.5 × 5.7
7.5 × 0.7
6
646
M
8f
3
7.2 × 11.0
2.2 × 6.0
O
8g
4
15.0 × 11.5
10 × 6.5
7
92–016
8
Q-065
M
5h
3
16.0 × 11.0
11.0 × 6.0
9
785
O
5i
3
9.0 × 7.0
4.0 × 2.0
10
Q-40
O
2
4
20.0 × 8.5
15.0 × 3.5 (continued)
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Table 2. (continued) №
Name of ship projects
River Register Number of class vessels in operation
Number of decks
Deck dimensions, L × B, m (max)
Pool size Lp × Bp, m (max)
11
Q-40A
O
2
4
20.0 × 8.5
15.0 × 3.5
12
Q-056
M
2
4
25.0 × 10.0
20.0 × 5.0
a 33 vessels are in operation, 16 vessels decommissioned b 24 vessels are in operation, 3 are used as a Caspian Sea hotel. c 24 vessels are in operation, 3 vessels have been converted into recreational vessels, 18 vessels
decommissioned, 3 vessels are used as a berth-connected ship. d 20 vessels are in operation, 2 vessels decommissioned. e 12 vessels are in operation, 2 vessels decommissioned. f 8 vessels are in operation, 5 vessels decommissioned, 2 vessels are used as a berth-connected ship. g 8 vessels are in operation, 1 vessel decommissioned. h 3 vessels are in operation, 2 are used as an entertainment center. i 5 vessels are in operation, 26 vessels decommissioned, 4 vessels are used as a berth-connected ship.
Pool bath area (Sp), m²
14 0
Sp= - 0.00637L² + 2.559L-130.468
12 0 10 0
Sfp= - 0.000115L² - 0.0554L+46.299
8 0 6 0 4 0 2 0 0 55
70
85
100
115
130
145
Ship length, L, m Fig. 2. The swimming-bath area graph on Russian ships.
To assess the vessel comfort level, we will introduce the dependence of the number of passengers bathing at the same time, %, and also conduct a comparative analysis of foreign and Russian CPS (sketch placement of a pool bath) at the first approximation.
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E. Cherepkova
The percentage of simultaneously bathing passengers on foreign ships at the first approximation can be determined by the formula, %: Psf = 0.00219 L2 − 0. 669 L + 55.824,
(3)
The percentage of simultaneously bathing passengers on foreign ships, %
Where, Psf - the percentage of simultaneously bathing passengers on foreign ships, %; L is the length of the vessel, m. Based on the above, we will construct the interdependence between the number of passengers bathing at the same time on foreign ships and the CPS length (Fig. 3).
70 60 50 40 Psf = 0.00219L² - 0.669L+55.824 30 20 10 0 50
100
150
200
Ship length, L, m
Fig. 3. The percentage of simultaneously bathing passengers on foreign ships.
The percentage of simultaneously bathing passengers on foreign ships at the first approximation can be determined by the formula, % Ps = −0.00589 L2 + 1.293 L t − 58.361,
(4)
Where, Ps - the percentage of simultaneously bathing passengers on Russian ships, %; L - the length of the vessel, m. Based on the data in Table 2, we will construct the interdependence graph between the number of simultaneously bathing passengers on Russian ships and the CPS length (Fig. 4).
The percentage of simultaneously bathing passengers, %
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1183
18 16 Psf = 0.00219L² - 0.669L+55.824
14 12
Ps = - 0.00589L² + 1.293L – 58.361
10 8 6 4 2 0 50
100
150
200
Ship length, L, m Fig. 4. The graph shows the percentage of passengers bathing at the same time on Russian ships.
The resulting graph can be characterized as follows: – increase in passenger capacity in the section (60… 100), m; – “plateau” (100… 115), m; – a sharp decrease in this parameter (115…150), m.
4 Discussion Data analysis at the first approximation showed that the percentage of passengers bathing at the same time is (4.43…11.37), %, with the CPS length (80.75…147.95), m (see Fig. 4). When integrating the results obtained, the author found that with an increase in the length of foreign CPS, shipowners increase the comfort of passengers’ stay by providing additional services (spas, shops, hairdressers, gyms, etc.), but at the same time reduce passenger capacity (Fig. 4). During the preliminary placement of swimming-baths on Russian ships, a similar trend was recorded at the first approximation. Moreover, an important factor that influenced the graph “percentage of passengers bathing at the same time” (see Fig. 4) is a reduction of the free deck areas for their possible placement. The obtained conclusions will allow the author to continue working on methodology creation for designing ship swimming pools on river CPS with its own water treatment system and further CPS project digitalization, taking into account the increase in the parameter “comfort of passengers on board”.
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5 Conclusions The foreign experience of placing swimming pools on CPS board is positive, so it is necessary to continue creating methods for designing this type of constructive solution, which in the future will allow creating specialized software products that can simplify the process of placing pools on river and sea vessels. The aim of this work is to create dependencies for determining the parameters of swimming pool areas, as well as the percentage of passengers bathing at the same time at the first approximation, both on foreign and Russian ships. In the process, the following tasks were completed: – The best world analogues of foreign river CPS were studied for the presence of swimming pools. – The percentage distribution of the ship pool forms on foreign river CPS was determined, as well as the following variation parameters: vessel length, passenger capacity and pool bath area. – The analysis of the Russian river CPS for the possibility of placing a swimming pool on board in accordance with SanPiN 2.1.2.1188-03 was carried out. – According to the initial data, formulas for pool bath areas on foreign and Russian CPS at the first approximation are obtained. – The percentage of simultaneously bathing passengers on foreign and Russian ships was determined at the first approximation in accordance with SanPiN 2.1.2.1188-03 and GOST R 53491.2 – 2012. – Graphical images of the obtained dependencies were constructed.
References 1. Parnyakov, A.V.: Innovation and design of cruise ships. Pacif. Sci. Rev. 16(4), 280–282 (2014). https://doi.org/10.1016/j.pscr.2015.02.001 2. Cherepkova, E.A.: Features of the placement of ship pools. Russ. J. Water Transp. 56, 65–71 (2018) 3. Polat, N.: Technical innovations in cruise tourism and results of sustainability. Procedia. Soc. Behav. Sci. 195, 438–445 (2015). https://doi.org/10.1016/j.sbspro.2015.06.486 4. Koukaki, T., Tei, A.: Innovation and maritime transport: a systematic review. Case Stud. Transp. Policy 8(3), 700–710 (2020). https://doi.org/ https://doi.org/10.1016/j.cstp.2020. 07.009 5. Fanelis, P.: Eco-REFITEC on course to deliver ‘green’ retrofit tool. Ship Repair Convers. Technol. 1, 20–21 (2013) 6. Vega-Muñoza, A.M., Arjona-Fuentesb, J., Ariza-Montesa, A., et al.: In search of ‘a research front’ in cruise tourism studies. Int. J. Hosp. Manage. 85 (2020). https://doi.org/10.1016/j. ijhm.2019.102353 7. MacNeill, T., Wozniak, D.: The economic, social, and environmental impacts of cruise tourism. Tour. Manage. 66, 387–404 (2018). https://doi.org/10.1016/j.tourman.2017.11.002 8. Bertagna, S., Braidotti, L., Monaca, U.: SRTP assessment of passenger ships: a simulation tool. Procedia Comput. Sci. 180, 571–580 (2021). https://doi.org/10.1016/j.procs.2021.01.277
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9. Bertagna, N., Marino Bucci, M.: Simplified and advanced approaches for evacuation analysis of passenger ships in the early stage of design. Brodogradnja 70(3), 43–59 (2019). https:// doi.org/10.21278/brod70303 10. Povel, U.O.: Risk assessment for passenger ships. Design and Operation of Passenger Ships November 20–21:21–24 (2013) 11. Yu, J.W., Lee, Y.-G.: Hull form design for the fore-body of medium-sized passenger ship with gooseneck bulb. Int. J. Naval Arch. Ocean Eng. 9(5), 577–587 (2017). https://doi.org/ 10.1016/j.ijnaoe.2016.12.001 12. Li, Y., Gongsheng, H.: Design optimization of the PCM storage tank for heating an open-air swimming pool. Procedia Eng. 205, 842–848 (2017). https://doi.org/10.1016/j.proeng.2017. 10.023 13. Woolley, J., Harrington, C., Modera, M.: Swimming pools as heat sinks for air conditioners: model design and experimental validation for natural thermal behavior of the pool. Build. Environ. 46(1), 187–195 (2011). https://doi.org/10.1016/j.buildenv.2010.07.014 14. Sender, J., Illgen, B., Wilko, F.: Digital design of shipbuilding networks. Procedia CIRP 79, 540–545 (2019). https://doi.org/10.1016/j.procir.2019.02.093 15. Mizgirev, D.S., Guryanov, N.M.: Analysis of technical solutions for ship potable water systems. Russ. J. Water Transp. 63, 77–89 (2020). https://doi.org/10.37890/jwt.vi63.79
Breaking the Ice Sheet and Extending Navigation with Hovercraft Technology Valery Zuev1
, Elizaveta Larina1 , Evgeny Ronnov2 and Evgeniy Burmistrov2(B)
,
1 Nizhny Novgorod State Technical University named after R. E. Alexeyeva, 24 Minina Str,
Nizhny Novgorod 603950, Russian Federation 2 Volga State University of Water Transport, 5 Nesterova, Str, Nizhny Novgorod 603950,
Russian Federation
Abstract. In the 1970s, observations and tests of the first self-propelled and nonpropelled hovercrafts destroying ice cover were carried out. Model and full-scale experiments were conducted abroad (USA, Canada, Finland, etc.) and in Russia, which confirmed high efficiency of using new hovercraft technologies.The article provides justifications for the applicability of these technologies in different operational situations, based on the authors’ research. The main purpose of the materials presented in the article is to show various possibilities of using hovercraft technologies in ice engineering operations. Two methods of ice cover failure by hovercrafts are discussed – the pressure and resonant methods. Both methods have high efficiency in terms of ice failure (including energy and operating costs). The expediency of using these methods for various ice operations is given: when creating an ice channel, servicing ships in freezing ports and harbors, during ship withdrawal out of ice captivity, when surrounding ships and structures, placing ships on winter lay-up, destroying the reservoir ice cover. It is also possible to use hovercraft technologies as ferries for transporting heavyweights. Keywords: Ice failure · Navigation extension · New technologies · Hovercrafts
1 Introduction The fight against ice difficulties on inland waterways and freezing seas has always been relevant for countries located in northern climatic zones. The effectiveness of its solution is connected not only to technical problems, but also to a number of technological and social problems. The universal means of solving them are icebreaker vessels, Arctic class vessels and vessels with ice reinforcements. It is known that icebreakers are the most logical means of ensuring ice navigation for transport vessels, but they have several disadvantages associated with their high construction and operating costs, as well as limited ability to work in shallow water areas [1–6]. In this sense, icebreaking hovercraft (AC), disclaiming ice channel creation of the Northern Sea Route, can successfully perform many ice engineering operations on inland waterways, be effective in freezing ports, as well as ensure the operation of platforms for oil and gas production. In most cases, icebreaking hovercraft platforms (IHCP) are built towed [7–9]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1186–1194, 2022. https://doi.org/10.1007/978-3-030-96380-4_130
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The purpose of this study was to substantiate the IHCP performance capabilities, as well as technologies based on the “air-cushion” effect in general, to solve the above mentioned tasks. The technology of ice cover failure by a resonant method is of particular interest to the authors. This method is described in sufficient detail in references [10], however, the theory explaining the physical essence of this method is not fully developed at the moment, which makes it difficult to apply it to the solution of specific practical problems. The study of literary sources on this issue has shown that specialists working in this field are dealing either with unsubstantiated theoretically experimental data (V. A. Lobanov, E. M. Gramuzov, N. M. Semenova, F. Li, J. Montewka, F. Goerlandt et al.) [4, 7–9], or, conversely, with theoretical data that have not been verified experimentally (V. M. Kozin, S. Erceg, S. Ehlers, J. Hu, L. Zhou, E. Huang, M. Li, P. Igrec, B.Cardiff, D. Stagonas, G. Thomas et al.) [1, 3, 10]. Therefore, the study is extremely relevant, and its results have not only scientific, but also practical significance.
2 Materials and Methods The materials presented in this article are the result of multi-year research conducted at the specialized departments of the Nizhny Novgorod Technical University named after R. E. Alekseev and the University of Water Transport. The research is based on two ways of ice cover failure: 1) the “pressure” method; 2) the “resonant” method. In the first case, the excess pressure created in the IHCP dome space through cracks, formed during the liftoff, or open areas in the ice cover, creates an air cavity under it. For the ice failure, IHCP needs to create the required pressure in the air cushion and have adequate mass-dimensional characteristics for ice failure under the influence of gravitational forces. The scheme of an air cavity formation is shown in Fig. 1.
Fig. 1. Diagram of air cavity formation and the ice cover failure.
The IHCP operation leads to low energy costs associated with ice failure method. The air cushion pressure is related to the ice thickness (for example, 10–12 kPa is required for an ice thickness of 1 m). The air flow rate from the AC is 1.2…1.5 m3 /s per 1 m of perimeter. The flexible seal height depends on the height of stranded hummocks. The advantages of IHCP in ice failure and channel plotting are as follows: • low energy costs for ice cover failure; • the ability to work in the string with small tugs or transport vessels;
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• • • • • •
low operating costs; ice channel plotting; the ability to work in shallow water areas; ship withdrawal out of “ice captivity”; ice failure and cleaning lock pools from it; ice works in freezing ports and harbors (special attention in new technologies is drawn to inland waterways, when their load capacity is comparable to the railways load capacity); • performing ice engineering works in the areas of offshore oil and gas production. Field tests of three IHCP plants on the Volga River, carried out with the direct participation of the authors, confirmed high efficiency of new technologies. The first tests were carried out with a full-scale model of IHCP str. IP-102 P (icebreaking platform) (Fig. 2). Tests in the ice were carried out by two methods: 1) cable towing with a windlass; 2) in the string with the tug “Ozerny-106”.
Fig. 2. IHCP -102 p. Tests with cable towing
It is advisable to use high-pressure centrifugal fans with diesel engines as a IHCP high-pressure injection complex. It is important to note that the first full-scale IHCP model was tested using the RD-9B gas turbine unit, decommissioned from aviation, as a supercharger [9]. Two turbines were installed on the IHCP deck (see Fig. 2) with a special ejector to reduce the temperature of gases sent to the dome space. Despite the increased fuel consumption, a significant advantage of gas turbine units usage was smooth launch even after winter anchorage and complete absence of freezing of the hull and flexible seal in winter operating conditions. Tests of the second experimental IHCP-107P “Toros” (Fig. 3 and 4) in a string with a small river icebreaker str. 16 “Oka” showed the ability to destroy ice up to 0.8 m thick with a channel width of 20.0 m at a speed of 8–9 km/h.
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1189
Fig. 3. Fragment of IHCP-107P tests on clean water
Fig. 4. Fragment of IHCP-107P tests on ice
IHCP-107P (“Toros-1”) is a non-propelled icebreaking hovercraft with a hull size in plan, draught of 244 tons (50% liquid ballast), with water packed vacuum pump, capacity of 30 m3 /s, pressure of 13 kPa and power consumption. Flexible seal is singletier with knee-shaped fingers of 1.50 m height. The estimated thickness of the destroyed ice is 1.0 m. IHCP confidently destroys a solid ice sheet with thickness up to 0.7 m (no large thicknesses were tested), creating an ice channel 18…19 m wide with an ice concentration of 7/10th. The analysis of domestic and foreign experimental data allowed us to obtain a semi-empirical dependence for determining the pressures in the AC for ice of a known thickness, kPa [11]: kf h2 r2 (1) PAC = 2 1 + r SAC Where kf = 1300 ± 100 is the specific ice failure energy, kPa; h - ice thickness, m; S AC - AC area, m2 ; r - ice plate bending linear size. E · h3 r= 4 , (2) 12(1 − μ2 )ρw · g
1190
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Where E, μ is, respectively, the elasticity modulus, kPa, and the Poisson’s ratio for ice;ρw – water density, t/m3 . Table 1 shows the main IHCP elements tested in Russia and abroad [1–3, 7, 8]. Table 1. The main IHCP elements tested in Russia and abroad №
Title
Test year
1
ACT-100
2
ACT-100
3
Iceator-I
4
Iceator-II
5
ACIB
6 7 8
H-119
9
HJ-15
10 11
L, m
B, m
H, m
H AB , m
S AB , m2
D, t
PAB , kPa
QAB , m3 /c
1971, 1975
22.9
17.4
1.98
80.6
1972–1973
22.9
17.4
1.98
80.6
1976
22.4
17.4
1.98
24.4
21.4
396
262
6.89
396
262
6.89
79.6
388
306
7.00
3.00
91.6
520
568
10.50
17.2
22.6
2.50
79.6
387
255
8.30
3 × 35
H-302 H-533
21.0
21.0
3.00
84.0
439
472
10.60
3 × 35
21.0
21.0
2.50
84.0
439
472
10.60
1973
13.4
6.0
38.8
80
17,2
3.90
46
9.23
0.73
144
1974
12.2
5.6
36.0
68
16,5
3.00
109
0.25
0.73
262
VIBAC
1976
24.0
18.3
2.20
84.6
437
300
7.00
46
0.80
1.55
1100
VIBAC
1976
24.0
18.3
2.20
84.6
437
300
7.00
46
1.00
1.55
1100
12
VP-1
1982
18.5
8.5
1.00
54.0
156
72
5.40
30
0.35
0.75
850
13
River Gurdian
13.7
16.8
61.0
229
190
9.00
2 × 23
0.51
1.52
14
102LP
13.6
20.0
1.50
67.2
271
222
9.00
48
0.80
1.5
15
105LP
16.6
16.6
2.10
66.4
274
164
7.80
0.60
1.1
16
106LP
16.4
14.4
1.95
61.6
235
97
5.0
0.40
0.8
550
17
107LP
16.0
20.0
2.70
72.0
318
290
11.0
76
1.00
1.5
2 × 550
18
108LP
20.0
20.0
2.70
80.0
398
290
11.0
76
1.00
1.5
19
109LP
17.5
20.0
2.70
75.0
348
290
11.0
76
1.00
1.5
990
20
109PS
17.5
20.0
2.70
75.0
348
290
11.0
76
1.00
1.5
990
21
113P
17.0
13.5
1.70
61.0
228
130
6.90
76
0.50
1.5
22
LPVP-00702
2014
1.20
34.96
76
30
3.80
21
0.30
23
Voyager
1971
0.23
24
LACV-30
1982
1983
1992
8.74
8.74
h, m
H GO , m
N, kW
2 × 40
0.69
1.22
2 × 480
2 × 40
0.69
1.22
2 × 540
2 × 40
0.80
1.52
2 × 480
1.68
660
0.84
1.88
3 × 490
1.00
2.30
3 × 600
1.00
19.8
10.4
60.4
205
40,8
2.50
21
23.2
11.2
68.8
259
81
3.10
101
550
990 550
1.22
1912 2500
The second method of ice failure – “resonant” - is not connected with an air cushion and can be carried out by any vehicle moving on the ice at a certain speed. The latter was repeatedly observed during the “Road of Life” operation in 1941-43 on Ladoga Lake, when cars with a certain speed spontaneously fell through the ice. However, hovercrafts (HC), having buoyancy and other nautical properties, are the most suitable for ice cover failure [7]. For the first time, ice failure was noticed during domestic HC “Raduga” and “Sormovich” tests, although this was not considered important at the time. Later, HC ice destruction was not only noticed, but special full-scale tests of the HC “Voyager” were carried out [8, 12, 13]. In Russia, ice destruction tests of small hovercrafts were carried out at the Gorky reservoir [7], and ice tests of large HCs were carried out by M. Kozin on the Amur River [10]. The tests showed that at the required pressure in motion, when the load (HC) moved at propagation speed of bending-gravity waves, a bending-gravity syntony occurred, the amplitudes of the waves increased, which eventually led to ice failure. Figure 5 shows
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a fragment HC of “Typhoon-02” tests on solid ice. The results obtained by V. M. Kozin are coherent with the studies presented in the sources [13–15].
Fig. 5. A fragment of HC “Typhoon-02” tests on solid ice
3 Results The results of IHC tests, as well as the experience of their practical operation, confirm the high efficiency of the use of IHC on inland waterways and in freezing seaports and harbors in order to extend the navigation time. The authors’ research confirmed the initial assumption that both considered ice destruction methods by hovercrafts have high efficiency. The pressure method is more applicable when creating an ice channel in extensive ice fields with an ice thickness of 1.0 m or more and in hummocky ice fields. The use of the second – resonant method is more effective when servicing ships in freezing ports and harbors, when withdrawing ships and hydraulic structures out of ice, placing ships on winter lay-up, destroying reservoir ice cover during pre-flood period.
Fig. 6. Dependence of the BGW phase and group velocity on the wave number: 1 – BGW phase velocity; 2 - gravity waves; 3 - bending waves; 4 - BGW group velocity
The authors’ research results show that the resonance phenomenon occurrence and ice loads with a significant increase in the vibration amplitudes, which eventually lead to
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ice cover destruction, can be explained by the following: when the vehicle (load) moves at a certain speed along the ice cover, bending waves are formed in ice and gravity waves are formed in water. This combination is called a bending gravity wave (BGW). It is described in detail in the source [10]. The form of dispersion curves of these waves is shown in Fig. 6. The characteristic velocities in Fig. 6 are [10, 13]: υe – the minimum BGW propagation speed (km/h); υr – the minimum phase BGW propagation speed (primary resonant speed when the double equality υl = υr = υcr is fulfilled); υl – load motion speed; υcr – critical BGW speed. At the critical BGW speed the frequencies of the bending wave, gravity wave and the BGW propagating simultaneously in water and ice are equal. Water (as an elastic base) in this case does not support the ice cover, which leads to its failure. The BGW group velocity can be calculated using the formula [12]: D 1/4 (3) υgr = 1.28 g ρw g 3
Eh Where D = 12(1−μ 2 ) is the cylindrical stiffness of the ice plate. For guaranteed ice failure, a load is required, the intensity of which can be determined by the semi-empirical formula [13]:
PAC =
kf1,5 h2,5 2r 1,5 2.7 + B (ρice g)0,5 r 3
(4)
Where kf = (210 ± 20), kPa is the specific ice failure energy; B is the vessel width. Understanding the nature of ice field resonance, clearly illustrated by the graphs in Fig. 6, allows more effective use of IHCP when planning various ice operations, and to improve the economy of the IHCP themselves.
4 Discussion IHCP advantages in comparison with classical icebreakers determine their high attractiveness for combating ice difficulties on inland waterways and freezing seas. Their use makes it possible to successfully cope not only with purely technical tasks, but also with specific technological and even social problems. In comparison with icebreakers, they have a significantly lower (by several orders) construction and operating costs. At the same time, IHCP have practically no restrictions for working in shallow areas of inland waterways, sea shelves, etc. They can be successfully used for releasing ships, hydroelectric dams, sluice races and other hydraulic structures from the ice, for ship lay-up and winter storage, for ensuring the offshore operation of oil and gas production platforms, etc. The economy of IHCP is much more attractive, since in most cases they are non-propelled and, therefore, do not require significant expenses for fuel and lubricant materials, large crew maintenance, depreciation of current expenses, etc. Briefly, this theory can be reduced to two following provisions: 1) when IHCP (or any other vehicle) moves on ice, the resonance phenomenon is caused by bending waves
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arising in the ice, and gravity waves in the water; 2) vibration amplitude of these waves increases significantly and when the frequencies of bending, gravity and bending-gravity waves are propagating simultaneously in water and ice, water, as an elastic base, ceases to support the ice cover, which leads to its failure. Together with the publications of V. M. Kozin and others, the authors’ research provides a theoretical basis for usage of the resonant method for ice field destruction. At the same time, despite the accumulated experience in HC operation with various technical and operational characteristics, the obtained data from experiments with full-size HC models indicate a lack of knowledge in the field of formation and propagation of ice cover stress fields including the moving load action. Existing theories do not close this gap. It is obvious that further research is required, both on full-size and scale models in special pilot ice pools, as well as computer simulation models with visualization elements. In the latter case, it is necessary to develop an adequate mathematical description of the processes and phenomena occurring in the ice cover, the elastic base supporting it (water), under the static and dynamic influence of various intensity loads.
5 Conclusion The results of the authors’ theoretical and experimental studies presented in the article allow us to draw the following conclusions. 1. The results of tests and experience in the HC operation confirm the high efficiency of their use on inland waterways and in freezing seaports and harbors in order to prolong navigation. 2. Both considered methods of ice cover failure by an air cushion (pressure and resonance) have high efficiency. 3. The expediency of using these methods for performing different ice operations varies significantly: the use of the first – pressure method is more appropriate for creating ice channels in extensive hummocky ice fields with an ice thickness of 1.0 m or more, as well as for releasing ships from ice captivity. The use of the second – resonant method is more effective when servicing ships in freezing ports and harbors, when shoring ships and hydraulic structures, placing ships on winter lay-up, destroying reservoir ice cover during pre-flood period. 4. The resonant method of ice failure based on the phenomenon of bending-gravity resonance is more acceptable for inland waterways. The main advantages of this method in comparison with other icebreakers include: • effective ice cover destruction at a high speed (25…45 km/h) on large areas; • effective control of ice jams and destructive floods; • the possibility of operation in shallow water and winding waterways, as well as on snow-covered ice; • the ability to destroy not only surface ice, but also layered piles;
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References 1. Erceg, S., Ehlers, S.: Semi-empirical level ice resistance prediction methods. Ship Technol. Res. 64(1), 1–14 (2017). https://doi.org/10.1080/09377255.2016.1277839 2. Fu, S., Zhang, D., Montewka, J., Yan, X., et al.: Towards a probabilistic model for predicting ship besetting in ice in Arctic waters. Reliab. Eng. Syst. Saf. 155, 124–136 (2016). https:// doi.org/10.1016/j.ress.2016.06.010 3. Huang, E., Li, M., Igrec, B., et al.: Simulation of a ship advancing in floating ice floes. In: Proceedings of POAC-2019 2019:13 p. (2019) 4. Lobanov, V.A.: Ice propulsion ability of vessels wit nontraditional form. Russ. J. Water Transp. 65, 143–156 (2020). https://doi.org/10.37890/jwt.vi65.136 5. Lobanov, V.A.: Visualization of CAE-solutions of partial problems of ice navigation. Icebreaker sitting and propulsion ability. Sci. Visual. 12(1), 48–60 (2020). https://doi.org/10. 26583/SV.12.1.04 6. Lobanov, V.A., Pershina, V.S.: Visualization of CAE-solutions of partial problems of ice navigation vessels passing. Sci. Visual. 10(1), 89–98 (2018). https://doi.org/10.26583/sv.10. 1.07 7. Zuev, V.A., Semenova, N.M.: Model tests of icebreaking aircushion platforms on quiet water. Tr. St. Petersburg University of Water Communications. St. Petersburg 1(3), 125–131 (2012) 8. Zuev, V.A., Gramuzov, E.M.: Actual problems of ship ice engineering/fundamental research of ocean engineering and marine infrastructure. Theory. Experiment. Practice. Int. Sci. Tech. Conf. Komsomolsk-on-Amur 2015, 12–15 (2015) 9. Li, F., Montewka, J., Goerlandt, F., Kujala, P.: A probabilistic model of ship performance in ice based on full-scale data. In: Proceedings of ICTIS-2017 (2017). https://doi.org/10.1109/ ICTIS.2017.80478528 10. Kozin, V.M.: Experimental and Theoretical Dependency Studies of the Propagation Parameters of Flexural-Gravity Waves on a Floating Plate, p. p222. SB RAS, Novosibirsk (2016) 11. Zuev, V.A.: New technologies of ice destruction and hovercraft navigation prolongation. Pr. Central Research Institute named after academician A. N. Krylov"Marine ice technology issues (318), pp. 78–96 (2007) 12. Mard, A.: Experimental study of the icebreaking process of an icebreaking trimaran. In: Proceedings of the International Conference on Port and Ocean Engineering under Arctic Conditions, POAC Ser. “Proceedings of the 23rd International Conference on Port and Ocean Engineering under Arctic Conditions, POAC 2015” (2015) 13. Kozin, V.M.: The Ice-Breaking Capacity of Flexural-Gravity Waves Produced by Motion of Objects, 191 p. Dalnauka, Vladivostok (2005) 14. Hu, J., Zhou, L.: Further study on level ice resistance and channel resistance for an icebreaking vessel. Int. J. Naval Arch. Ocean Eng. 8(2), 169–176 (2016). https://doi.org/10.1016/j.ijnaoe. 2016.01.004/ 15. Montewka, J., Goerlandt, F., Kujala, P., Lensu, M.: Towards probabilistic models for the prediction of a ship performance in dynamic ice. Cold Reg. Sci. Technol. 112, 14–28 (2014). https://doi.org/10.1016/j.coldregions.2014.12.009
Ensuring the Reliability of Machine Parts in Calculations for Unrestricted Durability Anatoly Kotesov(B)
and Anastasia Kotesova
Don State Technical University, Gagarin sq., 1, 344000 Rostov-on-Don, Russia
Abstract. The article is devoted to estimation of machine parts reliability according to the cyclic strength preservation condition. Existing assumptions and conventions in the existing models of cyclic strength of structural steels, used in determining the indicators of reliability and durability of machine parts, can lead to unplanned failures of the machine parts. This in turn may be the cause of machine parts’ premature failures. Therefore, there is a need to develop and improve the methods for determining the indicators of reliability and durability, taking into account the results of modern research in the field of cyclic strength of materials. A reliability assessment model which uses a random value of stress amplitudes of the loading block has been developed, enabling the number of crack growth cycles to be determined according to the Paris-Hertzberg model. A model for assessing the reliability of machine parts under the condition of preserving cyclic strength, which uses a combination of fatigue damage accumulation and crack growth kinetics models, has been developed. Keywords: Very-high-cycle area · Fatigue curve · Crack · Machine parts · Number of operating cycles
1 Introduction The existing models of fatigue durability assume to use the fatigue resistance characteristics obtained as a result of tests, while the base number of cycles N0 of these tests are decisive for determining the endurance limits σR of structural steels and other materials. There are areas of limited and unlimited durability. In the first case, with limited durability Ni < N0 , an inclined section of the fatigue curve with the slope angle indicator m is used. In the field of unlimited durability Ni > N0 , the fatigue curve does not have an inclined section and is a horizontal straight line. Therefore, it is assumed that when calculating for unlimited durability, the number of cycles does not affect the value of the endurance limit, i.e., the assumption is used that at stresses si , arising in the details of machines that are less than the endurance limit si < Se the number of loading cycles is unlimited Ni ≈ ∞. But the number of cycles of loading parts, depending on the frequency and the specified resource, can be a large amount Ni >> N0 . For instance, at the base number of cycles N0 = 2 · 106 the number of loading cycles can reach Ni = 2 · 108 and more, which is several orders of magnitude more. The problem can be solved by increasing the test base N0 , but this will lead to significant time and material resources, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1195–1203, 2022. https://doi.org/10.1007/978-3-030-96380-4_131
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and the test results for a large number of cycles Ni > 2 · 107 they have a significant scattering, so determining the endurance limit is quite problematic. Based on the studies presented in [1, 2], it is concluded that when Ni >> N0 the appearance and development of cracks called “fish-eye”, which are formed at the site of a microscopic structural defect or inclusion of a certain size, is observed. It is also determined that a decrease in the endurance limit Se or a decrease in the inclination angle of the fatigue curve m will not completely eliminate this phenomenon. Because the sample tests under various loads and modes have shown that the formation of cracks and destruction occurs both at loads corresponding to the endurance limit Se , and at loads significantly less than 0.25… 0.5 Se . In this case, the number of Ni cycles have different values, and they have no visible connection with the operating voltages. This suggests that using well – known fatigue testing methods, it is problematic to determine the limits of endurance on the bases N0 = 108 –109 and more. Obviously, this will require a large number of tests and significant time and material resources, but it may not give the desired result. Also, the author notes that the formation of such cracks mainly depends on the number of loading cycles, the material’s quality and purity. This refers to the number of microstructural defects and microscopic inclusions in the volume of the material. During production, various inclusions and defects get into the material and form. The dimensions of such defects may be less than 10 microns. Therefore, it is a problem to exclude the presence of such defects and inclusions even in laboratory conditions, not to mention production on an industrial scale. Thus, the existing assumptions and conventions in the existing models of the cyclic strength of structural steels used to determine the reliability and durability of machine parts can lead to unplanned failures of machine parts. Therefore, there is a need to develop and improve the methods for determining reliability and durability indicators, taking into account the results of modern research in the field of cyclic strength of materials.
2 Materials and Methods Many scientists have dealt with the issues of ensuring the machine parts’ reliability, in particular, the issues of ensuring the specified fatigue life of machine parts are reflected in the works of Serensen S. V., Kogaev V. P., Reshetov D. N., Birger I. A., Kasyanov V. E. and other scientists. The simplest model of cyclic durability is the hypothesis of linear summation of fatigue damage, proposed by Palgrem in 1924, and developed in relation to the calculations of machine parts for fatigue. In accordance with this theory, in practice, the ability of a material to resist alternating stresses is characterized by the value of an alternating destructive stress Se for a certain number of cycles N0 = 2 · 106 …5 · 107 (Fig. 1) and it is proposed to use the dependence (1): m S N0 = (1) Se Ni It is assumed that the fatigue curve for the number of loading cycles Ni > N0 has an inclined section with an inclination index m2 . In particular, for Ni > N0 , it is assumed that the indicator m2 is greater than m and is approximately defined as m2 ≈ 10 × m.
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Fig. 1. The dependence “stress - the number of cycles to failure”: I – low-cycle, II – multi – cycle, III – the area of unlimited durability (super-cycle) of the fatigue curve; m, m2 – indicators of the angle of inclination of the fatigue curve in the multi-cycle and super-cycle areas; N1 – the limit of endurance of low-cycle fatigue, N0 – the base number of cycles; Rm , Re , Se – temporary tear resistance, yield strength and endurance of the material.
It is known that there are other approaches for evaluating the cyclic durability of materials, the so-called crack kinetics models. In [1, 2], a model of crack development and growth was determined based on the Paris-Hertzberg law (Fig. 2) and the expressions were obtained for determining the number of crack development cycles with a radius of a-Nf : Nf = Ntotal + Nint Ntotal = Na0 →ai + Nai →a The number of cycles before crack initiation from the size of a microscopic defect with radius aint to the initial crack size with radius a0 : α a0 ( 2 −1) 1 π E2 Nint = −1 2(s)2 α2 − 1 aint The number of crack growth cycles from the initial radius a0 to the radius ai :
a0 π E2 1− Na0 →ai = 2 2(s) ai The number of crack growth cycles from the initial radius ai to the radius a:
π E2 3 a0 3 a0 x −x Nai →a = 2(s)2 ai a The total number of circular crack development cycles with a radius a: α a a0 ( 2 −1) 1 π E2 0 3 3 a0 + α Nf = −x − 1 , (2) 1+ x −1 2(s)2 ai a aint 2 2 −1
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Fig. 2. Stages of formation and a model of cyclic growth of a circular crack with a radius – a: aint – radius of crack initiation region, a0 – initial crack radius, ai – the i-th stage radius crack growth, a – final crack radius.
where: E is an elastic modulus of the material, MPa; s is an amplitude of the acting stress, MPa; α is an indicator of the angle of inclination of the cyclic crack growth curve; x denotes the intensity of crack growth during the loading cycle. To ensure the reliability of machine parts under cyclic loading, it is proposed to determine the probability of trouble - free operation by considering the following random variables as determining: the number of loading cycles – N and the number of crack growth cycles to a critical size-Nf , using the Paris-Hertzberg model presented earlier (Fig. 3 and 4).
s F(s – N)
F(s - Nf)
Se ln(N0)
ln(Nmax)
ln(N), ln(Nf)
Fig. 3. Intersection of models’ curves of structural steels’ cyclic strength: F (s-N) is the dependence of the number of failure points N on the stress value s (V. P. Kogaev model), s – level of acting stresses, Se – endurance limit, N0 – base number of cycles, F (s-Nf ) is the dependence of the number of crack growth cycles Nf on the stress value s (Paris-Hertzberg model), Nmax – the number of crack growth cycles at the stress level Se (intersection point).
Therefore, it is proposed to consider the determining random variables N and Nf as competing. As a reliability criterion, a condition under which the number of loading cycles of a machine part (element) during a given service life does not exceed the number of crack growth cycles according to the Paris-Hertzberg model (N < Nf ) is proposed. In this case, the total area of the two distributions (the shaded area) will determine the probability of failure - Q (Fig. 5). To describe the distribution of random variables, various mathematical models can be used - the laws of distribution. But in this paper, as an example, we will assume that the distribution of a random variable for the working
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cycles number of a part during its service life – N, it is well described by the Fisher – Tippet law with three parameters, and for describing the distribution of a random variable of the number of crack growth cycles with a radius of a – Nf the three-parameter Weibull distribution can be used. To ensure the parts’ reliability, we define the condition P < [P], where [P] is a given probability of failure-free operation.
f(N) f(Nf)
f(Nf)
f(N)
Q
N, Nf
P = 1-Q
Fig. 4. Reliability assessment according to the crack formation criterion: 1 – the distribution density of the Fisher-Tippet law with three parameters for a random value of the number of cycles of loading the part during the service life – N; 2 – the distribution density of the Weibull law for a random value of the cycles number for crack growth up to the radius a, mm – Nf ; Q – probability of failure; P – probability of trouble-free operation.
The distribution density functions of the Fisher-Tippet (1) and Weibull (2) laws with three parameters have a similar parametrization and can be defined by the expressions [3]: b c − x b−1 −( c−x )b e a , a a b x − c b−1 −( x−c )b f (x|a, b, c ) = e a , a a f (x|a, b, c ) =
(3)
(4)
where: x is a random variable, a, b, c are the parameters of scale, shape and shift. In this example, Fig. 5, the shaded area shows the area of the random variables N and Nf distributions overlap which is characterized by a certain probability of failure. The probability that N > Nf , that is, the probability of failure Q will determine the expression:
∞ Q= y=
e 0
Nf − cf af
−y
bf
af b1f cf − cN bN exp − y + dy, aN aN
bf , dy = af
Nf − cf af
bf −1
1
dNf , Nf = y bf af + cf ,
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where: aN , bN , cN are the scale, shape and shift parameters of the Fisher-Tippet law for a random value of the loading cycles number of a part over the service life N; af , bf , cf are the scale, shape, and shift parameters of the Weibull law for a random value of the number of crack growth cycles. It is not necessary to define the conditions for ensuring a certain level of reliability through the shaded area, it is enough to set the reliability condition Nγ < Nfγ , where Nγ and Nfγ are the gamma-percentage values of the random variables under consideration, γ determines probability, %. For an example of evaluating reliability by the crack formation criterion, an element of the metal structure of a machine, which is affected by cyclic loads should be considered. For an example of fault tolerance evaluation according to the criterion of cracking, the element of machine steel structure, which is subjected to cyclic loads, should be considered. We will assume that the structural defect or inclusion is located in the depth of the steel sheet of the element of metal construction of the machine at a depth equal to half the thickness of the sheet and that around the defect under the influence of cyclic loads there is the formation of a crack. Then it is possible to calculate the number of cycles of crack growth until the crack reaches the surface of the steel plate using the previously presented dependencies based on the Paris-Hertzberg model of crack kinetics (Fig. 6). The recommended model parameters obtained experimentally for low-alloy structural steels can be taken as initial data (Table 1).
Fig. 5. The layout of a microstructural defect with the stages of formation of a circular crack in the cross section of a steel sheet: aint – radius of crack initiation region, a0 – initial crack radius, ai – the i-th stage radius crack growth, a – final crack radius, 2·a – thickness of the steel sheet. Table 1. Parameters of the Paris-Hertzberg crack kinetics model for low-alloy structural steels [2]. aint , m
a0 , m
ai , m
a, m
α
E, MPa
x
9 · 10–6
1 · 10–5
5 · 10–5
5 · 10–3
100
210000
4
where E is the modulus of elasticity of the material, MPa; s is the amplitude of the current stress, MPa; α is an indicator of the inclination angle of the cyclic crack growth curve; x is the intensity of crack growth during the loading cycle; aint is the radius of the crack origin area, m; a0 is the radius of the initial crack size, m; ai is the radius of the i-th development stage, m; a is the final crack radius, m; 2.a denotes the steel sheet thickness, m.
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As an example of the reliability assessment model application according to the crack formation criterion, the modeling of random values of strength and loading was performed and the subsequent determination of the number of loading cycles of the part for a given service life - N and the number of crack growth cycles up to the radius a Nf using the MatLab software package. At the same time, various grades of structural steels were considered, namely steel 3, 09G2S, 10XSND with strength characteristics, which are considered as random variables (Table 2). The number of working cycles of the part over the service life can be determined by the value of a given resource - Tr and the frequency of the loading unit - f , conditionally assuming that the loading cycle is equal to the working cycle of the machine: Ni = 3600 · Tr · fi
(5)
where Tr is the specified part resource, hour.; f i denotes the ith value of the part loading unit frequency, Hz. Then the calculated values of the number of loading blocks for the service life Ni are approximated by the Fisher-Tippet law with three parameters. The quantile distribution function of a random variable N will determine the expression: γ bN , (6) ln QN (γ ) = cN − aN 100% where aN , bN , cN are the parameters of the scale, shape, and shift of the Fisher-Tippet law. Calculation of the number of crack growth cycles in the part material Nf i is produced by the expression: α a a0 ( 2 −1) π E2 1 0 3 3 a0 −x −1 , 1+ x −1 Nf i = + α ai a aint 2 2 −1 2(si )2 (7) where E is the modulus of the material elasticity, Mpa; si is the amplitude of the current stress, Mpa; α is an inclination angle indicator of the cyclic crack growth curve; x is the intensity of crack growth during the loading cycle; aint is the radius of the crack origin area, m; a0 is the radius of the initial crack size, m; ai is the radius of the ith development stage, m; a is the final crack radius, m. Then the parameters of the Weibull law with three parameters are determined. The quantile distribution function of a random variable Nf will determine the expression: γ bf , (8) QNf γ (γ ) = cf + af ln 100% where af , bf , cf are the parameters of the scale, shape and shift of the Weibull law. As a result, the gamma percent values of Nγ and Nf γ were determined for different probability values γ, % (Table 1). For a clear example of reliability estimation, graphs of quantile distribution functions of random variables N and Nf γ are constructed (Fig. 7).
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Table 2. Gamma-percent values of the number of operating cycles Nγ and the number of crack growth cycles Nf γ .
γ, % 90 95 99 99.9 99.92 99.93 99.94 99.95 100
Δs γ , MPa 380.40 384.07 389.96 394.65 396.99 398.17 398.76 399.06 399.36
Nγ 1.27∙108 1.36∙108 1.54∙108 1.75∙108 1.91∙108 2.05∙108 2.16∙108 2.24∙108 2.59∙108
Nf γ Steel 3 ps 1.71∙108 1.65∙108 1.58∙108 1.55∙108 1.53∙108 1.53∙108 1.53∙108 1.53∙108 1.53∙108
09G2S 1.90∙108 1.83∙108 1.75∙108 1.69∙108 1.68∙108 1.67∙108 1.67∙108 1.67∙108 1.67∙108
10XSND 2.02∙108 1.96∙108 1.88∙108 1.83∙108 1.82∙108 1.82∙108 1.82∙108 1.82∙108 1.82∙108
Fig. 6. Diagram of the reliability assessment according to the crack formation criterion (Nγ < Nf γ ): 1 – cumulative distribution function of the Fisher-Tippett law with three parameters for a random value of the number of working cycles for the assigned service life FN (N|aN , law with three parameters for a bN , cN ); 2, 3, 4 – cumulative distribution functions of the Weibull random value of the number of crack growth cycles FNf Nf af , bf , cf when using the following steel grades, respectively, st.3ps, 09G2S and 10XSND.
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In the considered example (Fig. 7, Table 2), at γ = 99%, it is possible to use structural steels of steel 3 ps, 09G2S, 10XSND as a material for manufacturing, and at γ = 99.9%, only the use of 10XSND steel provides reliability.
3 Conclusion Thus, a model of fatigue failure assessment of machine parts according to the crack growth criterion is developed, which uses a combination of fatigue damage accumulation and crack growth kinetics models. This model allows to estimate the reliability of a machine part (element) under cyclic loading using random values, obtained by means of two different models of cyclic strength, which are mutually complementary. It allows to compensate the disadvantages of the cyclic strength model, which assumes an unlimited lifetime N = ∞ at stresses below the endurance limit σ < σR , i.e., when N > N0 . This, in turn, enables us to introduce the restrictions in determining the uptime of machine parts under the condition of preserving the cyclic strength, which in this case will be determined by the condition Nγ < Nf γ .
References 1. Bathias, C., Paris, P.C.: Gigacycle Fatigue in Mechanical Practice. Library of Congress Cataloging-in-Publication Data. Marcel Dekker, New York (2005) 2. Bathias, C.: Fatigue Limit in Metals. Wiley, Hoboken (2013). ISBN: 978-1-118-64872-8 3. Kapoor, K., Lamberson, L.: Reliability and System Design. Wiley, Louisville (1991)
Organizational and Functional Support of the Efficiency of Logistics Systems of Enterprises of the Agro-Industrial Complex Karine Barmuta1(B)
, Safura Muradova2
, and Zhanna Kolycheva3
1 Don State Technical University, Gagarin Sq. 1, 344003 Rostov-on-Don, Russia 2 Southern University, Mikhail Nagibin Ave. 33A/47, 344068 Rostov-on-Don, Russia 3 Rostov State Transport University, Rostovskogo Strelkovogo Polka Narodnogo Opolsheniya
Sq. 2, 344038 Rostov-on-Don, Russia
Abstract. The article is dedicated to the issues connected with the decrease of the transport component in the total costs of production and sale of products of enterprises of the agro-industrial complex. The analysis of problems, trends and prospects for the development of the management of the logistics system (LS) is carried out, opportunities for improving the methodology of using information technologies to improve the effectiveness of the logistics system are identified. The methodological principles of using information system technologies (IT) in drug transport management delivery have been substantiated, the organizational and technological capabilities of global information networks have been analyzed, several recommendations have been developed for adjusting necessary organizational and structural changes of drug facilities in order to increase the effectiveness of using advanced information technology tools in management. Keywords: Logistics · Logistics systems · Information flows · Management efficiency · Agro-industrial complex
1 Introduction In contemporary economic conditions, the transport sector plays an important role from the perspective of economic infrastructure development. Transport sector could be considered as an essential segment of the productive forces representing an autonomously operating industry that guarantees the functioning of principal economic structures and processes. Subsequently the production of transport has a material character and is expressed in the movement of the material product of other industries [1–4]. According to the analysis, a significant share of the road transport component in the value of products of certain sectors of the economy should be noted: in industry, the share of road transport costs is at least 15%, in construction - up to 30%, in agriculture and trade - up to 40% or more. The high level of road transport costs is explained not only by the significant volume of transportation performed, but also by the insufficient level of state regulation of the industry [5–8]. For a number of historical reasons and © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1204–1212, 2022. https://doi.org/10.1007/978-3-030-96380-4_132
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in connection with significant specificity, complex transport systems are called logistics systems (LS). Despite some differences in the concept of drugs, the unifying character is the streaming nature of the processes occurring in systems of this type [9–12]. The attempts to increase the effectiveness of logistics processes by using IT could be seen as one of the principal directions of development of modern enterprises operating in complicated supply networks. The search of advanced solutions to support these processes is largely promoted by other important factors including customer expectations’ change. The enterprises are looking for the ways to reduce logistic costs by using innovative solutions based on increasing flexibility and integration of operations. The answers received due to the conduction of this research help to define whether the quantity of control data in the management information system is the critical indicator which influences the effectiveness and productivity of the control system operation. It should be mentioned that the reduction of control data quantity can cause the decrease in effectiveness. Consequently, the principal aim of control framework development should include the decisions concerning definition of data streams and processing methods, which could contribute to minimization of data loss at every step of its conversion [13–16]. It is crucial to consider thoroughly the steps of information gathering and exchange, during which the advanced technical tools are used least of all. As a result, the data could be changed and converted with the specified probabilistic features as well as the corresponding level of security and credibility. The goal of the research is to consider a data perspective for developing the system of technical and information support for the management of medical supplies.
2 Materials and Methods The information system in logistics could be considered as a multi-level structure that helps users to transform particular input information into required output data by applying corresponding models, methods and procedures. It should be noted that high requirements are placed on contemporary information systems due to the importance of the data gathered and transmitted. The need to perform tasks efficiently and make decisions promptly for the proper operation of LS shows the necessity and demand for effective information support of logistic processes. The information flow of LS should ensure accurate and fast transmition of data within the whole supply chain. The setup of data streams is defined by the utilized communication lines of the data networks, occurrence of intervening and exchanging information flows of LAN objects and so on. Concurrently, considering the composition of the information communication system it should be noticed that any data network in a LAN includes three fundamental alternatives: cluster, radial and consecutive structures. The radial composition of data streams is usually utilized for sending the same information to different customers. The cluster composition emerges the information obtained by one customer is forwarded to a few following customers. For instance, the information about the shipment delivery is sent to customs, forwarder of the country of consignment and the recipient of freight. The consecutive composition could be applied for the exchange of information within the chain which is consistent with the type of supply chain used for product delivery [6].
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It is important to use the corresponding radial, cluster or consecutive configuration in accordance with the requirements. In case when a LAN is a supply network, the configuration of data streams will include a mix of delivery data streams within the considered network. It seems that the structure of data streams should comply with the following requirements for medical supplies: – real-time data gathering concerning the position, content and state of defined transport means, freights and deliveries, packages, pallets and so on; – integrate the data gathered with arranged objectives and timetables, promptly and reasonably updating information and transmitting it to the parties of the medical supply network; – productive coordination of data utilization in the use of information in transport processes with the aim of decreasing logistics expenditures and enlarge the variety of logistics services. In order to enhance the administration of information framework, it is relevant to consider the amount of data needed to control the efficiency of management system. If in the perfect controlling conditions the maximum efficiency Emax could be achieved and a certain value N could be introduced to specify the differing qualities of the system for a considered control strategy, at that point it is possible to calculate the effectiveness of actual control of a particular item using the formula: E = Emax (l − N/N0) at N/No < l,
(1)
Evidently, the controlling process assumes the necessity of diminishing the number of potential conditions and decreasing the chance of any confusion. The entropy function is determined as follows: H = klog2N,
(2)
where k is some constant number. In order to increment the effectiveness of control, it is important to reduce the entropy. Hence, the quantity of control data can be considered as follows: Iy = H0 − H = klog2 (N0/N) and N = N0(−1/k).
(3)
The entropy H0 complies with some commencing clutter N0 within the framework. If we transform the acquired expression into the equation for definition og the control productivity, the following formula is derived: E = Emax [1 − exp(−I/k)].
(4)
Consequently, it is apparent that the because of the exponential relationship between productivity and the data quantity Iy needed to perform controlling functions, the occurrence of original part of control data is exceptionally important. Besides, it is required to persistently increment the amount of control data, while specific amount of uncertainty must be held within the network [9].
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Clearly, the increase of the volume of processed data streams would cause the rise of the the control system expenditures. In case the index number b is introduced in order to identify the relationship between the control system cost and the quantity of processed data, then the following expression could be applied to define the the cost of the control system: C = bIy.
(5)
In that case the effectiveness of the management system is defined as follows: E = Emax{1 − exp[−C/(bk)]}.
(6)
Hence, the information processing framework should be free from any avoidable complicacy so that the control system recovery period could be reduced. Control models and calculations should be simple and convenient for transmitting then to various levels of the system.
3 Results The mixture of different techniques are applied for standardizing the measures of the quality of transport services, including Delphi method, interval, estimated and others. This could be explained by the fact that it seems complicated to define the expenditures and benefits of the players of the logistics operations by using only computation methods.
Fig. 1. The pattern of designing logistics structure of medical supplies with external and internal data combination.
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Let us discuss the example of fixing the time deviation from the arranged time of shipment with the use of “just in time” method. In the present case, it is required to distribute time spans lapsing from the planned time of delivery, which would considerably influence the quality of client service. If we disregard the earlier freightage of the package contrasted to the arranged time, which can be effectively recompensated by the stand-by period of the rolling stock (RS), then the potential delay spans of delivery are represented in Fig. 1. In order to guarantee the cargo conveyance at time T0, the carrier should keep up the precised control system for functioning of its RS. Evidently, the carrier can extent the time span of potential conveyance with the aim to decrease the control level to some degree and reduce extra expenditures for preserving the operation of “just in time” technique.
4 Discussion of the Results Management efficiency is closely related to the organizational structure of the managed object. Optimal control actions cannot be used in practice without appropriate organizational support. The important organizational factors contributing to the success of designed LS include the following: – the efficiency of internal and external communications, mutual trust of the participants of the logistic processes; – the ability to react promptly to the emerging problems; – the ability to manage possible risk situations, delays and other problems; – use of IT solutions supporting management of logistics processes; – integration of different logistics processes and tasks; – elasticity of supplies. The relationship between the stages of improving drug supply management and the development of its organizational structure is presented in Table 1. Table 1. Development stages of the organizational structure of the LS Development stage
Structure characteristic
Fragmentation
Building a structure depending on the individual functions performed
Functional aggregation
Redistribution of functions between departments without changing the organizational structure Horizontal integration of departments by function within the existing management hierarchy Vertical integration with the selection of separate functionally related hierarchical branches
Integration of processes
Integration of functional processes Integration of information processes
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The information flow encounters plenty of problems in the supply network related to, inter alia, use of different data and data formats, various IT systems applied by partners for purposes of supply chain management. The basic solution to the problem of improving the effectiveness of LS management is information integration of management processes based on principles, which are grounded on the automation of business processes, it is possible to build a classification of information systems on AT. Further, in accordance with the suggested classification, workstations for personnel of the drug subject should be built, providing for external and internal information integration. The considered organizational structure of the LS subject is shown in Fig. 2. The represented organizational structure includes the corresponding elements of internal and external communications related to the medical supplies. The fundamental external data space consists in managing and controlling resources, plans, schedules, etc. The internal information space of the corporate database management system includes analytical documents, orders, instructions, plans, statistics and so on.
Fig. 2. Scheme for constructing the structure of a drug subject with external and internal information integration.
5 Conclusions At LS facilities, efficiency gains are achieved by expanding the ability to optimally manage their operations. For example, in the management of freight road transport, the main increase in profit from the introduction of control information systems lies in the ability to perform large volumes of traffic using the same resources or to perform the
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same volumes of traffic with fewer resources. A reduction in the required resources, as a rule, is expressed in a decrease in the required number of RS. The possible decrease in the number of vehicles on the routes can be calculated using the following formula: n x AE = AEi , (7) i=1 1+x where x=
β pr vm tpr β β β γ ( ), + − + β γ leg + βvm tpr β tpr
(8)
where β - mileage utilization factor, γ - load capacity utilization factor; tpr - time of loading and unloading; vt - technical speed. An integrated indicator of LS performance is the total maximum profit in the delivery chain from the provision of services to cargo owners while ensuring the appropriate quality of transport services. In this case, the objective control function of LS can be expressed as follows: P = D − Ci, (9) where D - income from cargo delivery; Ci - costs of the i-th subject LS. In order to increase the quality of the provided transport services, LS entities have to bear higher costs, which must be compensated for by a corresponding increase in income. From the previously considered components of the quality of transport services, we will analyze one of the crucial in contemporary conditions for freight owners, the index of the time of cargo delivery. The owner receives the main effect of reducing the delivery time of the cargo due to the acceleration of the turnover of the invested funds. The economic effect of accelerating the delivery of cargo in the work is proposed to be estimated by the following formula: C =
Qdays(1 − μ) Tsg t Scb 365
(10)
where Qdays - is the daily traffic volume; μ - is the rate of loss of cargo, Tsg - is the cost of one ton of cargo; t - change in delivery time; Scb - is the refinancing rate of the Central Bank of the Russian Federation. For the example of an enterprise for the production of compound feed, we use the base value of the cost of 1 ton of compound feed, which is 25000 rubles. After calculating the economic effect from accelerating the delivery of goods in operation, the following value is obtained: C =
100 ∗ (1 − 0, 01) ∗ 25000 ∗ 0, 5 ∗ 6, 5 = 22037 rubles 365
(11)
Thus, as a result of the implementation of this methodology in the strategic development of the organization and optimization of the delivery time of the goods, the cost of
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products will decrease by 11.85%, which gives the organization additional benefits in the production process. In a complicated supply chain or network, where the information flow may function not as expected, many risks can occur resulting in decreasing the quality of logistics services and overall efficiency of company operation. The most common problems related to the functioning of LS include delays of deliveries, external or internal information exchange problems, stock excess amount or lack and others. Due to the results of the research conducted the way to improve the organizational and functional support system based on information integration is developed. The considered method can help companies to reduce transport expenditures and increase the effectiveness of logistics processes.
References 1. Marchenko, R., Babyr, A.: Digitalization of arctic logistics management systems for oil transportation. Procedia Transp. Res. 54, 953–960 (2021). https://doi.org/10.1016/j.trpro.2021. 02.150 2. Johnson, A., Carnovale, S., Ju, M.S., Zhao, Y.: Drivers of fulfillment performance in mission critical logistics systems: an empirical analysis. International J. Product. Econ. 237, 108138 (2021) https://doi.org/10.1016/j.ijpe.2021.108138 3. Rocha, T.B., Santos, C., Penteado, G.: Life cycle assessment of a small WEEE reverse logistics system: case study in the Campinas Area Brazil. J. Clean. Product. 314,128092 (2021). https:// doi.org/10.1016/j.jclepro.2021.128092 4. Li, G., Yang, S., Zhigang, X., Wang, J., Ren, Z., Li, G.: Resource allocation methodology based on object-oriented discrete event simulation: a production logistics system case study. CIRP J. Manuf. Sci. Technol. 31, 394–405 (2020). https://doi.org/10.1016/j.cirpj.2020.07.001 5. Helo, P., Ja, R.: Logistics information systems. Int. Encycl. Transp. 76–84 (2021). https://doi. org/10.1016/B978-0-08-102671-7.10223-4 6. Aliev, K., Traini, E., Asranov, M., Awouda, A., Chiabert, P.: Prediction and estimation model of energy demand of the AMR with cobot for the designed path in automated logistics systems. Procedia CIRP 99, 16–121 (2021). https://doi.org/10.1016/j.procir.2021.03.036 7. Dang, V.L., Yeo, G.T.: Weighing the key factors to improve vietnam’s logistics system. Asian J. Ship. Logist. 34(3), 308–316 (2018). https://doi.org/10.1016/j.ajsl.2018.12.004 8. Nechaev, A., Schupletsov, A.: Methods for improving efficiency of the innovative logistics. System 54, 628–636 (2021). https://doi.org/10.1016/j.trpro.2021.02.115 9. Jiang, J., Wang, H., Xiangwei, M., Guan, S.: Logistics industry monitoring system based on wireless sensor network platform. Comput. Commun. 155, 58–65 (2020). https://doi.org/10. 1016/j.comcom.2020.03.016 10. Sgarbossa, F., Grosse, E.H., Neumann, W.P., Battini, D., Glock, C.: Human factors in production and logistics systems of the future. Annu. Rev. Control. 49, 295–305 (2020). https:// doi.org/10.1016/j.arcontrol.2020.04.007 11. Lyapin, S., Rizaeva, Y., Sysoev, A., Kadasev, D., Khabibullina, E.: Stages to create and develop module of regional intelligent transportation and logistics system. Transp. Res. Procedia 45, 939–946 (2020). https://doi.org/10.1016/j.trpro.2020.02.073 12. Fan, Y., Liang, C., Hub, X., Li, Y.: Planning connections between underground logistics system and container ports. Comp. Ind. Eng. 139, 106199 (2020). doi.org/https://doi.org/10. 1016/j.tekhne.2017.11.002
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13. Alukhanyan, A., Barmuta, K., Panfilova, O., Borisova, D.: Risk management of innovative Russian companies in the context of interregional integration. IOP Conf. Ser.: Earth Environ. Sci. 403(1), 012044 (2019) 14. Barmuta, K., Grishchenko, O.: HR recruitment optimization strategy for large food factories with the use of lean manufacturing methods. E3S Web Conf. 175, 08003 (2020) 15. Medvedeva, L.S.: The development of agricultural export through the generation of high quality analytics. IOP Conf. Ser.: Earth Environ. Sci. 548(2), 022037 (2020) 16. Verchenko, Y., Glyzina, M., Takmazyan, A., Samoylova, K.: Evaluation of the effectiveness of innovative activities of companies in the agro-industrial complex in the context of the investment process. E3S Web Conf. 273, 08008 (2020)
Road Maintenance and Climate Zoning of the Territory of the Republic of Uzbekistan Aslidin Urakov1(B)
, Dilmurod Tashev2 , Zamirbek Xametov2 and Rakhimjon Soataliev1
,
1 Tashkent State Transport University, Adilkhojaeva street, 1, Tashkent 100067, Uzbekistan 2 Fergana Polytechnic Institute, Ferghanskaya street, 86, Ferghana 150107, Uzbekistan
Abstract. This article is devoted to the improvement of the methodology of roadclimatic zoning based on the territorial conditions of the Republic of Uzbekistan, the clarification of the boundaries of road-climatic zones, the development of design standards. The article studies climatic factors in the territory of Uzbekistan, collects statistical data and, as a result of processing, determines the naturalclimatic indicators. Determined by calculating the road bed moisture, the minimum height of the road lift based on the type of road bed soils was specified. As a result of the research, the borders of the road-climatic zones of the republic were determined and reflected on the map. The level of data systematization in regional zoning will consist of numbering each defined road landscape and describing its basic geophysical conditions as well as engineering assessments. Territorial zoning is carried out within the administrative territories of the Republic for the purposes of general engineering and nature protection. An important place in the road zoning system is given to linear zoning, which is done to determine the most optimal option instead of the location of the highway axis. Keywords: Natural-climate · Road-climate · Zoning · Methodology · Relief · Highways · Design · Design standards
1 Introduction Tribocorrosion is the irreversible destruction of the surface layers of metals from the action of chemical and mechanical processes during frictional contact. This type of destruction is common in friction units operating in various aggressive environments. It is difficult to predict the consequences of the simultaneous action of friction and corrosion due to the synergy of the processes. In this case, friction changes the sensitivity of the material to corrosion, and the corrosive factor influences the friction conditions. Electrochemical research methods are widely used to study the processes of tribocorrosion: changes in the electrode potential of metals, polarization currents during friction, and the like. However, the interpretation of these parameters is not always correct, since the data obtained depend on the relative position of the electrode and the friction track. Therefore, it is rational to study the electrochemical state of the surface during frictional interaction using the method of microprobing the friction zone. Friction units operating © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1213–1224, 2022. https://doi.org/10.1007/978-3-030-96380-4_133
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in active media are the subjects of destruction. In such systems, wear can occur from the flow of liquids, collisions of particles or contact of solids. Therefore, the study of tribocorrosion processes and the influence of various factors on them is an urgent scientific and technical problem. Road-climatic zoning of territories has formed the basis for developing building codes, directives and guidelines that are in effect not only in Russia [1, 2] but also in China [3, 4], Vietnam [5], the USA [6], Germany [7], the UK, Sweden [8], and other countries, including post-soviet states [9–12]. Temperature is one of the main factors affecting road design, construction and maintenance. Frozen ground is important for the design, construction and use of engineering networks, roads and other urban structures. Frozen ground in the process of its formation and vanishing changes the structure of soil, influences the circulation of surface and ground waters and the like. Thus, research and analysis of the variation of the depth of frozen ground are important from the theoretical as well as practical point of view. The temperature and the depth of frozen ground depend on climatic factors, type and mechanical composition of soils, humidity, vegetation and snow cover. There are two interrelated areas in the field of research of electrochemical processes at the friction of metals: the use of electrochemical parameters to obtain information about contact processes and an attempt to control friction and wear of materials using electrochemical methods according to QMQ 2.05.02-95. The second direction - active intervention in the electrochemical processes on the friction contact - has received much less development than the first, although it seems quite promising. One of the control methods is the polarization of the friction system from an external source. The method consists in the fact that the systems with the help of an external source of polarization is shifted to a certain area for the processes of friction and wear, and is maintained at a given level during the operation of the friction pair. Polarization of the friction system pursues various goals: to reduce surface energy, to improve the wettability and adsorption of environmental components, and others. Some cases of this method are anodic and cathodic protections, which change the corrosion-mechanical processes and the formation and destruction of secondary structures. The purpose of the work is to study the frictional interaction of tribotechnical pairs: alloy AA2024 - corundum indenter, interacting in an acidic environment under conditions of cathodic and anodic polarization.
2 Methods The study of physical and geographical conditions and engineering assessment in road construction is one of the most complex and underdeveloped areas of road science. In practice, it is often limited to the description and classification of natural conditions and human economic activities according to works Vinogradskiy A.K: areas under normative conditions in terms of the difficulty of road construction; areas of high difficulty; districts in particularly complex conditions. Such a classification and assessment of natural conditions cannot meet the demand of engineers for the design, construction and operation of highways. A science-based system is needed for the study and assessment of physical-geographical, natural-climatic conditions, which should allow according to works Vinogradskiy A.K:
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– improving the planning of capital expenditures for the construction and operation of roads; – improving the quality of design estimates, efficiency and reliability of project solutions, reducing the duration of design and survey work and labor costs; – improvement of technology and organization of construction and operation of roads; – ensuring convenience and safety, as well as economy of traffic conditions on highways; – nature protection, ensuring rational use of natural resources. The basis for systematization of the process and results of road zoning is as follows according to works EfimenkoV.N., Efimenko S.V., Badina M.V. and Vinogradskiy A.K: – – – –
conditions and functional purpose of fogging; attitude to practical tasks; fogging methods; degree of systematization of materials.
The results of the research Vinogradskiy A.K identified the following main directions for the development of road zoning: – – – –
road-climate and road-related zoning; road zoning for the route of highways; road zoning of areas on certain components of nature; road-related zoning related to forecasting and assessing the consequences of road construction.
Today there are the following principles in road zoning according to works Efimenko V.N., Efimenko S.V., Badina M.V. and Vinogradskiy A.K: the principle of complexity; the principle of interaction; principle of purpose. The principle of purpose in engineering road-related zoning is also important in the selection of the taxonomic unit of regional differentiation. The main zoning unit for the general assessment of the natural and manmade conditions of road construction is the road landscape, and in the selection of the direction and location of the road, and in the design of the footpath and pavement is the road microlandscape according to works Vinogradskiy A.K. Implementing zoning requires a number of important decisions when determining the boundaries of road districts and landscapes. That is why road fogging is a more scientific and creative process. The experience of road zoning shows that it is expedient to carry out road zoning within the administrative boundaries of the region and the district. This is due to the fact that road construction depends on the conditions of the region and territory where the road is located, and the available data on provinces and districts are used systematically. Development of regional recommendations for the design, construction and operation of roads on the basis of road zoning will improve the quality of road construction and improve the efficiency of the road network. Many researchers are working on how to evaluate the interaction of natural territorial complexes and engineering solutions in the design, construction and operation of roads. Natural territorial complexes have the following specific characteristics: regionalization, changes in the latitude of solar
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energy on Earth, and fogging typical of plains, mountains; azonality is mainly related to geological and geomorphological differences of regions; periodicity depends on the repetition of natural processes in time and space at different intensities. The following taxonomic unit system has been proposed for road fogging experiments according to works Efimenko V.N., Efimenko S.V., Badina M.V. and Vinogradskiy A.K: – region – the area allocated by physical geographers in the process of physicalgeographical zoning; – road district – several neighboring territorial-natural complexes, combined with the similarity of road construction conditions and its complexity; – road landscape – territorial-natural complex allocated for a complex of natural conditions that determine the complexity of road construction; – road microlandscape – an area set aside for a road landscape characterized by a single lithological composition of rocks, relief shape, microclimate, moisture, soil and vegetation diversity.
3 Existing Methods of Road Fogging and Their Analysis Road zoning works are carried out for the purpose of engineering assessment of the natural and climatic conditions of the road area, which is one of the most complex and unexplored areas of road science. The essence of road zoning is to identify areas with different conditions for the design, construction and operation of roads, as well as to map the boundaries of these areas. The basis for the systematization of the fogging process and its results are according to works Efimenko V.N., Efimenko S.V., Badina M.V. and Vinogradskiy A.K: conditions and tasks of fogging, attitude to practical tasks, methods of fogging, the degree of systematization of data. Road zoning is divided into two interrelated areas: engineering and nature protection zoning. Road zoning works on engineering and nature protection are divided into territorial and linear types. The functional purpose of engineering zoning is to qualitatively and quantitatively assess the natural conditions for the design, construction and operation of roads, while in nature protection the level of road impact on nature is assessed in works Vinogradskiy A.K. In the process of engineering fogging the following is done: – study of natural and man-made factors that determine the conditions of road construction within the study area or in the area where the road axis passes; – qualitative and quantitative assessment of the study area based on the complex components; – defining the boundaries of areas with different indicators of the complexity of road construction conditions; – development of schematic maps reflecting the planned condition of areas with different road construction conditions.
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Territorial zoning is carried out within the administrative territories of the Republic for the purposes of general engineering and nature protection. An important place in the road zoning system is given to linear zoning, which is done to determine the most optimal option instead of the location of the highway axis. The method of zoning is the division of areas on the map, which differ in road conditions, into regions, districts, using the road landscape, maps, cartograms and road sections of the study area. The level of data systematization in regional zoning will consist of numbering each defined road landscape and describing its basic geophysical conditions as well as engineering assessments. In linear zoning, the defined road landscape is characterized by indicators of engineering assessment of the value of the area and the complexity of construction conditions. Regional engineering zoning primarily consists of data collection and processing. Depending on the purpose for which the fogging is performed, the data to be collected will vary considerably. In regional zoning, mainly available official data, maps, electronic maps (GAT), atlases are collected and analyzed and the data are processed. The following methods are used in road zoning to identify and study natural territorial complexes according to works Vinogradskiy A.K: – – – –
leading factor; related component analysis; change symptoms, modeling.
Road-related zoning models are a leading tool and outcome of the study. Modeling is divided into types of conceptual and empirical models. Conceptual models reflect the knowledge gathered at the beginning of the research and represent the research program, while empirical models are created based on observations. Models are used for both analysis and forecasting. The main types of models in road zoning are monoand multi-system models as shown in works Vinogradskiy A.K Borovik V.V., Kruglov, A.G. and Bezruk V.M. In assessing the natural conditions for the construction of highways, N.V. Isheeva used a graphical model of the assessment of the system “natural-territorial complex highway” and a quantitative model that reflects the coefficient of deviation of the cost of construction of 1 km of road in different natural conditions. The mathematical model is expressed in the following equation: Ki = (Co + Cvi + Cli)/Co
(1)
in this Ki - The coefficient of deviation of the cost of road construction in kilometers of the district; i -region serial number; So - the cost per kilometer of the road in normal natural conditions; Cvi - the value of the deviation of the cost of construction of 1 km of road due to the increase in the volume of earthworks; Cli is the value of deviation of the cost of construction of 1 km of road due to the increase in the total length of bridges. N.V. Isheeva used this mathematical model as a criterion when classifying road areas as simple, complex, complex, and very complex.
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Territorial differentiation in road engineering and environmental protection zoning should be based on mathematical models. An indicator describing the conditions of road construction in a particular area is given by a structural model of the road landscape: Pd.l = Ppd + Pzd + Pid + Pm.dd + Pod + Psd
(2)
where Ppd = Ppo + Ppi is an indicator describing the complexity of the preparatory work; same: Pzd = Pzo + Pzi - the construction of the footpath; Pid = Pio + Pii artificial structures; Pm.dd = Pm.do + Pm.di - frost protection and drainage layers of the road surface; Pod = Poo + Poi - road equipment; Psd = Pso + Psi - buildings and structures of road and road transport services. The development of modern computer technology allows to perform complex mathematical processes, in particular, the development of methods of zoning areas based on mathematical modeling. V.V. In his research, Borovik proposed a method of zoning based on the determination of the characteristics of the road surface by the method of multivariate correlation-regression analysis. V.M. Sidenko defined the taxonomic system of road zoning, which unites the same areas in terms of characteristics that have a significant impact on the design, construction and operation of highways as follows in works Sidenko, V.M., Ilyasov N.: territory, region, district, department. Even today, zoning is important for nature conservation, and its functions include: – identification and mapping of natural territorial complexes, study of their natural balance; – assessment of natural resources of the study area; – forecasting changes in the natural balance as a result of construction and operation of the highway. An analytical study of the research conducted on road-climate and road zoning shows that the research conducted to date has not been systematized with a local character. A systematic approach to road zoning is required in terms of road design, construction and operation conditions. The primary task is to systematize the indicators to ensure the comfort, safety and economy of traffic conditions in the operation of roads.
4 Results and Discussion According to many experts and researchers as Vinogradskiy A.K Borovik V.V., Kruglov, A.G. and Bezruk V.M. in the field of highways, the existing road-climate zoning does not fully meet the requirements of road design reliability, quality of construction and operation. SNiP 2.05.02-85 “Roads (design)” normative document in force in Uzbekistan was revised in 1995 and QMQ 2.05.02-96 “Roads” was published. divided into regions. To date, this road-climate fogging is used in the design, construction and operation of highways, and this mapping map is also included in the current SNQ 2.05.02.2007. The existing road-climatic zoning mentioned in SNQ 2.05.02-2007 today does not fully meet the requirements for ensuring the quality of design and construction of roads. In particular, it is necessary to clarify the III–IV road-climatic zones, ie mountainous
Road Maintenance and Climate Zoning of the Territory
1219
and irrigated areas. It is necessary to clarify the road-climatic zoning of irrigated areas on the periods of rising groundwater levels, periods of lowering of air temperature, the probability of occurrence of puchina (foaming) in the soil at the foot of the road. This increases the possibility of selecting and designing the most optimal option of the pavement and pavement structure. Modern students, who are committed to improving the reliability of road design solutions and the quality of construction work, need to improve the existing regulations and improve the road-climatic zoning, clarifying the boundaries of regions and districts on the map. The main criteria in the road-climatic zoning of the territory of the Republic of Uzbekistan are the types and characteristics of road soils, moisture and calculated road moisture as shown in works Sidenko, V.M., Ilyasov N., Sadikov, I.S., Ryabinina, M.M., Koval, O.V., Uroqov, A.X., Soataliyev, R. In order to clarify the road-climatic zoning of the territory of the Republic of Uzbekistan, the study revealed data on the territorial differentiation of pavement soils and the estimated average moisture content of pavement soil, the total amount and duration of precipitation, the number of rainy days according to works Uroqov, A.X., Soataliyev, R., Urokov, A.X., Mamatkulov M. The results of statistical processing of the identified data are presented in the following table (Table 1). Rainfall duration, total amount of precipitation, number of rainy days and the calculated average moisture content of the roadbed soil Based on the data in Table 1, which provides Wcal indicators, road-climate zoning has been improved, and the boundaries of regions and districts have been clarified. At the same time, the values of the indicators of natural and climatic conditions were arranged and plotted in the dynamics of decline by the method of “maximum to minimum” (Fig. 1). The fractures that occur in the constructed graph line represent the limit of change of conditions. This determines the boundaries of districts under the same conditions. The delineation of the regional differentiation boundary in this case has been tested and proposed in the fog study. The graph (Fig. 1) defines the boundaries of territorial differences, the duration of precipitation in the territory of the Republic, the total amount of precipitation, the number of rainy days and the calculated average moisture content of the roadbed soil The boundaries of districts under the same conditions were determined by Whis indicators. As a result of fogging, districts under the same conditions - taxa - were identified and road-related fogging was carried out on the basis of regional differences. The roadclimatic fogging of the territory of the Republic on these indicators was carried out by mapping the boundaries of districts and regions identified in Fig. 1. Table 1. Indicators of natural and climatic conditions of the Republic of Uzbekistan. Republic, region, point
Rainfall duration, hours
Total amount of precipitation, mm
Karakalpak
144.8
185.2
68
0.60
63.6
134.5
50
0.60
111.6
110.9
65
0.59
Muynak Nukus
Number of rainy days
The calculated average moisture content of the roadbed soil Wcal
(continued)
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A. Urakov et al. Table 1. (continued)
Republic, region, point
Rainfall duration, hours
Total amount of precipitation, mm
Number of rainy days
The calculated average moisture content of the roadbed soil Wcal
Chimboy
25.7
142.7
48
0.61
Andijon
47.1
247.3
68
0.68
Buxoro
132.6
137.2
58
0.54
Jongeldi
8.8
99.8
28
0.50
Korakul
19.2
129.6
53
0.52
36.0
383.7
77
0.73
211.7
377.3
94
0.69
G’allaorol Jizzax Dustlik
83.7
329.9
67
0.70
G’uzor
282.6
334.8
58
0.68
Qarshi
250.1
244.2
68
0.66
Tuytepa
105.3
176.6
67
0.55
Shahrisabz
195.8
514.5
100
0.82
10.2
161.5
60
0.51
Navoi
24.0
210.0
63
0.66
Nurota
78.6
242.3
61
0.66
Oqbaytal
40.4
118.6
47
0.48
202.5
242.8
88
0.68
70.8
181.8
70
0.62
197.3
362.7
72
0.70
Mashiquduq
Namangan Pop Payshanba Juma
159.1
387.0
68
0.70
Samarkand
327.9
356.1
94
0.72
Denov
35.5
353.2
71
0.71
Termiz
204.7
147.3
61
0.63
Sherobod
88.8
233.5
47
0.65
Sirdaryo
139.8
324.3
87
0.73
Yangier
127.4
376.9
75
0.72
Buka
132.2
477.4
95
0.78
Bekobod
62.8
350.6
75
0.76
Tashkent
173.7
486.7
112
0.80
Kokand
159.4
147.8
74
0.63
Fergana
131.1
183.2
108
0.64
Urgench
85.9
91.0
80
0.58
3.7
85.6
42
0.58
Khiva
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This table is based on the data obtained from the study. Roadside humidity was determined by calculation. Calculated moisture content of road subgrade, Wcal
0.9
0.8
0.7
0.6
0.5
0.4
Weather staons Fig. 1. The boundary of the districts on the calculated average humidity of the roadbed soil.
The fogging results are presented in Table 2 and are shown in the road-climate fogging map in Fig. 2. On the existing road-climate zoning map of EfimenkoV.N., Efimenko S.V., Badina M.V., the boundaries of regions III and IV were clarified. The boundaries of saline soils in Zone II, the boundaries of mountainous areas in Zone III, and the boundaries of irrigated areas in Zone IV were clarified in the existing road-climate zoning map using the component analysis method based on the data obtained from the study. The duration of precipitation, the total amount of precipitation, the number of rainy days in the territory of the republic, developed as a result of scientific research. and the calculated average moisture content of the roadbed soil Whispering zoning maps were generalized using the “stack” method. As a result of generalization, a detailed road-climatic zoning map of the Republic of Uzbekistan, shown in Fig. 2, was developed. The names of the regions of the republic, places and districts, forming the road-climatic zones on the map, are given in Table 3. Therefore, we suggest that another unit, “road district”, should be introduced to the taxonomic zoning system [1, 2, 9, 10].
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Fig. 2. Road-climatic zoning map of the Republic of Uzbekistan.
Table 2. Schedule of zoning of the territory of the republic on the basis of the calculated average moisture content of the road surface. Region
Region
Wcal amount
Names of regions
I
Yes
0.48–0.51
Mashiquduq, Jongeldi, Oqbaytal
Ib
0.52–0.58
Karakul, Bukhara, Mubarek, Urgench, Khiva
IIa
0.59–0.62
Pop, Chimboy, Moynak, Karakalpak, Nukus
IIb
0.63–0.65
Sherabad, Fergana, Kokand, Termez
III
IIIa
0.66–0.68
Guzar, Andijan, Namangan, Nurata, Karshi, Navoi
IIIb
0.69–0.70
Koshrabat, Seshanba, Dustlik, Jizzakh
IV
IVa
0.71–0.72
Yangier, Samarkand, Denau
IVb
0.73–0.82
Shahrisabz, Tashkent, Almalyk, Bekabad, Syrdarya, Gallaorol
II
5 Conclusions The essence of road-climatic fogging in the design of roads is to ensure the strength and predominance of the top layer of the pavement and road surface from the calculated surface water level, surface water or surface water for a long time (more than 30 days), as well as Based on the data in Table 4 below, the values of the minimum rise in surface water
Road Maintenance and Climate Zoning of the Territory
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level [4] are given as a result of clarification of road-climatic fogging and the calculated average wetting values of road base soils shown in works EfimenkoV.N., Efimenko S.V., Badina M.V., it is recommended to make changes. In clarifying the boundaries of Zone III, changes were made to the minimum elevation of the pavement surface due to the location of adjacent areas to foothill irrigated areas other than mountainous areas and sufficient wetting of the footpath in these areas during the spring reporting period, rainfall duration and total precipitation (Table 4). Table 3. Geographical regions in the road-climatic zones of the Republic of Uzbekistan. Road-climate region Approximate location of geographical areas in the road-climatic zone and their brief descriptions I
It covers Karakalpakstan, Ustyurt plains, Moynak, Aral Sea, Akbaytal, Northern Kyzylkum, Mashikuduk, Southern Kyzylkum, Jongeldi, Gazli, Mubarek. Barkhan sands of various shapes with varying degrees of arid climate and mobility are common in desert and semi-desert steppe geographical regions
II
Kungrad, Chimbay, Nukus, Takhtakor, Beltol, Turtkul, Urgench, Khiva, Khorezm, Karakul, Bukhara, Kagan regions, and then includes the geographical region where strong and highly saline soils are distributed
III
It covers the mountainous areas of Angren, Pop, Koshrabat, Zaamin, Forish, Chatkal, Karadarya, Eastern and Western Alay, Turkestan, Nurata, Sangzor, Khatirchi, Surkhandarya. Insufficiently humid geographical plains include foothills and mountainous areas
IV
Other regions: Chirchik, Tashkent, Almalyk, Bekabad, Kokand, Fergana, Andijan, Namangan, Syrdarya, Yangier, Dustlik, Jizzakh, Gallaaral, Samarkand, Payshanba, Kitab, Shakhrisabz, Guzar, Karshi, Lower Kashkadarya, Navoi, Sherabad, Termez, Denau includes geographical regions with dry climates, soils that are somewhat moistened as a result of irrigation and washing
The leading factor method used in zoning was used when compiling the existing roadclimatic zoning map of the territory of the Republic of Uzbekistan. A methodological change was made in the study and the method of related analysis of components was used. In the methodology of “superimposing” data, as a result of the analysis of not one, but several factors, the territory of the Republic of Uzbekistan was zoned road-climate. Based on the data provided in this map and Table 3, it is recommended to design cars in the pre-mountainous irrigated areas in the III road-climatic zone based on the design standards given in Table 4, based on the type of soil. These design standards ensure an increase in the quality and service life of highways.
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A. Urakov et al. Table 4. Elevation of pavement surface within road-climatic zones.
Working layer soil
Minimum elevation of pavement surface within road-climatic zones, m I
II
III
IV
Fine sand, light coarse supes, light supes
0.5/0.3
0.6/0.4
0.7/0.5
0.9/0.7
Dusty sand, dusty supes,
0.8/0.5
1.0/0.6
1.1/0.7
1.2/0.9
Light suglinok, heavy suglinok, mud
1.1/0.8
1.3/1.0
1.4/1.1
1.5/1.2
Heavy dusty supes, light dusty suglinok, heavy dusty suglinok
1.2/0.8
1.4/1.0
1.5/1.1
1.6/1.2
Note: 1. In the photo - the rise of the surface of the cover from the groundwater level, surface water or surface water for a long time (more than 30 days); in the aquifer - parts that do not provide a similar flow or rise above the surface water level for a short time (less than 30 days). 2. If the road passes through mountainous areas where the ground is rocky, it is allowed to reduce the minimum elevation of the pavement surface for the modified zone III by 25%.
References 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
11. 12. 13. 14. 15. 16.
Zapata, C.E., Houston, W.N.: NCHRP report. 602 (2008) Chao, L., Yu-lan, W., Jin-liang, X.: Appl. Mech. Mater. 20, 353–356 (2013) Code of Practice for Highway Routes of the People’s Republic of China (2006) Standard of Climatic Zoning for Highway: JTJ 003-86 (1986) Highway − Specifications for design: TCVN 4054 (2005) Filing system of physiographic units helps to resolve local design criteria Highway Research News, vol. 51 (1973) Richlinien fur die Standartisierung des Oberbaues von Verkehrsfiuchen RStO 01 (2001) Groney, D.: The Design and Performance of Road Pavements. Transport and road research laboratory (1977) Xu, L., Nai-xing, L.: J. Chongqing Jiaotong Univ. 03 (2006) Kurpayanidi, K., Abdullaev, A.: Covid-19 pandemic in central Asia: policy and environmental implications and responses for SMES support in Uzbekistan. E3S Web Conf. 258, 05027 (2021). https://doi.org/10.1051/e3sconf/202125805027 Tighe, S.L., Mills, B., Haas, C.T., Baiz, S.: Using Road Weather Information Systems (RWIS) to Control Load Restrictions on Gravel and Surface-Treated Highways, vol. 127 (2007) Tveito, O.E., et al.: Nordic Climate Maps. DNMI – Report No. 06/01 Klima, vol. 29. Norwegian Meteorological Institute (2001) Tveito, O.E., et al.: Nordic Temperature Maps. DNMI – Report No. 09/00 Klima, vol. 55. Norwegian Meteorological Institute (2000) Vaitek¯unas, S., Valanˇcien˙e, E.: Lietuvos geografija [Geography of Lithuania] Vilnius (2004) Velske, S., Mentllein, H., Eymmaun, P.: Srassenbautechnik, vol. 286. Werner Verlag, Düseldorf (1998) Rimkus, E., Kažys, J., Juneviˇci¯ut˙e, J., Stoneviˇcius, E.: Lietuvos klimato pokyˇci˛u XXI a. prognoz˙e [Prognosis of Lithuanian Climate Changes in XXI Century]. Geografija 43(2), 37–47 (2007)
Nonlinear Deformations of the “Building-Base” System Sergey Emelyanov , Ksenia Dubrakova(B)
, and Lolita Galkina
South-West State University, St. 50 years of October, 94, 305040 Kursk, Russia
Abstract. It is noted that the joint operation of the “building-base” system is one of the most important parameters that determine the reliability and durability of construction projects. The time of stabilization of the foundation settlement was determined, taking into ac-count the fact that soil deformations occur due to a decrease in the pore volume from the transferred mechanical stress, i.e. the vertical displacement of the system under consideration depends on the gaseous component. The deformations of the base under study were determined taking into account the effect of gaseous and liquid components on the settlement and the time of its stabilization. The results of observations of the deformations of the base of the building located in the Kursk region are presented. A comparative analysis of the theoretical values of the settlement obtained by the developed method and the actual ones is given. The largest average difference in results is observed 8 years after the start of observations and is 38%; by the time the precipitation stabilizes, this difference decreases to 9%. Keywords: Basement · Sediment · Foundation · Compressible strata · Layer-by-layer summation method
1 Introduction Settlement of the foundation is one of the most important parameters that determine the reliability and durability of buildings and structures [1–12]. In this regard, a detailed study of the features of the deformation of the “building-base” system is necessary. At the same time, most of the currently existing methods for calculating the settlement and roll of the foundation do not allow determining the specified parameter at each stage of the structure’s life cycle. Consequently, it is necessary to develop a calculation method that allows determining the deformations of the “building-base” system depending on time. One of the ways to describe the mechanical properties of soil is to replace the existing medium with a rheological model, which will reflect the relationship between the mechanical stress acting on the body and the deformations it causes. In this case, a detailed analysis of the changes in these deformations over time is possible.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1225–1230, 2022. https://doi.org/10.1007/978-3-030-96380-4_134
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2 Methods Assuming that the soil is a combination of elastic and viscous components, we can represent it in the form of the Kelvin-Voigt model. This model, which is a parallel connected elements of viscosity and elasticity, makes it possible to quite simply describe the deformations of the “building-base” system. Under the action of stress, the elastic element is deformed, but the viscous does not allow this process to occur quickly, and vice versa, if the load is removed, the viscous element does not allow the elastic to quickly return to its original position. The behavior of the Kelvin-Voigt model is described by the well-known differential equation, for which the total mechanical stress is: σ = σE + ση
(1)
Where σE - stress of the elastic element; ση - stress of a viscous element. As can be seen from formula (1), the total mechanical stress is equal to the total stress of the elastic and viscous elements. Expanding each term in accordance with the physical models of Hooke and Newton, we obtain a formula that has the following form: σ = σE + ση = Eε + η˙ε
(2)
where ε - linear deformation; ε˙ - shear rate; η - fluid viscosity; E - elastic modulus. With a constantly applied voltage σ = const we get: ε=
σ − Et · 1−e η E
where t - time (Fig. 1).
Fig. 1. Scheme of the Kelvin-Voigt rheological model
(3)
Nonlinear Deformations of the “Building-Base” System
1227
As you know, soil is an open thermodynamic system that includes solid, liquid and gaseous components [13–15]. The solid component of the soil is formed by rock-forming minerals, some of which are inert. In this case, the properties of the soil directly depend on the composition and volume of water in the soil. In turn, water can have the following states: crystallization, bound and free. The content of water and gases in the soil is determined by the volume of pores, and their amount is influenced by changes in pressure and temperature. Assuming that soil deformations occur due to a decrease in pore volume from mechanical stress transmitted to the base, we come to the conclusion that soil deformation depends on the gaseous component.
3 Results Let us consider a soil massif composed of semi-solid loams of low water saturation with a porosity coefficient of 0.7, and an elastic modulus of 10.4 MPa. We take the viscosity of water and air η = 1 · 103 MPa and η = 1, 8 · 10−5 , respectively. Let us determine the dependence of the deformation of the reduced base on time at a pressure of 0.4 MPa. The results of this calculation are presented graphically in Fig. 2.
Fig. 2. Dependence of base deformation on time due to a decrease in pore volume on mechanical stress
From the analysis of the calculation results (see Fig. 2) it follows that the deformation occurs instantly and is 3.85 cm, which does not correspond to reality. Let us determine the deformations of the base under study, assuming that the sediment of the soil depends on both gaseous and liquid components. The results of this calculation are shown in Fig. 3. From the analysis of the calculation results (see Fig. 3) it follows that the deformation occurs almost instantly. Let us determine the deformations of the investigated base, assuming that the sediment of the soil depends on both gaseous and liquid and solid components. Based on the
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Fig. 3. Influence of gaseous and liquid components on base deformation
research of L.T. Romanov and P.I. Kotov [13, 14], let us take the value of loam viscosity equal to η = 3, 3 · 106 MPa * s. The calculation results are presented graphically in Fig. 4.
Fig. 4. Influence of gaseous, liquid and solid components on base deformation
From the analysis of the calculation results (see Fig. 4) it follows that the deformation proceeds within 8 months and, reaching a value of 3.85 cm, stabilizes.
4 Experimental Research In order to check the developed calculation apparatus, observations were made of the deformations of the base of the building located on the street. Peace in the village of Karla Liebknekhta, Kurchatovsky district, Kursk region (Fig. 5).
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1229
Fig. 5. General view of the building indicating the location of the stamps
For this building, the deformations of the base were calculated using the developed method. The results of actual observations and theoretical calculations are presented graphically (Fig. 6).
Fig. 6. Development of precipitation since the beginning of observations on August 9, 1996. to June 2020 - brands 1, 2
Based on the results of the analysis of the base deformation graphs, it can be concluded that the theoretical and actual data are in satisfactory agreement. At the same time, the largest average difference in results is observed 8 years after the start of observations and is 38%, by the time the precipitation stabilizes, this difference decreases to 9%.
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5 Conclusion A technique is proposed that allows to determine with sufficient accuracy the time of stabilization of the foundation settlement, which in turn makes it possible to study in detail the peculiarities of the deformation of the “building-foundation” system.
References 1. Nguyen, M.D., et al.: Behavior of nonwoven-geotextile-reinforced sand and mobilization of reinforcement strain under triaxial compression. Geosynthetics 20(3), 207–225 (2013) 2. Phoon, K.K., Retief, J.V.: Reliability of Geotechnical Structures in ISO2394, p. 249. Matieland, South Africa (2016) 3. Akhlyustin, O.E.: Regularities of variability of physical and mechanical properties of subsiding soils of Anapa district of Krasnodar region: author. dis. Candidate of Geological and Mineral Sciences, Yekaterinburg (2013) 4. Baranovsky, A.G.: Changes in the physical and mechanical properties of eluvial clay soils under the influence of technogenic factors. Collection: Analysis, forecast and management of natural risks in the modern world, pp. 92–97 (2015) 5. Boldyrev, G.G.: Methods for determining the mechanical properties of soils. State of the Issue Monograph, p. 696. PGUAS, Penza (2014) 6. Bocharova, M.A.: Proposals for improving the calculation of the settlement of foundations, taking into account the anisotropic properties of soils. In: Bulletin of Scientific Conferences, pp. 22–25. LLC “Consulting Company Ucom”. Tambov (2016) 7. Demintseva, E.A., Weinstein, V.M.: Analysis of changes in the physical and mechanical properties of soils during their stabilization with the “Penetron” modifier. Modernization and research in the transport complex. pp. 157–162 (2013) 8. Dubrakova, K.O., Kutsenko, O.I., Kartsev, I.N.: Changes in the physical and mechanical characteristics of the soil of the operated foundation. Bull. South-West State Univ. 3, 54–64 (2019) 9. Dubrakova, K.O., Dubrakov, S.V., Zavalishin, I.V.: Stability of frame-rod structural systems on collapsible soils. Bull. South-West State Univ. 5(23), 117–128 (2019) 10. Kalugin, P.I., Pyatigor, D.A.: Features of the work of the soils of foundations after the reconstruction of buildings. Scient. Bull. Voronezh State Univ. Arch. Civ. Eng. 1, 60–64 (2017) 11. Kolchunov, V.I., Potapov, V.V., Dmitrieva, K.O., Ilyin, V.A.: Calculated analysis of long-term deformation of the building-basement system of the nuclear waste storage facility. Constr. Reconstr. 4(72), 27–33 (2017) 12. Krasnov, A.A., Chetverikov, A.L., Sheina, S.G., Shumeev, V.G.: Assessment of the impact of a multi-storey building being erected on the technical condition of nearby buildings. Problems of construction, engineering and ecology of the city. In: Collection of Materials of the III All-Russian Scientific Conference Penza, pp. 3–5. Privolzhsky House of Knowledge (2001) 13. Roman, L.T., Kotov, P.I.: Determination of the viscosity of frozen soils with a ball stamp. Cryosp. Earth 4(17), 30–35 (2013) 14. Roman, L.T., Kotov, P.I.: Viscosity of frozen and thawing soils. Found. Soil Mech. 1, 16–20 (2016) 15. Shiryaeva, M.P., Krivonos, E.A.: Classification of soil base models. Electronic Network Polythematic Journal “Scientific Works of KUBSTU”, pp.18–25. Kuban State Technological University, Krasnodar
Export Strategies of Russian Transport Engineering Enterprises Evgeniy Stepanov1(B)
, Dmitri Pletnev2
, and Ksenia Nesitih1
1 South Ural State University (National Research University), 76, Lenin St., Chelyabinsk, Russia
[email protected] 2 Chelyabinsk State University, 129, Br.Kashirinykh str., 454001 Chelyabinsk, Russia
Abstract. Several strategies of transport engineering enterprises in different countries are considered at the theoretical level. However, as an independent form of strategy, the export strategy of an enterprise is not considered at all, or not enough attention is paid to it. The purpose of the article is to identify the export strategies of Russian civil aviation enterprises, enterprises producing cars, trucks, and special equipment based on customs statistics, annual reports of enterprises, and ratings of Russian analytical agencies, including RA Expert. For this, we analyzed the enterprise’s export strategies due to their commodity-market, resource-market, technological, integration, and financial investment strategies. As a result of the study, the features of foreign economic activity and export strategies of Russian corporations of the transport engineering complex have been identified, including United Aircraft Corporation, Russian Helicopters, Avtovaz, GAZ Group, and KAMAZ. Their export strategies trajectories are shown in the “commodity item country” coordinate system. Keywords: Transport engineering · Export · Enterprise strategy · Aircraft construction · Automobile construction
1 Introduction Transport engineering is one of the non-resource export sectors. The economic growth and development of any national economy depend on its development. The export of products from the transport engineering industries largely depends on the foreign economic strategies of enterprises belonging to this industry. Therefore, a comprehensive analysis of the export strategies of enterprises belonging to this industry is relevant today. In the economic literature, several works and studies have been devoted to studying strategies for the development of transport engineering enterprises, which can be divided into two groups. The first group includes studies directly devoted to the development of transport engineering and its indicators. The second group of studies consists of works on the theory of strategies and the study of strategies in certain sectors of the economy. Vukicevic, Fallon and Ott [1] analyze the relevance of investment strategies for developing state-owned engineering enterprises in China. The authors believe that based on the strategy of inductive study of specific situations for entering a foreign market, it is necessary to focus on existing technologies and improve research and development capacity. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1231–1238, 2022. https://doi.org/10.1007/978-3-030-96380-4_135
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Nakano [2] focuses on analyzing enterprises’ business models from a cross-modal perspective in the transport sector. Thus, enterprises expand both horizontally and vertically. To increase competitiveness in the domestic and foreign markets, their business models are gradually changing from the “local development” stage to the “global” or “megaglobal” stage. Buganová, Mošková & Šimíˇcková [3] note that the development strategy of an enterprise should be based on a risk management system and anti-crisis management associated with managing business continuity at transport engineering enterprises. In the case of adverse events, the company will have stability in the market. Silva, Kaminski and Marin [4] study the importance of open innovation in transport engineering and the automotive industry in general. Despite joint projects with value chain partners, automakers are showing a closed-door to external collaboration, unlike players in industries such as aerospace or information and communications technology that have grown and revolutionized by building a broader innovation ecosystem with government support. Wiesenthal, Condeço-Melhorado, Guillaume [5] look at innovations in the European transport industry. The transport sector is the largest investor in industrial R&D in the EU. They identified essential differences in the level of innovation carried out by highly heterogeneous transport subsectors, the potential of which needs to be considered in preparing an enterprise development strategy. Singh, Jenamani, Thakkar & Rana [6] analyze car supply chains in India. The age of the company and the volume of inspections have a significant impact on car sales. Identifying the key factors influencing car sales and forecasting sales will increase the efficiency of production planning, supply chain management, marketing, and customer relations. Niewiadomski [7] focused on passenger air transport, one of the most overlooked industries in the economic literature. To analyze the export of aircraft products, he proposes a combination of two economic-geographic approaches - global production networks (GPN) and evolutionary economic geography (EEG). In his view, it is necessary to use a networked mindset that goes beyond the infrastructural understanding of air traffic networks, which would better explain the multidisciplinary nature of the aviation sector, the relationship between aviation and economic development. Dalton and Goksel [8] analyzed the two-way trade flow of Japanese cars to the United States and obtained the following results: the volume of exports from Japan directly depends on the enterprise’s reputation in the foreign market. Because learning and building a reputation takes time, predicted short-term trading patterns can differ from those predicted in the long term. Yeh, Burtraw, Sterner and Greene [9] note that market performance standards have driven foreign vehicle trade in the United States over the past decade. The US transportation strategy included the following requirements: regulations for greenhouse gas emissions from cars and trucks (national), zero-emission vehicle programs (10 states), renewable fuel standard (national), and low-carbon fuel standards (two states). Strategic management issues remain relevant in 2020–21, despite the growing uncertainty and risks in the global economy [10–15].
2 Materials and Methods The statistical base of the study is the database of customs statistics of Russia’s foreign trade from 2007 to 2019. We examined in more depth the foreign trade strategies of
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enterprises in the aircraft and automotive industries (commodity items “8802”, “8703”, “8704” and “8705”) at the six-digit level detailing. The research methodology is based on identifying the strategy of foreign economic activity of the enterprise through the assessment of their commodity-market, resourcemarket, technological, integration, and financial-investment strategies of enterprises. We have used the annual reports posted on the official websites of industrial enterprises of the aircraft building, heavy and light automobile industry, and data on the leading Russian exporting enterprises of the analytical center “Expert” for 2015–2018. As part of the study of the enterprise’s export strategy, we will identify the trajectories of the results of the strategies of their foreign economic activity in the “commodity item country” coordinate system. The X-axis will represent the enterprise’s export commodity items (G), and the Y-axis will represent the number of countries to which the enterprise’s products (C) are exported in a certain period. Point Y1 (G, C) in this coordinate system will mean the result of the enterprise’s export strategy in year Y1. We will consider a change in the position of a point in the system as a change resulting from an enterprise’s export strategy.
3 Results Major Russian exporters of aircraft construction are the United Aircraft Corporation and the Russian Helicopters Corporation. According to our methodology, let us consider their export strategies through the prism of their commodity-market, resource-market, technological, integration, and financial investment strategies. The commodity-market strategy of the United Aircraft Corporation is, firstly, to ensure the requirements of transport security; secondly, maximizing sales on the national market in the segments of jet, narrow-body, and wide-body aircraft; thirdly, in balancing the product line in terms of the elements of the product life cycle. From the point of view of the resource-market strategy, the goal is to create and develop centers of production competence and centers of specialization, transfer to outsourcing the production of lowvalue-added products. At the first stage of this strategy, “Fuselage panels”, “Hatches and doors”, “Motor-nacelles and pylons” were organized and transferred to the operational stage, outsourcing projects were implemented, such as the production of ball screws, the production of an on-board cable network, ground handling and control equipment., on-board tools, packaging production. The second stage of the resource-market strategy involves the creation and development of a specialization center, “Production of normalized fasteners (drawing)”, as well as the continuation of the development of specialization centers of the first stage, the implementation of outsourcing projects (organic glass products, heat, and sound insulation mats, normalized fasteners, etc.). The technological strategy consists in the formation of an effective mechanism for the redistribution of resources in terms of optimizing the use of production facilities, increasing the utilization of technological equipment and capital productivity of production assets, as well as in the development and implementation of solutions to improve production activities based on the use of digital technologies. The company’s integration strategy is horizontal integration, which consists of the merger of aircraft manufacturing enterprises (for example, Mig and Sukhoi) and the purchase of nine aircraft repair plants. The corporation’s assets are located in various regions of Russia; joint ventures with foreign partners
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operate in India and Italy. The financial and investment strategy boils down to optimizing the management of working capital and investments, the sale of non-core assets, and annual dividends should reach 30 billion rubles by 2035. The resulting export strategy of the United Aircraft Corporation in the coordinates “commodity item - country” for 2015–2018 is shown in Fig. 1.
number of subheadings, pcs.
45 2018 40
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30 25 20 15 5
10
15
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number of partner countries, pcs. Fig. 1. Export strategy of the United Aircraft Corporation in the coordinates “commodity item country” for 2015–2018
The commodity-market strategy of the Russian Helicopters Corporation is to expand its presence on the world market with a diversified product range and a full range of services. The resource-market strategy of the corporation is to form an effective production platform based on the restructuring and technical re-equipment of existing production facilities, their optimal concentration in technical redistribution, outsourcing, and specialization of enterprises by stages of the product life cycle, as well as in the formation of production complexes, including assembly, aggregate, and specialized production. The technological strategy boils down to consolidating and building up scientific, technical, and design potential to increase the innovative productivity of design activities of Russian design schools for helicopter construction, reduce the time and cost of development, and ensure Russian high competitiveness helicopter technology in the world market. The integration strategy is to “move up”, that is, to create an extensive global system of service centers for the maintenance and repair of Russian-made helicopters, providing a subscription form of service to tenants and world standards. The goal of the financial and investment strategy is to ensure a stable cash flow for shareholders. Large Russian exporters of passenger cars include Avtovaz and the GAZ Group corporation. Our methodology considers their export strategies through commoditymarket, resource-market, technological, integration, and financial investment strategies. The product and market strategy of Avtovaz is to maintain leadership in the Russian automotive market, to constantly update the model range and develop a sales system both within the country and in the segment of developing countries in the Middle East, Africa and Latin America. The resource-market strategy of the enterprise is expressed in
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improving the quality of production of a series of engines and spare parts for Lada cars. The company’s integration strategy is to create dealer centers for the maintenance and repair of cars in Russia and abroad. In 2016, the company became a subsidiary of the French Renault Group. The technological strategy of the enterprise is to produce highquality technological equipment, improve production processes, achieve the required quality indicators in new technological projects for their timely launch. The company’s financial strategy is to increase the consolidated revenue, as well as positive values of the operating margin and net result. The resulting export strategy of the Avtovaz in the coordinates “commodity item - country” for 2015–2018 is shown in Fig. 2
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Fig. 2. Export strategy of the Avtovaz in the coordinates “commodity item - country” for 2015– 2018
The commodity component of the product and market strategy of the GAZ Group corporation is to improve and diversify the product portfolio of gas, gasoline, diesel vehicles for various sectors of the national economy, including healthcare, education, agriculture for utilities and fire services, as well as buses of all classes and appointments. The market component is the expansion of the service and sales network in Russia and abroad. The resource-market strategy of the corporation is to maintain the leadership of the Russian market of spare parts for cars. The corporation produces over 1,700 items of high-strength and gray iron castings; more than 5000 names of assemblies, parts, and assemblies for a wide range of vehicles; more than 1,200 items of forging blanks (forgings), more than 10,000 stamped-welded components, and vehicle assemblies, more than 5,000 items of assemblies, parts, and assemblies for a wide range of vehicles. The corporation’s technological strategy involves introducing a lean manufacturing system, creating a unified engineering center that allows you to consolidate engineering resources, unify processes and methods for developing products and automotive components, reduce product development time, and attract system suppliers of spare parts. The integration strategy consists of the functioning and development of a horizontally integrated structure, consisting of five divisions, which include industrial enterprises and sales organizations: “Light commercial vehicles and passenger cars”, “Trucks”, “Buses”, “Power units”, “Autocomponents “. The investment strategy consists in investing
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in the robotization of the NEXT car production. The financial strategy aims to increase the shareholder value of the enterprise with a stable positive cash flow. The resulting export strategy of the GAZ Group in the coordinates “commodity item - country” for 2015–2018 is shown in Fig. 3
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46 2015 41 36
2016 2018
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37
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The components of the export strategy of the KAMAZ corporation are discussed below. The product-market strategy of the Kamaz corporation is to introduce new products in the mid-price segment while maintaining the classic model range for the budget segment of trucks, as well as to strengthen its leadership in the Russian market and increase sales in foreign markets. The resource-market strategy is to increase the corporation’s share in the spare parts market, expand the range of spare parts, increase sales of trailers and semi-trailers, components and blanks to third-party consumers. The integration policy consists in vertical downward integration, that is, in the creation and acquisition of a car assembly plant, an engine plant, a foundry, a forge plant, a press-frame plant, a repair and tool plant, a plant of spare parts and components. The corporation’s technological strategy consists in innovative developments in breakthrough areas of development of the global automotive industry, comprehensive technological modernization (the project “Development of the KAMAZ vehicle range and modernization of capacities for its production”). The investment strategy is to create new and modernize existing production facilities with a changed range of products. The financial strategy boils down to ensuring marginal profitability of at least 20%, a stable return on invested capital at an EBITDA level of more than 10% The resulting export strategy of the KAMAZ in the coordinates “commodity item country” for 2015–2018 is shown in Fig. 4
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Export Strategies of Russian Transport Engineering Enterprises 30 29 28 27 26 25 24 23 22 21 20
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Fig. 4. Export strategy of the KAMAZ in the coordinates “commodity item - country” for 2015– 2018
4 Conclusion The research allows us to draw several conclusions. In the United Aircraft Building Corporation, both the number of exported commodity sub-items and the number of traded countries increased in the period under study. This is due to the corporation’s takeover of the Sukhoi and Mig enterprises and, consequently, the expansion of the export product line. The result of the export strategy of the Avtovaz corporation is the expansion of the range of sold commodity items from 20 to 23 units while maintaining the number of tradable countries at the level of 12 countries. As a result of the export strategy of the KAMAZ corporation, there was an increase in exported commodity items from 29 to 32 with a simultaneous decrease in the number of traded countries from 29 to 25. The GAZ Group corporation, as a result of the implementation of its export strategy, did not achieve an increase in the export of commodity items and an increase in the number of traded countries. The commodity-market component of the export strategy of aircraft and helicopter companies is to expand their presence on the world market with a diversified product range and a full range of services. The commodity-market and resource-market components of the export strategy of enterprises for the production of trucks and cars is to sell not only the product, but its entire life cycle, which requires not only the development, testing and certification of export models but also the creation of a sales system, service, the formation of stocks of spare parts in foreign countries, and in countries with high customs duties - the creation of local industries. The sectoral dynamics of export development in the automotive industries do not always coincide with the export dynamics of enterprises belonging to these industries. This is because part of the export of automotive products occurs through the resale of foreign cars by individuals and during the re-export of foreign cars by dealer companies to neighboring countries. In general, the export strategies of the leading Russian transport engineering companies in the pre-pandemic period focus on the growth of this field of
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activity. A promising area of further research will be to analyze the changes in these companies during the pandemic (2020–21). The reported study was funded by RFBR and VASS, project number 20–510-92006.
References 1. Vukicevic, J., Fallon, G., Ott, U.: A theoretical and empirical investigation into investment activities of technologically-intensive Chinese state-owned enterprises in the UK. Int. Bus. Rev. 30(1), 101763 (2021). https://doi.org/10.1016/j.ibusrev.2020.101763 2. Nakano, H.: A study on the features of the evolution processes and business models of global enterprises in the transport sector. Transp. Res. Procedia 25, 3769–3788 (2017). https://doi. org/10.1016/j.trpro.2017.05.235 3. Buganová, K., Mošková, E., Šimíˇcková, J.: Increasing the resilience of transport enterprises through the implementation of risk management and continuity management, transportation. Res. Procedia 55, 1522–1529 (2021). https://doi.org/10.1016/j.trpro.2021.07.141 4. Silva, R., Kaminski, P., Marin, R.: Innovation ecosystems in the automotive industry between opportunities and limitations. Foresight STI Govern. 15(3), 66–80 (2021). https://doi.org/10. 17323/2500-2597.2021.3.66.80 5. Wiesenthal, T., Condeço-Melhorado, A., Leduc, G.: Innovation in the european transport sector: a review. Transp. Policy 42, 86–93 (2015). https://doi.org/10.1016/j.tranpol.2015. 05.003 6. Singh, A., Jenamani, M., Thakkar, J., Rana, N.: Propagation of online consumer perceived negativity: quantifying the effect of supply chain underperformance on passenger car sales. J. Bus. Res. 132, 102–114 (2021). https://doi.org/10.1016/j.jbusres.2021.04.027 7. Niewiadomski, P.: Global production networks in the passenger aviation industry. Geoforum 87, 1–14 (2017). https://doi.org/10.1016/j.geoforum.2017.09.013 8. Dalton, J., Goksel, T.: Reputation and learning: Japanese car exports to the United States. Jpn. World Econ. 25–26, 10–23 (2013). https://doi.org/10.1016/j.japwor.2013.01.004 9. Yeh, S., Burtraw, D., Sterner, T., Greene, D.: Tradable performance standards in the transportation sector. Energy Econ. 102, 105490 (2021). https://doi.org/10.1016/j.eneco.2021. 105490 10. Stepanov, E., Pletnev, D., Pham, V.D.: Assessment of sustainable foreign economic activity strategies of Russian corporations. E3S Web Conf. 258, 06017 (2021). https://doi.org/10. 1051/e3sconf/202125806017 11. Pletnev, D., Kazadayev, M., Barkhatov, V.. Human capital in Russian power generating corporations. E3S Web Conf. 157, 04028 (2020). https://doi.org/10.1051/e3sconf/202015 704028 12. Pletnev, D., Naumova, K., Mirvahedi, S.: High-growth firms in transport sector (Russian experience). E3S Web Conf. 157, 04029 (2020). https://doi.org/10.1051/e3sconf/202015 704029 13. Bilovodska, O., Kholostenko, A., Mandrychenko, Z., Volokitenko, O.: Innovation management of enterprises: Legal provision and analytical tools for evaluating business strategies. J. Optim. Ind. Eng. 14(1), 89–96 (2021). https://doi.org/10.22094/JOIE.2020.677820 14. Chemirbayeva, M., Malgarayeva, Z., Azamatova, A.: Economic strategy of diversification of enterprise activities under conditions of globalization. Entrep. Sustain. 8(2), 1083–1102 (2020). https://doi.org/10.9770/jesi.2020.8.2(65) 15. Spillan, J.E., Parnell, J.A., Panibratov, A., Yukhanaev, A.: Strategy and performance of Russian firms: an organisational capabilities perspective. Eur. J. Int. Manag. 15(1), 1–26 (2021). https://doi.org/10.1504/EJIM.2021.111913
Innovative Digital Tools for Integrated Water Resources Management in Arctic Mikhail Shilin1(B)
, Valery Abramov1 , Igor Sikarev1 and Olga Mandryka1
, Alexander Chusov2
,
1 Russian State Hydrometeorological University, 79, Voronezhskaya Str., St. Petersburg 192007, Russia [email protected] 2 Peter the Great St. Petersburg Polytechnic University (SPbPU), 29, Polytechnicheskaya Str., St. Petersburg 195251, Russia
Abstract. The paper considers the results of innovative digital tools development for integrated water resources management in Arctic and Subarctic, adapted to climate change and COVID-19 conditions. In the context of climate change and COVID-19, digitalization process within Industry 4.0 has to be changed to reduce the costs integrated water resources management and to take into account the geopolitical risks because of globalization slow-down. The purpose of the study is to create a methodological basis for building digital tools for geo-information support for integrated water resources management in Arctic and Subarctic, taking into account above factors. The research used methods of decision-making in conditions of uncertainty and digital tools of distributed online platforms with new concepts in data obtaining and presenting, which integrate heterogeneous hardware and software resources. It is proposed to use the open source geo-information support digital tools for the integrated water resources management in Arctic and Subarctic within Industry 4.0 period under climate change and COVID-19 to low the environmental monitoring cost impact on the overall business profit. There is considered examples of proposed digital platforms usage. The research results can be used in training and educational purposes and be useful for private investors, government and municipal organizations. Keywords: Digital tools · Water resources · Arctic · Climate change · Geo-information support
1 Introduction Currently, a lot of innovative information technologies is realized in the frame of geoinformation management (GIM) [1–5]. This leads to serious information technological changes in geo-information support for integrated water resources management (IWRM) in Arctic and Subarctic, which have to be realized within Industry 4.0 period, when while climate change and COVID-19 pandemic. Note, Industry 4.0 leads to serious technological changes in geo-information support systems (GISS) and managerial support systems (MSS) for IWRM in Arctic and Subarctic, including geo-ecological support systems © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1239–1246, 2022. https://doi.org/10.1007/978-3-030-96380-4_136
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(GESS) [6–13] and natural risk management (NRM) [14–17], that requires the development of new digital technologies and tools. Within IWRM, special attention has to be paid to environmental safety (ES) [18–23] and compensation measures (CM) [24–27]. The purpose of this article is GISS digitalization development for NRM, ES and CM within IWRM in Arctic and Subarctic. Paper describe the results of innovative digital tools development for NRM, ES and CM within IWRM in Arctic and Subarctic in the frame of GIM paradigm, including the issues of information collection and processing [28–30] under climate change and COVID-19 pandemic.
2 Methods and Data In research, authors used risk management approach, theory of decision making under uncertainties, Foresight technologies, methods of data bases constructing and webtechnologies. Also, it is used big data technologies [28–30]. From the point of view of GIM, geo-space structured to allocate the interconnected components of the solution space [4]. In research, it is used data bases and tools of geo-information digital online platforms (GIDOPs) Earth https://earth.nullschool.net/ru/ and EOS, including its Land Viewer (LV) product https://eos.com/landviewer/.
3 Results Recently, transformation of IWRM in Arctic and Subarctic have to be made because very fast climate change in Artic and COVID-19 pandemic shock. As a result of performed research with using foresight technology, we put forward the claim that in present conditions of climate change and COVID-19 pandemic, it would be advisable to develop IWRM in Arctic and Subarctic by increased reliance on ports infrastructure with the aim of geopolitical risks management for global economics. In these circumstances, it is necessary to combine the efforts and resources of commercial players, the civil sector and government authorities in solving the problems of IWRM in Arctic and Subarctic. As research result, we put forward a statement, that IWRM in Arctic and Subarctic transformation in modern stage is to be carried out in the sustainable development paradigm as related set of large natural-industrial projects (NIPs) within common space area and time period and common adequate geo-information and managerial support. In Fig. 1, we present a block model of proposed IWRM’s investment structure, that combines the investment objectives of such NIPs (blocks 1–5) with cost of adequate managerial support (blocks 6–8) of achieving IWRM’s goals and tasks (block 7). Our analysis shows that the largest part of the cost of managerial support is the environmental monitoring (block 8), the essence of which is determined by the content of block 7. Significant part of the cost in block 8 is hardware and software, the cost of which varies significantly. Now, in COVID-19 pandemic conditions, cost of IWRM in Arctic and Subarctic can arise greatly because of general economic situation. On basement of above mentioned model, we proposed to develop GISS and MSS for IWRM in Arctic and Subarctic with combined structure for access, storage and analysis of information
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Fig. 1. Block model for investment structure for IWRM in Arctic and Subarctic: 1 – block of distribution of resources; 2 – block of formation of resources; 3 - block of formation of private income; 4 - block of formation of total income; 5 – block of formation of the investment share of resources; 6 - block of comparison with the permissible level of risk; 7 - block of formation changing in time set of natural risks within IWRM in Arctic and Subarctic, including climate change; 8 – block of environmental monitoring corresponding to block 7.
from open geo-spatial data sources, including archives and operative mode web tools. As a result of the research performed using foresight technologies, we suggest to use geoinformation distributed online platforms (GIDOPs) as the main technological solutions for GISS and MSS for IWRM in Arctic and Subarctic. In our research, essential goal is block of environmental monitoring within GISS and MSS for IWRM in Arctic and Subarctic under climate change and COVID-19 pandemic. Reducing the cost of GISS and MSS is an important question for such GISS and MSS under COVID-19 pandemic conditions. We propose to use open source GIDOP Earth and partially open GIDOP EOS for IWRM in Arctic and Subarctic under climate change and COVID-19 pandemic. Note, that GIDOP EOS provides efficient tools for searching, processing, and analyzing large amounts of satellite data from the Landsat-8 and Sentinel-2 satellite systems. Let’s go to example. In Fig. 2, 3, 4 and 5, we show images made with using of GIDOP EOS and GIDOP Earth for arctic water objects near arctic port infrastructure.
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Fig. 2. Winter riverbank of Ob river at Sabetta, LV Agriculture Application, 02/03/2020, scale 2 km.
Fig. 3. Weather data (wind, air temperature) at Sabetta with GIDOP Earth on 02/03/2020.
As essential result, authors propose to use above-mentioned GIDOPs as basement of low-cost GESS for IWRM in Arctic and Subarctic under climate change and COVID-19 pandemic. Note, discussion of data decoding from Fig. 2, 3, 4 and 5 was not task of this paper.
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Fig. 4. Summer riverbank at Sabetta, LV Normal Color Application, 21/08/2020, scale 500 m.
Fig. 5. Weather data (wind, air temperature) at Sabetta with GIDOP Earth on 21/08/2020.
4 Discussion Above- proposed low-cost innovative digital tools for IWRM in Arctic and Subarctic can be used in educational and training purposes [2]. The essential task of university practical learning (UPL) in the field of IWRM in Arctic and Subarctic will be to teach students the practical aspects of work with GISS tools, which requires a developed learning base within special geo-information systems (GIS) laboratory. In some cases, real practical
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work in special GIS laboratory can be undergoes with virtual reality (VR) technologies, that can reduce total cost of learning process.
5 Conclusion Paper discusses innovative digital tools development for IWRM in Arctic and Subarctic, which simultaneously takes into account the impact of the period of Industry 4.0, climate change and the COVID-19 pandemic. In research, used Foresight technologies, theory of decision making under uncertainties, risk management approach, methods of data bases constructing, web-technologies and virtual reality tools. As study result, authors suggest to use GIDOPs Earth, and EOS, including its Land Viewer (LV) product, as the main digital tools within GISS for IWRM in Arctic and Subarctic. Authors recommend to use research results in educational and training purposes, including preparing Master’s programs in environment economics, Earth sciences and others areas. The presented research results have significant scientific novelty can be useful for private investors, independent market players, government and municipal organizations. In article, all graphical materials are original and produced by authors with data from open sources. Acknowledgments. Digital platform https://www.researchgate.net/profile/Valery_Abramov2/ gave excellent opportunities to preliminary discussion and data exchange while this research.
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8. Mandryka, O.N., Abramov, V.M., Shilin, M.B., et al.: Urban population health survey in northwest federal district of Russian Federation. Paper presented at the 33rd international business information management association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7173–7183 (2019) 9. Ershova, A., Matveev, Y., Shilin, M., et al.: Reclaimed artificial coastal territories for the development of urban areas. In: E3S Web of Conferences, vol. 110, p. 0102 (2019). https:// doi.org/10.1051/e3sconf/201911001025 10. Ershova, A., Shilin, M., Abramov, V., et al.: Environment survey of northwest Russia population health. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, vol. 19, no. 5.2, pp. 347–354 (2019) 11. Lednova, J., Chusov, A., Shilin, M.: Ecological assessment of dredging in the Eastern Gulf of Finland. Paper presented at the “Ocean: Past, Present and Future” - 2012 IEEE/OES Baltic international symposium, BALTIC 2012, p. 6249169 (2012). https://doi.org/10.1109/BAL TIC.2012.6249169 12. Lednova, J., Gogoberidze, G., Zhigulsky, V., et al.: Environmental indicator approach for dredging. Paper presented at the 14th MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2019, vol. 1, pp. 161–172 (2019) 13. Lednova, J., Chusov, A., Shilin, M.: Eco-monitoring of dredging in the Gulf of Finland. Paper presented at the 10th global congress on ICM: lessons learned to address new challenges, EMECS 2013 - MEDCOAST 2013 Joint Conference, vol. 2, pp. 1024–1034 (2013) 14. Istomin, E.P., Abramov, V.M., Lepeshkin, O.M., et al.: Web-based tools for natural risk management while large environmental projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, vol. 19, pp. 953–960 (2019) 15. Sokolov, A., Abramov, V., Istomin, E., et al.: Digital transformation of risk management for natural-industrial systems while climate change. In: IOP Conference Series: Materials Science and Engineering, vol. 940, no. 1, p. 012003 (2020) 16. Lukyanov, S.V., Abramov, V.M., Averkiev, A.S., et al.: Innovative technologies for geoinformation management while hydraulic structures survey. Paper presented at the 33rd international business information management association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7112–7122 (2019) 17. Karlin, L.N., Abramov, V.M., Ovsiannikov, A.A.: The temporal structure of the iceberg hazard in the central part of the Barents Sea. Oceanology 49(3), 327 (2009) 18. Ershova, A., Shilin, M., Zhigulsky, V., et al.: Environmental safety of the Nord Stream 2 marine gas pipeline (Russian section). Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018 4 February 2019, p. 8634858 (2018). https://doi.org/10.1109/BAL TIC.2018.8634858 19. Fedorov, M.P., Shilin, M.B.: Ecological safety of tidal-power projects. Power Technol. Eng. 44(2), 117–121 (2010) 20. Burlov, V.G., Abramov, V.M., Tatarnikova, T.M.: Digital technologies development for geoinformation support of techno-sphere security in Arctic and Subarctic. In: IOP Conference Series: Earth and Environmental Science, vol. 666, no. 5, p. 052076 (2021). https://doi.org/ 10.1088/1755-1315/666/5/052076 21. Eremina, T., Ershova, A., Martin, G., Shilin, M.: Marine litter monitoring: review for the Gulf of Finland coast. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634860 (2019). https://doi.org/10.1109/BALTIC.2018. 8634860 22. Bobylev, N., Chusov, A., Shilin, M., et al.: Long-term monitoring of the dredged material deposit sites in the Eastern Gulf of Finland. In: E3S Web of Conferences, vol. 164, p. 01010 (2020). https://doi.org/10.1051/e3sconf/202016401010
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23. Vasil’ev, Y.S., Maslikov, V.I., Shilin, M.B., et al.: New challenges and possibilities of hydroelectric power plants in combating pollution of watercourses by floating debris. Power Technol. Eng. 53(3), 314–318 (2019) 24. Kouzov, S., Shilin, M., Chusov, A., Lednova, J.: Variety and vulnerability of waterbird community in the eastern part of the Gulf of Finland in the zone of «Nord Stream» marine gas pipeline. Paper presented at the “Measuring and Modeling of Multi-Scale Interactions in the Marine Environment” - IEEE/OES Baltic international symposium 2014, BALTIC 2014, 6887863 (2014). https://doi.org/10.1109/BALTIC.2014.6887863 25. Mikheev, V., Shilin, M., Abramov, V., et al.: Study protected nature areas implication to ecological stabilization near port of Bronka. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, no. 5.2, pp. 701–707 (2019) 26. Kouzov, S., Chusov, A., Lednova, J., et al.: Nature protected area as compensation action. Paper presented at the 13th international MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2017, vol. 1, pp. 257–268 (2017) 27. Gogoberidze, G., Zhigulsky, V., Shilin, M., et al.: System effect analysis of the port of sabetta impact on the coastal zone of the gulf of ob: case of an “eco-friendly” maritime object in the Arctic. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 17, no. 52, pp. 935–942 (2017) 28. Istomin, E.P., Sokolov, A.G., Abramov, V.M., et al.: Application of blockchain and big data technologies within geo-information support for arctic projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, vol. 19, no. 2.1, pp. 753–759 (2019) 29. Popov, N., Istomin, E., Popova, A., et al.: Blockchain and big data technologies within geoinformation support for arctic projects. Paper presented at the 33rd international business information management association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020 2019, pp. 8575–8579 (2019) 30. Sokolov, A., Fokicheva, A., Abramov, V., et al.: Machine learning with digital generators for training sets including proteins modeling in the context of big data and blockchain technologies. Paper presented at the 33rd international business information management association conference, IBIMA 2019: education excellence and innovation management through vision 2020, pp. 8638–8642 (2019)
Digitalization of Large Arctic Projects Geo-Information Support Under Climate Change and COVID-19 Mikhail Shilin1(B)
, Valery Abramov1 , Alexander Chusov2 and Yaroslav Petrov1
, Igor Sikarev1
,
1 Russian State Hydrometeorological University,
79, Voronezhskaya Str., St. Petersburg 192007, Russia [email protected] 2 Peter the Great St. Petersburg Polytechnic University (SPbPU), 29, Polytechnicheskaya Str., St. Petersburg 195251, Russia
Abstract. Paper consider the digitalization results of geo-information support for large arctic projects within Industry 4.0 period under climate change and COVID19. In study, there are used Foresight technologies, theory of decision making under uncertainties, risk management approach, methods of databases constructing in case of digital risk management platforms. Currently, the ways of geo-information support for large arctic projects have distinct features of digitalization with new concepts in data obtaining and presenting. In paper, preference is given to the use of digital risk management platforms, which integrate heterogeneous hardware and software resources with the use of web-technologies in distributed networks and wide application of cloud services. It is proposed to use block diagram of geoinformation support decision for large arctic projects within Industry 4.0 period under climate change and COVID-19. This basic model allows direct assessment of the environmental monitoring cost impact on the overall business profit. There is considered examples of different digital natural risk management platforms for large arctic projects. The research results presented in this article has significant scientific novelty and can be useful for private investors, public environmental organizations of the civil sector and state environmental control bodies and can be used in training and educational purposes. Keywords: Digitalization · Large arctic project · Geo-information support · Climate change · COVID-19
1 Introduction Recently, wide spectrum of information technologies is implemented within geoinformation management (GIM) [1–5]. This leads to serious information technological changes in geo-information support of large arctic projects (LAPs), which are realized within Industry 4.0 period, when while climate change and COVID-19 pandemic. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1247–1255, 2022. https://doi.org/10.1007/978-3-030-96380-4_137
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Note, that Industry 4.0 leads to serious technological changes in geo-information support systems (GISS) and managerial support systems (MSS) for LAPs, including geoecological support systems (GESS) [6–12] and natural risk management (NRM) [13–18], that requires the development of new digital technologies and tools. While LAPs, special attention have to be paid to environmental safety (ES) [19–22] and compensation measures (CM) [23–27]. The purpose of this article is GISS digitalization development for NRM, ES and CM within LAPs. Paper describe the digitalization development results for NRM, ES and CM while LAPs within GIM paradigm, including the issues of information collection and processing [28, 29] under climate change and COVID-19 pandemic.
2 Methods and Data While study, there are used risk management approach, theory of decision making under uncertainties, Foresight technologies, methods of data bases constructing and web-technologies. Also, it is used big data technologies [28, 29]. From the point of view of GIM, geo-space structured to allocate the interconnected components of the solution space [4]. In research, authors used data bases and tools of geo-information digital online platforms (GIDOPs) Earth https://earth.nullschool.net/ru/ and EOS, including its Land Viewer (LV) product https://eos.com/landviewer/.
3 Results Currently, the most of LAPs have significant difficulties due to the large economic losses because of COVID-19. It is very badly for NRM, ES and CM within LAPs. In these circumstances, it is necessary to combine the efforts and resources of commercial players, the civil sector and government authorities in solving the problems of NRM, ES and CM within LAPs. We put forward a statement, that NRM, ES and CM within LAPs in modern stage is to be carried out in the sustainable development paradigm as related set of large natural-industrial projects (NIPs) within common space area and time period. In Fig. 1, we present a block model of investment structure in LAPs, that combines the investment objectives of such NIPs (blocks 1–5) with cost of adequate geo-information support of NRM, ES and CM within LAPs (blocks 6–8), including LAPs’s goals and tasks (block 7). Our analysis shows that the largest part of the cost of geo-information support of NRM, ES and CM within LAPs is the environmental monitoring (block 8), the essence of which is determined by the content of block 7. Significant part of the cost in block 8 is hardware and software, the cost of which varies significantly. Now, in COVID-19 pandemic conditions, cost of NRM, ES and CM within LAPs can arise greatly because of general economic situation. On basement of above mentioned model, we proposed to develop GISS for NRM, ES and CM within LAPs with combined structure for access, storage and analysis of information from open geo-spatial data sources, including archives and operative mode web tools. As a result of the research performed using foresight technologies, we suggest to use geo-information distributed
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Fig. 1. Block model for investment structure in LAPs: 1 – block of distribution of resources; 2 – block of formation of resources; 3 - block of formation of private income; 4 - block of formation of total income; 5 – block of formation of the investment share of resources; 6 - block of comparison with the permissible level of risk; 7 - block of formation changing in time set of NRM, ES and CM within LAPs, including climate risks and COVID-19 pandemic risks; 8 – block of environmental monitoring for of NRM, ES and CM within LAPs while climate change, adapted to COVID-19 pandemic conditions.
online platforms (GIDOPs) as the main technological solutions for GISS to NRM, ES and CM within LAPs. In this research, essential goal is block of environmental monitoring within GISS for NRM, ES and CM within LAPs under climate change and COVID-19 pandemic. Reducing the cost of GISS is an important question for LAPs at whole. We propose to use GIDOP EOS eos.com, which provides efficient tools for searching, processing, and analyzing large amounts of satellite data from the Landsat-8 and Sentinel-2 satellite systems. Also, we propose to use open GIDOP Earth, which give access to huge volumes of different geo-data. Let’s go to examples. In Fig. 2 and 3, we present visualized with GIDOP EOS space images of the sea ice field, which is natural risk factor for port of Sabetta, where implement LAPs with liquid natural gas (LNG) product factory.
Fig. 2. Sea ice field as natural risk factor near Russian port of Sabetta and LNG product factory on 06/07/2019 visualized with Agriculture Application of LV, scale 5 km.
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Fig. 3. Sea ice field as natural risk factor near Russian port of Sabetta and LNG product factory on 06/07/2019 visualized with Normal Color Application of LV, scale 2 km.
In Fig. 4, we present enlarge space image of LNG product factory facilities and port of Sabetta facilities, which can be used for data extraction in NRM, ES and CM areas.
Fig. 4. Enlarge space image of LNG product factory facilities and port of Sabetta facilities on 06/07/2019 visualized with Agriculture Application of LV, scale 500 m.
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In Fig. 5, we present wind and air temperature fields at Sabetta as natural risk factors on 06/07/2019 visualized with GIDOP Earth.
Fig. 5. Wind and air temperature fields at Sabetta as natural risk factors on 06/07/2019 visualized with GIDOP Earth.
Let’s move on to another example of modern LAP with floating nuclear power plant (FNPP) Akademik Lomonosov (here and after simply FNPP). In Fig. 6, we present enlarge space image of FNPP facilities and port of Pevek facilities on 07/10/2020 visualized with Normal Colour Application of LV (red oval marks FNPP’s area), scale 500 m.
Fig. 6. Port of Pevek space image on 07/10/2020 visualized with Normal Colour Application of LV (red oval marks FNPP’s area).
In Fig. 7 and 8, we present geo-data at Pevek on 07/10/2020 visualized with GIDOP Earth.
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Fig. 7. Weather data (wind and air temperature) at Pevek on 07/10/2020 visualized with GIDOP Earth.
Fig. 8. Oceanographic data (currents and water temperature) near Pevek’ coast on 07/10/2020 visualized with GIDOP Earth.
Thus, we obtained data with GISS for NRM, ES and CM within LAPs from Fig. 2, 3, 4, 5, 6 and 7, using GIDOP EOS’s and GIDOP Earth data bases and tools. Note, decoding of Figs. 2, 3, 4, 5, 6 and 7 and discussion of data using for NRM, ES and CM within LAPs is not task of this article.
4 Discussion Proposed above low-cost GISS for NRM, ES and CM within LAPs can be used in educational and training purposes. In some cases, real practical work in special GIS laboratory can be undergoes with virtual reality (VR) technologies [2], that can reduce total cost of learning process.
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5 Conclusion In article, we describe digitalization results for NRM, ES and CM within LAPs in Industry 4.0 period under conditions of climate change and COVID-19. In research, we used Foresight technologies, theory of decision making under uncertainties, risk management approach, methods of data bases constructing, web-technologies and virtual reality tools. As study result, we suggest to use GIDOPs Earth and EOS, including its LV product, as the main technological tools within GISS for NRM, ES and CM within LAPs. We demonstrate possibilities of GISS with examples for LAPs at Sabetta and Pevek. As essential result, we propose to use developed GISS as basement for NRM, ES and CM within LAPs, including educational and training purposes. The research results presented in this article has significant scientific novelty and can be useful for private investors, public environmental organizations of the civil sector and state environmental control bodies. Acknowledgments. Platform https://www.researchgate.net/profile/Valery_Abramov2/ was used while this research.
References 1. Burlov, V.G., Abramov, V.M., Tatarnikova, T.M.: Digital technologies development for geoinformation support of techno-sphere security in Arctic and Subarctic. IOP Conf. Ser.: Earth Environ. Sci. 666(5), 052076 (2021). https://doi.org/10.1088/1755-1315/666/5/052076 2. Lukyanov, S.V., Abramov, V.M., Averkiev, A.S., et al.: Innovative technologies for geoinformation management while hydraulic structures survey. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7112–7122 (2019) 3. Burlov, V.G., Abramov, V.M., Tatarnikova, T.M.: Digital technologies development for maritime activities oceanographic support in Arctic and Subarctic. IOP Conf. Ser.: Earth Environ. Sci. 666(5), 052075 (2021). https://doi.org/10.1088/1755-1315/666/5/052075 4. Shilin, M., Abramov, V., Chusov, A.: Geo-ecological strategy for Ust-Luga seaport enlargement. Transp. Res. Procedia 54, 654–661 (2021). https://doi.org/10.1016/j.trpro.2021.02.118 5. Popov, N., Abramov, V., Shilin, M.: Geo-information support tools for natural risks management within Northern Sea Route. Transp. Res. Procedia 54, 144–149 (2021). https://doi.org/ 10.1016/j.trpro.2021.02.058 6. Chusov, A., Lednova, J., Shilin, M.: Ecological assessment of dredging in the Eastern Gulf of Finland. Paper presented at the “Ocean: Past, Present and Future” - 2012 IEEE/OES Baltic International Symposium, BALTIC 2012, p. 6249169 (2012). https://doi.org/10.1109/BAL TIC.2012.6249169 7. Andreeva, E.S., Shilin, M.B., Abramov, V.M., et al.: Innovative technologies for geoecological support while artificial coastal territories development. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management. SGEM, vol. 19, issue 5.1, pp. 399–406 (2019) 8. Istomin, E.P., Burlov, V.G., Abramov, V.M., et al.: Decision support model within environmental economics. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management. SGEM, vol. 19, issue 5.3, pp. 139–145 (2019)
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9. Mandryka, O.N., Abramov, V.M., Shilin, M.B., et al.: Urban population health survey in northwest federal district of Russian Federation. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7173–7183 (2019) 10. Istomin, E.P., Sokolov, A.G., Abramov, V.M., et al.: Application of blockchain and big data technologies within geo-information support for arctic projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 753–759 (2019) 11. Ershova, A., Shilin, M., Abramov, V., et al.: Environment survey of northwest Russia population health. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.2, pp. 347–354 (2019) 12. Lednova, J., Gogoberidze, G., Zhigulsky, V., et al.: Environmental indicator approach for dredging. Paper presented at the 14th MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2019, vol. 1, pp. 161–172 (2019) 13. Ershova, A., Shilin, M., Zhigulsky, V., et al.: Environmental safety of the Nord Stream 2 marine gas pipeline (Russian Section). Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, pp. 8634858 (2018). https://doi.org/10.1109/ BALTIC.2018.8634858 14. Istomin, E.P., Abramov, V.M., Lepeshkin, O.M., et al.: Web-based tools for natural risk management while large environmental projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, pp. 953–960 (2019) 15. Vekshina, T.V., Abramov, V.M., Bolshakov, V.A., et al.: Geoinformation technologies for assessing arctic and subarctic river beds throughput while climate change. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 903–909 (2019) 16. Vasil’ev, Y.S., Maslikov, V.I., Shilin, M.B., et al.: New challenges and possibilities of hydroelectric power plants in combating pollution of watercourses by floating debris. Power Technol. Eng. 53(3), 314–318 (2019) 17. Shilin, M., Ershova, A., Matveev, Y., et al.: Reclaimed artificial coastal territories for the development of urban areas. E3S Web Conf. 110, 0102 (2019). https://doi.org/10.1051/e3s conf/201911001025 18. Lednova, J., Chusov, A., Shilin, M.: Eco-monitoring of dredging in the Gulf of Finland. Paper presented at the 10th global congress on ICM: Lessons Learned to Address New Challenges, EMECS 2013 - MEDCOAST 2013 Joint Conference, vol. 2, pp. 1024–1034 (2013) 19. Fedorov, M.P., Shilin, M.B.: Ecological safety of tidal-power projects. Power Technol. Eng. 44(2), 117–121 (2010) 20. Gogoberidze, G., Zhigulsky, V., Shilin, M., et al.: System effect analysis of the port of sabetta impact on the coastal zone of the gulf of ob: Case of an “eco-friendly” maritime object in the Arctic. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 17, issue 52, pp. 935-942 (2017) 21. Eremina, T., Ershova, A., Martin, G., Shilin, M.: Marine litter monitoring: review for the Gulf of Finland coast. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, pp. 8634860 (2019). https://doi.org/10.1109/BALTIC.2018. 8634860 22. Bobylev, N., Chusov, A., Shilin, M., et al.: Long-term monitoring of the dredged material deposit sites in the Eastern Gulf of Finland. E3S Web Conf. 164, 01010 (2020). https://doi. org/10.1051/e3sconf/202016401010
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23. Kouzov, S., Shilin, M., Chusov, A., Lednova, J.: Variety and vulnerability of waterbird community in the eastern part of the Gulf of Finland in the zone of «Nord Stream» marine gas pipeline. Paper presented at the “Measuring and Modeling of Multi-Scale Interactions in the Marine Environment” - IEEE/OES Baltic international symposium 2014, BALTIC 2014, pp. 6887863 (2014). https://doi.org/10.1109/BALTIC.2014.6887863 24. Mikheev, V., Shilin, M., Abramov, V., et al.: Study protected nature areas implication to ecological stabilization near port of Bronka. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.2, pp. 701–707 (2019) 25. Kouzov, S., Chusov, A., Lednova, J., et al.: Nature protected area as compensation action. Paper presented at the 13th international MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2017, vol. 1, pp. 257–268 (2017) 26. Istomin, E.P., Mikheev, V.L., Abramov, V.M., et al.: Model of geo-information support for decision-making while natural risk management. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 951–956 (2019) 27. Lednova, J., Chusov, A., Shilin, M., Gogoberidze, G.: Integrated indicator approach for economic-environmental assessment of coastal local municipalities. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634848 (2019). https://doi.org/10.1109/BALTIC.2018.8634848 28. Popova, A., Abramov, V., Popov, N., et al.: Blockchain and big data technologies within geoinformation support for arctic projects. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020 2019, pp. 8575–8579 (2019) 29. Fokicheva, A., Sokolov, A., Abramov, V., et al.: Machine learning with digital generators for training sets including proteins modeling in the context of big data and blockchain technologies. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 8638–8642 (2019)
Digitalization of Geo-Information Support for Northern Sea Route Management Valery Abramov1(B)
, Mikhail Shilin1 , Igor Sikarev1 and Alexander Chusov2
, Yaroslav Petrov1
,
1 Russian State Hydrometeorological University, 79, Voronezhskaya Str., St. Petersburg 192007, Russia [email protected] 2 Peter the Great St. Petersburg Polytechnic University (SPbPU), 29, Polytechnicheskaya Str., St. Petersburg 195251, Russia
Abstract. The article discusses the directions of digitalization for geoinformation support of the Northern Sea Route management. In the context of COVID-19 and climate change, the fundamentals of Industry 4.0 must be transformed to reduce the costs of managing the Northern Sea Route and to take into account the geopolitical risks. The purpose of the study is to create a methodological basis for building digital tools for geo-information support for the management of the Northern Sea Route, taking into account above factors. The research used methods of decision-making in conditions of uncertainty and digital tools of distributed online platforms with new concepts in data obtaining and presenting, which integrate heterogeneous hardware and software resources. It is proposed to use open source geo-information support decision tools for North Sea Route management within Industry 4.0 period under climate change and COVID-19 to low the environmental monitoring cost impact on the overall business profit. There is considered examples of proposed digital platforms usage for geo-information support of North Sea Route management. The research results can be used in training and educational purposes, preparing Master’s programs in Earth sciences and others areas. Also, study results can be useful for private investors, public and government organizations. Keywords: Northern Sea Route · Digitalization · Geo-information support · Climate change · COVID-19
1 Introduction Recently, wide spectrum of information technologies is implemented within geoinformation management [1–5]. This leads to serious information technological changes in geo-information support for North Sea Route management (NSRM), which have to be realized within Industry 4.0 period, when while climate change and COVID-19 pandemic. Note, Industry 4.0 leads to serious technological changes in geo-information support systems (GISS) and managerial support systems (MSS) for NSRM, including geoecological support systems (GESS) [6–13] and natural risk management (NRM) [14–17], © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1256–1263, 2022. https://doi.org/10.1007/978-3-030-96380-4_138
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that requires the development of new digital technologies and tools. Within NSRM, special attention has to be paid to environmental safety (ES) [18–23] and compensation measures (CM) [24–27]. The purpose of this article is GISS digitalization development for NRM, ES and CM within NSRM. Paper describe the digitalization development results for NRM, ES and CM within NSRM in geo-information management (GIM) paradigm, including the issues of information collection and processing [28–30] under climate change and COVID-19 pandemic.
2 Methods and Data While study, we used theory of decision making under uncertainties, risk management approach, Foresight technologies, methods of data bases constructing, web-technologies and virtual reality tools. Also, we used big data technologies [28–30]. From the point of view of geo-information management, we structured geo-space to allocate the interconnected components of the solution space (Sokolov 2015). In research, we used data bases and tools of geo-information digital online platforms (GIDOPs) Earth https://earth. nullschool.net/ru/, VesselFinder https://www.vesselfinder.com/, Marine Traffic https:// www.marinetraffic.com/en/ais/home/ and EOS, including its Land Viewer (LV) product https://eos.com/landviewer/.
3 Results Currently, NSR development have greater place in global economy because very fast climate change in Artic and COVID-19 pandemic shock. As a result of performed using foresight technology research, we put forward the claim that in present conditions of climate change and COVID-19 pandemic, it would be advisable to develop NSR by increased reliance on sea ports infrastructure with the aim of geopolitical risks management for global economics. In these circumstances, it is necessary to combine the efforts and resources of commercial players, the civil sector and government authorities in solving the problems of NSR. As research result, we put forward a statement, that NSR development in modern stage is to be carried out in the sustainable development paradigm as related set of large natural-industrial projects (NIPs) within common space area and time period and common adequate managerial support. Our analysis shows that part of the cost of managerial support is the environmental monitoring of ice hazards as part of geo-information support systems (GISS) on digitalization basis. As GISS basement, we propose to use the tools of above-mentioned GIDOPs Marine Traffic, VesselFinder, Earth, and EOS, including its Land Viewer (LV) product. As an example, we consider GISS for independent players during case of LNG transportation by arctic tankers CHRISTOPHE DE MARGERIE and NIKOLAY YEVGENOV from Russian sea port Sabetta to South-East Asia via sea ice fields of East Arctic in winter of 2021 (January-February). In Fig. 1 and 2, we show data on above-mentioned tankers with screens from VesselFinder. In Fig. 3, 4 and 5, we present maps with LNG tankers positions on NSR in East Arctic on different dates with screens
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Fig. 1. Image of LNG tanker CHRISTOPHE DE MARGERIE and data on last port destinations.
Fig. 2. Image of LNG tanker NIKOLAY YEVGENOV and data on last port destinations.
Fig. 3. CHRISTOPHE DE MARGERIE and NIKOLAY YEVGENOV positions on 11/01/2021.
from Marine Traffic, including return journey of LNG arctic tanker CHRISTOPHE DE MARGERIE with icebreaker 50 LET POBEDY (Fig. 6, 7). In Fig. 6 and 7, we present screens of GIDOPs EOS and Earth for arctic seaport of Sabetta on 20/05/2019, as examples of data mining for geo-information support within NSRM.
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Fig. 4. Track of CHRISTOPHE DE MARGERIE with icebreaker 50 LET POBEDY on 14/02/2021.
Fig. 5. Past track of LNG tanker CHRISTOPHE DE MARGERIE with icebreaker 50 LET POBEDY during return journey to seaport Sabetta across the Vilkitsky Strait on 18/02/2021.
As essential result, authors propose to use above-mentioned GIDOPs as basement of low-cost GESS for NRSM purposes when while climate change and COVID-19 pandemic. Note, discussion of data decoding from Fig. 3, 4, 5, 6 and 7 was not task of this paper.
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Fig. 6. Enlarged space image of Sabetta arctic seaport on 20/05/2019 visualized with Natural Color Application of LV, scale 500 m.
Fig. 7. Screen of GIDOP Earth with weather data at arctic seaport of Sabetta on 20/05/2019.
4 Discussion Proposed above low-cost GISS tools for NRSM development can be used in educational and training purposes [2]. The essential task of university practical learning (UPL) in the field of NRSM development will be to teach students the practical aspects of work with GISS tools, which requires a developed learning base within special geo-information systems (GIS) laboratory. In some cases, real practical work in special GIS laboratory can be undergoes with virtual reality (VR) technologies, that can reduce total cost of learning process.
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5 Conclusion Paper discusses digital tools development for geo-information support of NRSM, which simultaneously takes into account the impact of the period of Industry 4.0, climate change and the COVID-19 pandemic. In research, used Foresight technologies, theory of decision making under uncertainties, risk management approach, methods of data bases constructing, web-technologies and virtual reality tools. As study result, authors suggest to use GIDOPs Marine Traffic, VesselFinder, Earth, and EOS, including its Land Viewer (LV) product, as the main digital tools within GISS for NRSM development. As essential result, proposed to use developed GISS tools for arctic seaports activity management. Recommended to use research results in educational and training purposes, including preparing Master’s programs in environment economics, Earth sciences and others areas. The research results presented in this article has significant scientific novelty can be useful for private investors, independent market players, public and government organizations. In paper, all graphical materials are original and produced by authors with data from open sources. Acknowledgments. Digital platform https://www.researchgate.net/profile/Valery_Abramov2/ gave excellent opportunities to preliminary discussion and data exchange while this research.
References 1. Burlov, V.G., Tatarnikova, T.M., Abramov, V.M.: Digital technologies development for maritime activities oceanographic support in Arctic and Subarctic. IOP Conf. Ser.: Earth .Environ. Sci. 666(5), 052075 (2021). https://doi.org/10.1088/1755-1315/666/5/052075 2. Popov, N., Abramov, V., Istomin, E., et al.: Development of digital transformation technologies for university practical learning in industrial area. IOP Conf. Ser.: Mater. Sci. Eng. 940(1), 012013 (2020) 3. Lednova, J., Chusov, A., Shilin, M., Gogoberidze, G.: Integrated indicator approach for economic-environmental assessment of coastal local municipalities. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634848 (2019). https://doi.org/10.1109/BALTIC.2018.8634848 4. Istomin, E.P., Burlov, V.G., Abramov, V.M., et al.: Decision support model within environmental economics. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.3, pp. 139–145 (2019) 5. Vekshina, T.V., Abramov, V.M., Bolshakov, V.A., et al.: Geoinformation technologies for assessing arctic and subarctic river beds throughput while climate change. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 903–909 (2019) 6. Shilin, M., Abramov, V., Chusov, A.: Geo-ecological strategy for Ust-Luga seaport enlargement. Transp. Res. Procedia 54, 654–661 (2021). https://doi.org/10.1016/j.trpro.2021.02.118 7. Andreeva, E.S., Shilin, M.B., Abramov, V.M., et al.: Innovative technologies for geoecological support while artificial coastal territories development. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.1, pp. 399–406 (2019)
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8. Mandryka, O.N., Abramov, V.M., Shilin, M.B., et al.: Urban population health survey in northwest federal district of Russian Federation. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7173–7183 (2019) 9. Ershova, A., Matveev, Y., Shilin, M., et al.: Reclaimed artificial coastal territories for the development of urban areas. E3S Web Conf. 110, 0102 (2019). https://doi.org/10.1051/e3s conf/201911001025 10. Ershova, A., Shilin, M., Abramov, V., et al.: Environment survey of northwest Russia population health. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.2, pp. 347–354 (2019) 11. Lednova, J., Chusov, A., Shilin, M.: Ecological assessment of dredging in the Eastern Gulf of Finland. Paper presented at the “Ocean: Past, Present and Future” - 2012 IEEE/OES Baltic International Symposium, BALTIC 2012, p. 6249169 (2012). https://doi.org/10.1109/BAL TIC.2012.6249169 12. Lednova, J., Gogoberidze, G., Zhigulsky, V., et al.: Environmental indicator approach for dredging. Paper presented at the 14th MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2019, vol. 1, pp. 161–172 (2019) 13. Lednova, J., Chusov, A., Shilin, M.: Eco-monitoring of dredging in the Gulf of Finland. Paper presented at the 10th global congress on ICM: Lessons Learned to Address New Challenges, EMECS 2013 - MEDCOAST 2013 Joint Conference, vol. 2, pp. 1024–1034 (2013) 14. Istomin, E.P., Abramov, V.M., Lepeshkin, O.M., et al.: Web-based tools for natural risk management while large environmental projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, pp. 953–960 (2019) 15. Sokolov, A., Abramov, V., Istomin, E., et al.: Digital transformation of risk management for natural-industrial systems while climate change. IOP Conf. Ser.: Mater. Sci. Eng. 940(1), 012003 (2020) 16. Lukyanov, S.V., Abramov, V.M., Averkiev, A.S., et al.: Innovative technologies for geoinformation management while hydraulic structures survey. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7112–7122 (2019) 17. Karlin, L.N., Abramov, V.M., Ovsiannikov, A.A.: The temporal structure of the iceberg hazard in the central part of the Barents Sea. Oceanology 49(3), 327 (2009) 18. Ershova, A., Shilin, M., Zhigulsky, V., et al.: Environmental Safety of the Nord Stream 2 marine gas pipeline (Russian section). Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634858 (2018). https://doi.org/10. 1109/BALTIC.2018.8634858 19. Fedorov, M.P., Shilin, M.B.: Ecological safety of tidal-power projects. Power Technol. Eng. 44(2), 117–121 (2010) 20. Burlov, V.G., Abramov, V.M., Tatarnikova, T.M.: Digital technologies development for geoinformation support of techno-sphere security in Arctic and Subarctic. IOP Conf. Ser.: Earth Environ. Sci. 666(5), 052076 (2021). https://doi.org/10.1088/1755-1315/666/5/052076 21. Eremina, T., Ershova, A., Martin, G., Shilin, M.: Marine litter monitoring: Review for the Gulf of Finland coast. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634860 (2019). https://doi.org/10.1109/BALTIC.2018. 8634860 22. Bobylev, N., Chusov, A., Shilin, M., et al.: Long-term monitoring of the dredged material deposit sites in the Eastern Gulf of Finland. E3S Web Conf. 164, 01010 (2020). https://doi. org/10.1051/e3sconf/202016401010
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23. Vasil’ev, Y.S., Maslikov, V.I., Shilin, M.B., et al.: New Challenges and possibilities of hydroelectric power plants in combating pollution of watercourses by floating debris. Power Technol. Eng. 53(3), 314–318 (2019) 24. Kouzov, S., Shilin, M., Chusov, A., Lednova, J.: Variety and vulnerability of waterbird community in the eastern part of the Gulf of Finland in the zone of «Nord Stream» marine gas pipeline. Paper presented at the “Measuring and Modeling of Multi-Scale Interactions in the Marine Environment” - IEEE/OES Baltic international symposium 2014, BALTIC 2014, p. 6887863 (2014). https://doi.org/10.1109/BALTIC.2014.6887863 25. Mikheev, V., Shilin, M., Abramov, V., et al.: Study protected nature areas implication to ecological stabilization near port of Bronka. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol, 19, issue 5.2, pp. 701–707 (2019) 26. Kouzov, S., Chusov, A., Lednova, J., et al.: Nature protected area as compensation action. Paper presented at the 13th international MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2017, vol. 1, pp. 257–268 (2017) 27. Gogoberidze, G., Zhigulsky, V., Shilin, M., et al.: System effect analysis of the port of sabetta impact on the coastal zone of the gulf of ob: case of an “eco-friendly” maritime object in the Arctic. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 17, issue 52, pp. 935–942 (2017) 28. Istomin, E.P., Sokolov, A.G., Abramov, V.M., et al.: Application of blockchain and big data technologies within geo-information support for arctic projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 753–759 (2019) 29. Popova, A., Abramov, V., Popov, N., et al.: Blockchain and big data technologies within geoinformation support for arctic projects. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020 2019, pp. 8575–8579 (2019) 30. Fokicheva, A., Sokolov, A., Abramov, V., et al.: Machine learning with digital generators for training sets including proteins modeling in the context of big data and blockchain technologies. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 8638–8642 (2019)
Digitalization of Ice Waters Maritime Activity Management Valery Abramov1(B)
, Mikhail Shilin1 , Igor Sikarev1,2 and Yaroslav Petrov1
, Alexander Chusov1,2
,
1 Russian State Hydrometeorological University, 79, Voronezhskaya Str., St. Petersburg 192007, Russia [email protected] 2 Peter the Great St. Petersburg Polytechnic University (SPbPU), 29, Polytechnicheskaya Str., St. Petersburg 195251, Russia
Abstract. Article considers the results of digitalization for ice waters maritime activity management in Arctic and Subarctic adapted to climate change and COVID-19 conditions. In the context of climate change and COVID-19, digitalization process within Industry 4.0 has to be changed to reduce the costs ice waters maritime activity management and to take into account the geopolitical chances and risks because of globalization slow-down. The purpose of the study is to create a methodological basis for building digital tools for geo-information support for ice waters maritime activity management in Arctic and Subarctic, taking into account above factors. The research used methods of decision-making in conditions of uncertainty and digital tools of distributed online platforms with new concepts in data obtaining and presenting, which integrate heterogeneous hardware and software resources. It is proposed to use the open source geo-information support digital tools for waters maritime activity management in Arctic and Subarctic within Industry 4.0 period under climate change and COVID-19 to low the environmental monitoring cost impact on the overall business profit. There is considered examples of proposed digital platforms usage. The research results can be used in training and educational purposes and be useful for private investors, government and municipal organizations. Keywords: Maritime activity · Ice fields · Digitalization · Geo-information support · Management
1 Introduction Last times, a lot of innovative information technologies is realized in the frame of geo-information management (GIM) [1–5]. This leads to serious information technological changes in geo-information support for ice waters maritime activity management (IWMAM) in Arctic and Subarctic, which have to be realized within Industry 4.0 period, when while climate change and COVID-19 pandemic. Note, Industry 4.0 leads to serious technological changes in geo-information support systems (GISS) and managerial support systems (MSS) for IWMAM in Arctic and Subarctic, including geo-ecological © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1264–1272, 2022. https://doi.org/10.1007/978-3-030-96380-4_139
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support systems (GESS) [6–13] and natural risk management (NRM) [14–17], that requires the development of new digital technologies and tools. Within IWMAM, special attention has to be paid to environmental safety (ES) [18–23] and compensation measures (CM) [24–27]. The purpose of this article is GISS digitalization development for NRM, ES and CM within IWMAM in Arctic and Subarctic. Paper describe the results of innovative digital tools development for NRM, ES and CM within IWMAM in Arctic and Subarctic in the frame of GIM paradigm, including the issues of information collection and processing [28–30] under climate change and COVID-19 pandemic.
2 Methods and Data In research, authors used Foresight technologies, risk management approach, theory of decision making under uncertainties, Foresight technologies, methods of data bases constructing and web-technologies. Also, it is used big data technologies [28–30]. From the point of view of GIM, geo-space structured to allocate the interconnected components of the solution space [4]. In research, it is used data bases and tools of geo-information digital online platforms (GIDOPs) Earth https://earth.nullschool.net/ru/ and EOS, including its Land Viewer (LV) product https://eos.com/landviewer/.
3 Results Recently, transformation of IWMAM in Arctic and Subarctic have to be made because very fast climate change in Artic and COVID-19 pandemic shock. As a result of performed research with using foresight technology, we put forward the claim that in present conditions of climate change and COVID-19 pandemic, it would be advisable to develop IWMAM in Arctic and Subarctic by increased reliance on ports infrastructure with the aim of geopolitical chances and risks management for global economics. In these circumstances, it is necessary to combine the efforts and resources of commercial players, the civil sector and government authorities in solving the problems of IWMAM in Arctic and Subarctic. As research result, we put forward a statement, that IWMAM in Arctic and Subarctic transformation in modern stage is to be carried out in the sustainable development paradigm as related set of large natural-industrial projects (NIPs) within common space area and time period and common adequate geo-information and managerial support. In Fig. 1, we present a block model of proposed IWMAM’s investment structure, that combines the investment objectives of such NIPs (blocks 1–5) with cost of adequate managerial support (blocks 6–8) of achieving IWMAM’s goals and tasks (block 7). Our analysis shows that the largest part of the cost of managerial support is the environmental monitoring (block 8), the essence of which is determined by the content of block 7. Significant part of the cost in block 8 is hardware and software, the cost of which varies significantly. Now, in COVID-19 pandemic conditions, cost of IWMAM in Arctic and Subarctic can arise greatly because of general economic situation. On basement of
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Fig. 1. Block model for investment structure for IWMAM in Arctic and Subarctic: 1 – block of distribution of resources; 2 – block of formation of resources; 3 – block of formation of private income; 4 – block of formation of total income; 5 – block of formation of the investment share of resources; 6 – block of comparison with the permissible level of risk; 7 – block of formation changing in time set of natural risks within IWMAM in Arctic and Subarctic, including climate change; 8 – block of environmental monitoring corresponding to block 7.
above mentioned model, we proposed to develop GISS and MSS for IWMAM in Arctic and Subarctic with combined structure for access, storage and analysis of information from open geo-spatial data sources, including archives and operative mode web tools. As a result of the research performed using foresight technologies, we suggest to use geoinformation distributed online platforms (GIDOPs) as the main technological solutions for GISS and MSS for IWMAM in Arctic and Subarctic. In our research, essential goal is block of environmental monitoring within GISS and MSS for IWMAM in Arctic and Subarctic under climate change and COVID-19 pandemic. Reducing the cost of GISS and MSS is an important question for such GISS and MSS under COVID-19 pandemic conditions. We propose to use partially open GIDOP EOS for IWMAM in Arctic and Subarctic under climate change and COVID-19 pandemic. Note, that GIDOP EOS provides efficient tools for searching, processing, and analyzing large amounts of satellite data from the Landsat-8 and Sentinel-2 satellite systems. Let’s go to example. In Fig. 2, 3, 4, 5 and 6, we show sea ice field in East Gulf of Finland visualized with different Application of LV. Note, sea ice fields are essential hazard and managerial problem for IWMAM.
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Fig. 2. Sea ice field in East Gulf of Finland on 05/03/2021 visualized with Agriculture Application of LV, scale 5 km.
Fig. 3. Sea ice field near Russian sea port of Bronka on 02/03/2021 visualized with Color Infrared Application of LV, scale 1 km.
As essential result, authors propose to use above-mentioned GIDOPs as basement of low-cost GESS for IWMAM in Arctic and Subarctic under climate change and COVID19 pandemic. Note, discussion of data decoding from Fig. 2, 3, 4, 5 and 6 was not task of this paper.
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Fig. 4. Sea ice field in East Gulf of Finland on 07/07/2021 visualized with Agriculture Application of LV, scale 5 km.
Fig. 5. Sea ice field near Russian sea port Ust-Luga on 08/02/2021 visualized with Color Infrared Application of LV, scale 5 km.
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Fig. 6. Sea ice field near Russian sea ports Vyborg, Vysotsk and Primorsk on 10/03/2021 visualized with Color Infrared Application of LV, scale 5 km.
4 Discussion Above- proposed low-cost innovative digital tools for IWMAM in Arctic and Subarctic can be used in educational and training purposes [2]. The essential task of university practical learning in the field of IWMAM in Arctic and Subarctic will be to teach students the practical aspects of work with GISS tools, which requires a developed learning base within special geo-information systems (GIS) laboratory. In some cases, real practical work in special GIS laboratory can be undergoes with virtual reality (VR) technologies, that can reduce total cost of learning process.
5 Conclusion Paper discusses innovative digital tools development for IWMAM in Arctic and Subarctic, which simultaneously takes into account the impact of the period of Industry 4.0, climate change and the COVID-19 pandemic. In research, there was used Foresight technologies, theory of decision making under uncertainties, risk management approach, methods of data bases constructing, web-technologies and virtual reality tools. As study result, authors suggest to use EOS, including its Land Viewer (LV) product, as the main digital tools within GISS for IWMAM in Arctic and Subarctic. Research results can be recommended to use in educational and training purposes, including preparing Master’s programs in environment economics, Earth sciences and others areas. The presented research results have significant scientific novelty can be useful for private investors, independent market players, government and municipal organizations. In article, all graphical materials are original and produced by authors with data from open sources. Acknowledgments. Digital platform https://www.researchgate.net/profile/Valery_Abramov2/ gave excellent opportunities to preliminary discussion and data exchange while this research.
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References 1. Tatarnikova, T.M., Burlov, V.G., Abramov, V.M.: digital technologies development for maritime activities oceanographic support in Arctic and Subarctic. IOP Conf. Ser.: Earth Environ. Sci. 666(5), 052075 (2021). https://doi.org/10.1088/1755-1315/666/5/052075 2. Istomin, E., Popov, N., Abramov, V., et al.: Development of digital transformation technologies for university practical learning in industrial area. IOP Conf. Ser.: Mater. Sci. Eng. 940(1), 012013 (2020) 3. Gogoberidze, G., Lednova, J., Chusov, A., Shilin, M.: Integrated indicator approach for economic-environmental assessment of coastal local municipalities. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634848 (2019). https://doi.org/10.1109/BALTIC.2018.8634848 4. Istomin, E.P., Burlov, V.G., Abramov, V.M., et al.: Decision support model within environmental economics. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.3, pp. 139–145 (2019) 5. Bolshakov, V.A., Vekshina, T.V., Abramov, V.M., et al.: Geoinformation technologies for assessing arctic and subarctic river beds throughput while climate change. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 903–909 (2019) 6. Shilin, M., Abramov, V., Chusov, A.: Geo-ecological strategy for Ust-Luga seaport enlargement. Transp. Res. Procedia 54, 654–661 (2021). https://doi.org/10.1016/j.trpro.2021.02.118 7. Andreeva, E.S., Shilin, M.B., Abramov, V.M., et al.: Innovative technologies for geoecological support while artificial coastal territories development. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.1, pp. 399–406 (2019) 8. Mandryka, O.N., Abramov, V.M., Shilin, M.B., et al.: Urban population health survey in northwest federal district of Russian Federation. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7173–7183 (2019) 9. Ershova, A., Matveev, Y., Shilin, M., et al.: Reclaimed artificial coastal territories for the development of urban areas. E3S Web Conf. 110, 0102. (2019). https://doi.org/10.1051/e3s conf/201911001025 10. Ershova, A., Shilin, M., Abramov, V., et al.: Environment survey of northwest Russia population health. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.2, pp. 347–354 (2019) 11. Lednova, J., Chusov, A., Shilin, M.: Ecological assessment of dredging in the Eastern Gulf of Finland. Paper presented at the “Ocean: Past, Present and Future” - 2012 IEEE/OES Baltic international symposium, BALTIC 2012, p. 6249169 (2012). https://doi.org/10.1109/BAL TIC.2012.6249169 12. Lednova, J., Gogoberidze, G., Zhigulsky, V., et al.: Environmental indicator approach for dredging. Paper presented at the 14th MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2019, vol. 1, pp. 161–172 (2019) 13. Lednova, J., Chusov, A., Shilin, M.: Eco-monitoring of dredging in the Gulf of Finland. Paper presented at the 10th global congress on ICM: Lessons Learned to Address New Challenges, EMECS 2013 - MEDCOAST 2013 joint conference, vol. 2, pp. 1024–1034 (2013) 14. Istomin, E.P., Abramov, V.M., Lepeshkin, O.M., et al.: Web-based tools for natural risk management while large environmental projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, pp. 953–960 (2019)
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15. Sokolov, A., Abramov, V., Istomin, E., et al.: Digital transformation of risk management for natural-industrial systems while climate change. IOP Conf. Ser.: Mater. Sci. Eng. 940(1), 012003 (2020) 16. Lukyanov, S.V., Abramov, V.M., Averkiev, A.S., et al.: Innovative technologies for geoinformation management while hydraulic structures survey. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 7112–7122 (2019) 17. Karlin, L.N., Abramov, V.M., Ovsiannikov, A.A.: The temporal structure of the iceberg hazard in the central part of the Barents Sea. Oceanology 49(3), 327 (2009) 18. Ershova, A., Shilin, M., Zhigulsky, V., et al.: Environmental Safety of the Nord Stream 2 Marine Gas Pipeline (Russian Section). Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634858 (2018). https://doi. org/10.1109/BALTIC.2018.8634858 19. Fedorov, M.P., Shilin, M.B.: Ecological safety of tidal-power projects. Power Technol. Eng. 44(2), 117–121 (2010) 20. Burlov, V.G., Abramov, V.M., Tatarnikova, T.M.: Digital technologies development for geoinformation support of techno-sphere security in Arctic and Subarctic. IOP Conf. Ser.: Earth Environ. Sci. 666(5), 052076 (2021). https://doi.org/10.1088/1755-1315/666/5/052076 21. Eremina, T., Ershova, A., Martin, G., Shilin, M.: Marine litter monitoring: review for the Gulf of Finland coast. Paper presented at the 2018 IEEE/OES Baltic international symposium, BALTIC 2018, 4 February 2019, p. 8634860 (2019). https://doi.org/10.1109/BALTIC.2018. 8634860 22. Bobylev, N., Chusov, A., Shilin, M., et al.: Long-term monitoring of the dredged material deposit sites in the Eastern Gulf of Finland. E3S Web Conf. 16, 01010 (2020). https://doi. org/10.1051/e3sconf/202016401010 23. Vasil’ev, Y.S., Maslikov, V.I., Shilin, M.B., et al.: New challenges and possibilities of hydroelectric power plants in combating pollution of watercourses by floating debris. Power Technol. Eng. 53(3), 314–318 (2019) 24. Kouzov, S., Shilin, M., Chusov, A., Lednova, J.: Variety and vulnerability of waterbird community in the eastern part of the Gulf of Finland in the zone of «Nord Stream» marine gas pipeline. Paper presented at the “Measuring and Modeling of Multi-Scale Interactions in the Marine Environment” - IEEE/OES Baltic international symposium 2014, BALTIC 2014, p. 6887863 (2014). https://doi.org/10.1109/BALTIC.2014.6887863 25. Mikheev, V., Shilin, M., Abramov, V., et al.: Study protected nature areas implication to ecological stabilization near port of Bronka. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 5.2, pp. 701–707 (2019) 26. Kouzov, S., Chusov, A., Lednova, J., et al.: Nature protected area as compensation action. Paper presented at the 13th international MEDCOAST congress on coastal and marine sciences, engineering, management and conservation, MEDCOAST 2017, vol. 1, pp. 257–268 (2017) 27. Gogoberidze, G., Zhigulsky, V., Shilin, M., et al.: System effect analysis of the port of sabetta impact on the coastal zone of the gulf of ob: Case of an “eco-friendly” maritime object in the Arctic. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 17, issue 52, pp. 935–942 (2017) 28. Istomin, E.P., Sokolov, A.G., Abramov, V.M., et al.: Application of blockchain and big data technologies within geo-information support for arctic projects. Paper presented at the international multidisciplinary scientific geoconference surveying geology and mining ecology management, SGEM, vol. 19, issue 2.1, pp. 753–759 (2019)
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29. Popov, N., Istomin, E., Popova, A., et al.: Blockchain and big data technologies within geoinformation support for arctic projects. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020 2019, pp. 8575–8579 (2019) 30. Sokolov, A., Fokicheva, A., Abramov, V., et al.: Machine learning with digital generators for training sets including proteins modeling in the context of big data and blockchain technologies. Paper presented at the 33rd International Business Information Management Association conference, IBIMA 2019: Education Excellence and Innovation Management through Vision 2020, pp. 8638–8642 (2019)
GIS Conceptual Model as a Modern Tool in the Arctic Navigation Artem Sidorenko , Yaroslav Petrov(B) , Evgeniy Istomin , Sergey Stepanov , and Irma Martyn Russian State Hydrometeorological University, 79, Voronezhskaya Street, St. Petersburg 192007, Russian Federation
Abstract. The work is devoted to the implementation of a conceptual model of a geographic information system, in which predictive geodata processed through optimal filters are used as the basic data. Analysis of the existing automated and geoinformation systems showed the absence of free software and information systems highly specialized in the transport component of the Arctic zone. In particular, the absence of systems was noted, the basic part of which is predictive data, according to which the navigation route is built in the future. In order to design a detailed algorithm of the concept, an activity diagram was synthesized in the unified modeling language UML. The options for obtaining hydrometeorological data for the future model are described. Four recursive algorithms were used as algorithmic research methods (Kalman, Kalman-Bucy, Levinson-Durbin, “Hybrid”), later implemented as independent language libraries. The result of approbation is the implemented concept of the system, presented in the form of a graphical interface, which depicts the route of the vessel’s navigation by points, the binding of which is carried out thanks to predictive data. Keywords: Kalman – Bucy · The Northern sea route · Arctic region · The optimal filters · Sea ice concentration · Water transport logistics · Hydrometeorological situation · Geodata · Recursion
1 Introduction The Arctic is a unique region on Earth, connecting a number of states, the territory of which is one and a half times larger than the Russian Federation. The approximate area of the Arctic is 21 million square kilometers. More significant expeditions to explore the region began in the middle of the seventeenth century, after which, to this day, the Arctic region is constantly developing in all areas of activity. In recent decades, the Arctic has been a close object of many states, both bordering directly on the region, and countries claiming certain parts. Transport links, both international and within the country, are highly dependent on the isolated geolocation of the Arctic sectors. Due to its geographical location, the Arctic for the most part is not a continental zone, but a marine and oceanic component, the predominant part of which is ice strata. It should be noted that the sea area is a free economic zone, that is, it does not belong © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1273–1280, 2022. https://doi.org/10.1007/978-3-030-96380-4_141
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to any of the states. Hence, it follows that the main transport routes are sea routes, and, therefore, navigation in polar waters requires constant research and comprehensive development. Both several centuries ago and in modern times, navigation in shipping cannot be imagined without cartographic methods, which have been applied in more universal models, such as GIS (Geographic Information Systems). After analyzing the field of polar navigation, it is obvious that the existing system of providing hydrometeorological data, including forecast data, has many shortcomings and flaws, which in turn affect the safety of navigation, the speed of ships, the ecological situation, as well as the development of the infrastructure of the motorways. These criteria negatively affect the future of the transport arteries and undoubtedly require scientific innovations. Since one of the key factors on which others depend is hydrometeorological data (HMD), in particular the forecast data section, there is a demand for GIS, the structure of which includes this kind of data. After researching a variety of sources, software (software) on the market, we can conclude that today there is no GIS aimed at a highly specialized study of the Arctic region, while using the navigation functionality of forming routes for ships in polar ice, relying on predictive HMD [1]. Thus, in order to facilitate navigation in the Arctic, the development of a new conceptual GIS model based on predictive HMD is an urgent task [2–4]. The development of the model should include both a number of theoretical aspects and a voluminous knowledge base, and directly the practical part of the implementation of the model itself based on the mathematical apparatus, including a section of approbation implemented by GIS, taking into account real statistical data. As the main research questions aimed at the implementation of NaviGIS, it is necessary to identify the main future functions and capabilities of such a system (Fig. 1). The proposed model is abstract and reflects the basic form of the structural functions of the system that are understandable to the end user. Also on the diagram, you can observe the generalized behavior of the components of the information system (IS). Having implemented the generalized structural elements of the future model, we will designate the main objectives of the study: 1. IS design, during which it is necessary to describe in detail the behavior of the IS functionality, interaction with the consumer and external sources. 2. Determination of interaction with a geodata source, which can be archives on a local computer and data connected from the external environment. 3. Determine the algorithm for predicting geodata, on the basis of which, a navigation route is built for three points of travel. 4. The developed model must meet the requirements of component integration, that is, each component (functionality) of the system must be implemented as a plug-in library. 5. The output of the results in the form of a route on the map is based on the obtained predictive geodata in combination with a connected cartography system and a specialized geoalgorithm
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Fig. 1. Use-case diagram of NaviGIS.
2 Research Materials and Methods Figure 2 shows an activity diagram implemented in the UML language. The presented UML model reflects the dynamic dependence of the response of the system to the behavior of user activity. The relationship of future functional units and components of conceptual GIS model is shown. It is understood that HMD entering the system can be integrated by two sources: – archived local data in the form of “.xlsx” file; – geodata synchronized with the International Research Institute for Climate and Society (IRI) data library. As an algorithm, it is proposed to use an integrated module - a software library that allows you to choose the mathematical apparatus for predictive data processing. Based on the sources [5–9], the central mathematical models will be motivated models of optimal filters, including the recursive algorithms of Kalman, Levinson and their hybrid state. We omit the proofs and transformations and consider the main provisions of the modified algorithms: 1. The Kalman filter is based on a two-stage modified state (forecast and its correction), the calculations of which are described by formulas 1–5:
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Fig. 2. Activity diagram.
– Prediction:
x = Fxk−1 ,
(1)
P k = F 2 Pk−1 + Q
(2)
where F is a matrix describing the dynamics of the system, in our case with a natural system, the dynamics has a stochastic character, so we take this variable equal to 1; where xk — the predicted state on k step; Q - determining the process noise is more difficult because it is required to determine the variance of the process, which is not always possible. In any case, you can choose this parameter to provide the required level of filtration; xk−1 — the value of the system in the previous step; Pk — error prediction covariance matrix.
– Correction:
Kk =
H Pk
H 2 Pk + R xk = xk + Kk zk − H xk
(3)
(4)
Pk = (1 − Kk H )P k
(5)
where H is a matrix that defines the relationship between measurements and system state;R - measurement error; Kk is an auxiliary coefficient, xk is the corrected
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forecast of the system state, Pk is the corrected forecast error, zk is the value of the current measurement of the system state. 2. The basic relations defining the Kalman - Bucy filter are as follows: xt+1 = xt + Wt (zt − Pt xt )
(6)
−1 Wt = Kt PtT Pt Kt PtT + Rt Kt+1 = Kt − Wt Pt Kt
(7)
where xt+1 - predicted at a point in time t + 1 according to the results of observations available by this time, the estimate x (conditional mathematical expectation x); xt - predicted at a point in time t score x; Kt - vector component covariance matrix xt ; Kt+1 - vector component covariance matrix xt+1 ; Wt - filter transfer matrix; zt observation results y(t) in the moment t; Rt - measurement error covariance matrix εt . To implement the mathematical apparatus of forecasting, a priori estimates of mathematical expectations are used - the coefficients aij , their covariance matrix, control results y(t) and measurement error covariance matrix. A simplified model of equations is: y(t) = A · F(t) 3. The basic relations defining the Levinson-Durbin filter are as follows: ⎡ ⎤ ⎤ ⎡
Ek + λ kj=0 aj Rk+1−j 1 ⎡ ⎤ ⎥ ⎥ ⎢ R0 R1 · · · Rk ⎢ 0 ⎢ a1 + λak ⎥ ⎢ ⎥ ⎢ ⎢ ⎥ ⎥ ⎢ R1 R0 · · · Rk−1 ⎥⎢ a2 + λak1 ⎥ ⎢ 0 ⎥ ⎢ ⎥⎢ ⎢ ⎥ ⎥ = ⎢ . ⎥⎢ . . . . . ⎢ ⎥ ⎥ .. . . .. ⎦⎢ .. .. ⎣ .. ⎥ ⎥ ⎢ ⎢ ⎥ ⎥ ⎢ ⎦ Rk Rk−1 · · · R0 ⎣ ak + λa1 ⎦ ⎣ 0
k λ a R + λE k j=0 j k+1−j
(8)
(9)
where k- coefficients to be calculated; ai - i-th multi-pole model coefficient (vector containing linear prediction coding coefficients); E - transition matrices; y- step of the forthcoming calculation; λ- transition correlation coefficient; R - autocorrelation coefficient between the corresponding states of the system. Correction of the matrix of transition coefficients has the expression: Ek+1 = Ek + λ
k j=0
aj Rk+1−j = (1 − λ2 )Ek
(10)
4. A hybrid filter based on the Kalman and Levinson algorithms. The implementation of the hybrid filter model is based on two independent algorithms, while a new combined mathematical algorithm is not being developed.
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The splicing of two digital filter models (Kalman and Levinson) is purely software driven. The combined filter is based on an algorithm in which the processes of the implemented filters work sequentially. So, when submitting geodata to the input, the program will determine the sequence for connecting one or another filter. So if zero values are fed to the input, or values that cannot be adjusted by the Levinson-Durbin filter, then the switch to the Kalaman-Bucy filter occurs. The algorithm then runs exclusively through the last installed filter. After the filter has finished calculating, the resulting data is fed to the input of a previously unused filter for further correction. Observing the necessary conditions of the output data and supplying a voluminous amount of information to the input, the Levinson-Durbin filter is connected, and further processing takes place exactly the opposite.
3 Research Result Having investigated the necessary functionality of conceptual GIS model having identified the fundamental algorithms, we implement the IS on a computer using the highlevel object-oriented programming language C Sharp (C #), in the MS Visual Studio Community 2019 environment. As noted earlier, each individual algorithm of the system is implemented in the form of a structured plug-in library (extension “.dll”), which in turn allows flexible control of the model, at any stage of the experiment to change (add or remove) functionality. During the implementation of NaviGIS, the following libraries are involved: – – – – – –
KalmanProcessor.dll (Kalman filter); LevinsonDurbinProcessor.dll (Levinson filter); KalmanLevinsonProcessor.dll (Hybrid filter); KalmanBucyProcessor.dll (Kalman-Bucy filter); ProcessingBase.dll (geodata processing program); GeoMap.dll (an auxiliary module of the map service that allows you to select cartographic layers, as well as to make a coordinate reference of heterogeneous geodata); – MathNet.Numerics.dll (module for analytical and mathematical data processing). As an experiment of NaviGIS, as a model for facilitating navigation in the Arctic, we will submit geodata from the IRI resource to the input of the implemented software. Geodata are indicators of sea ice concentration as a percentage, sampled at three points (E81.5°, N74.5°; E88.5°, N76.5°; E100.5°, N77.5°) in the Kara Sea. Consider the result of the resulting program. The analysis of the approbation results showed that at the initiation of the software, on the cartographic layer, the specified geospatial coordinates are anchored, connected by the navigation path, in the form of a red line, while around each point there is a polygon painted with a special gradient. Gradient snapping is done via raster geospatial coordinates, reflected in a scalable polygon mesh. This synthesis is carried out due to the presence of interconnection of polygons in the grid and independent variables (also
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in the form of a grid), formed when sampling data in the IRI library. Further, having a coordinated cartographic layer, reflected in the form of a set of polygons or a grid, and also having data presented in the form of similar geospatial coordinates, at the program level, due to the high-level programming language C#, a gradient is synthesized (a point is painted over) at a point, according to equal coordinates both grids (Fig. 3).
Fig. 3. Result of approbation.
4 Conclusions The results of the implemented NaviGIS are very interesting. The connecting route between the points, shown by the red line, is software-generated and only reflects the essence of the algorithm. The model assumes that the route consists of a giant set of spatial geographic coordinates, represented as points. As is already known, each point has a color gradient of one or another parameter, visually reflecting the prognostic data. Accordingly, if we take a number of points located at sufficient proximity for polygonal filling, the navigation line of the route will pass through the polygons, the gradient of which is favorable, relative to the parameter under study, for the passage of the vessel. The segment between the points is a design representation of the model’s operation, as the coordinate points increase, the accuracy of the control system for hydrometeorological support of navigation on the route increases. The solution to use predictive GIS data based on optimal filters to aid Arctic navigation is very new and has not been previously explored [10–15]. It is necessary to study in more detail the errors, the nature of which can be detected in the operation of filters and directly in the code of the NaviGIS software.
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References 1. Istomin, E., Martyn, I., Petrov, Y., et al.: Study of intra-day dynamics of currents in the area of the navigable strait of Baltiysk to adjust the movement of water transport. IOP Conf. Ser.: Mater. Sci. Eng. 817(1), 012013 (2020) 2. Petrov, Y., Istomin, E., Stepanov, S., et al.: Development of a conceptual GIS model to support management decision making. IOP Conf. Ser.: Earth Environ. Sci. 574(1), 012062 (2020) 3. Sidorenko, A., Stepanov, S., Petrov, Y., Martyn, I.: Application of a remote sensing data processing method for assessment ice cohesion in the Arctic navigation. IOP Conf. Ser.: Earth Environ. Sci. 539(1), 012128 (2020) 4. Istomin, E., Sidorenko, A., Stepanov, S., et al.: Application of Kalman-Bucy filter for vessel traffic control systems in the northern sea route. IOP Conf. Ser.: Mater. Sci. Eng. 817(1), 012012 (2020) 5. Frazho, A.E.K.: Levinson Filtering. A&AE 567 Lecture Notes, Purdue University 6. Speakman, N.O., Bullock, T.E.: Kalman filter design using the Levinson algorithm and output statistics. Paper presented at the 23rd IEEE Conference on Decision and Control, pp. 530–531. Las Vegas, NV, USA (1984). https://doi.org/10.1109/CDC.1984.272053 7. Wang, G., Wu, Z.: Kalman–Bucy filtering equations of forwardand backward stochastic systems and applications to recursiveoptimal control problems. J. Math. Anal. Appl. 342(2), 1280–1296 (2008) 8. Aravkin, A.Y. et al.: Algorithms for Block Tridiagonal Systems: StabilityResults for Generalized Kalman Smoothing. IFAC PapersOnLine 54(7), 821–826 (2021) 9. Sharma, S., et al.: Fringe pattern normalization algorithm using Kalman filter. Res. Opt. 5, 100152 (2021) 10. Tatarnikova, T., Stepanov, S., Petrov, Y., et al.: A conceptual model for geodata processing for sustainable forest management. IOP Conf. Ser.: Earth Environ. Sci. 507(1), 012029 (2020) 11. Evtyukov, S., et al.: Solutions to the main transportation problems in the Arctic zone of the Russian Federation. Transp. Res. Procedia 57, 154–162 (2021) 12. Istomin, E., Petrov, Y., Stepanov, S., et al.: About the methodology of geo-risk management in forestry. IOP Conf. Ser.: Earth Environ. Sci. 507(1), 012006 (2020) 13. Baskov, V., et al.: Analysis of natural and climatic as well as road conditions in the territories of the Russian Arctic zone. Transp. Res. Procedia 5, 63–69 (2021) 14. Stevenson, T.C., et al.: An examination of trans-Arctic vessel routing in the Central Arctic Ocean. Marine Pol. 100, 83–89 (2019) 15. Makarova, I., et al.: Economic and environmental aspects of the development possibilities for the northern sea route. Transp. Res.s Procedia 57, 347–355 (2021)
Management of the Airport Security Process Based on the Conservation Law of the Object’s Integrity Vyacheslav Burlov1(B) , Vitaly Gryzunov2 , Alina Koryakina3 and Daria Ukraintseva2
,
1 Admiral Makarov State University of Maritime and Inland Shipping,
5/7 Dvinskaya Av, St. Petersburg 198035, Russia 2 Russian State Hydrometeorological University (RSHU),
3 Metallists Av, St. Petersburg 195027, Russia 3 Peter the Great St.Petersburg Polytechnic University,
29 Polytechnic Av, St. Petersburg 195251, Russia
Abstract. The development of aviation and the increase in passenger traffic flow leads to increased threats to the safety of air transportation, which plunges the airport security system into a contradictory situation: it is necessary to reduce the time for detecting and neutralizing security threats with an increasing number of controlled parameters. The composition of the response time to emerging threats to the airport is presented in the study based on a mathematical model of a management decision using the Kolmogorov-Chapman differential equations. The model includes three components: the time of threat formation, the time of threat detection and recognition and the time of threat neutralization. Keywords: Geoinformation system · Information security · Air transportation security · The conservation law of integrity
1 Introduction The aviation industry is rapidly growing as the preferred type of passenger transportation [1]. For example, in the United States in 2017, domestic air traffic exceeded a record value of 741.6 million passengers, and this figure continues to grow [2]. It is predicted that in 12 years, about 6 billion people a year will travel around the world using airplanes [3]. An airport is a mandatory part of air transportation. To guarantee the safety of air transportation is one of the most important functions of the airport [4]. Security is understood as a set of measures, as well as human and material resources intended to protect civil aviation from acts of criminal interference, which include, according to the National Standard of the Russian Federation GOST R 55584–2013: – illegal seizure of aircraft in flight; – illegal seizure of aircraft on the ground; © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1281–1289, 2022. https://doi.org/10.1007/978-3-030-96380-4_142
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– hostage-taking on board aircraft or at airfields; – forcible entry on board aircraft, into an airport or the location of an air navigation facility or a civil aviation service; – placing weapons, dangerous devices or material intended for criminal purposes on board aircraft or at an airport; – the communication of false information that jeopardizes the safety of the aircraft in flight and on the ground, passengers, crew members, ground personnel or the public at the airport or the location of an air navigation facility or civil aviation service. The positive dynamics of aviation development and the increase in passenger traffic flow leads to an increase of security threats. Comparing the above list in 1990, it can be noted that it has increased, and with the increase of passenger traffic flow it will increase in the future [1]. The use of computer systems adds new threats to the software and hardware of the airport [5], and even to the staff [6]. Many researchers believe that the growth of computerization causes potential problems of privacy, ethics and cybersecurity [7]. Increasing passenger traffic and expanding the range of threats requires the security system to control more and more parameters and do it faster and more accurately. Today’s security systems have technical, regulatory and organizational limitations that do not allow satisfying the increasing requirements. This contradiction can be solved by synthesizing airport security systems based on the conservation law the object integrity (CLOI) – a stable, objective, repetitive connection of the properties of the object and the properties of its actions with a fixed goal of the object [8]. CLOI allows us to develop an analytical security model, which is not enough for modern specialists [9].
2 Materials and Methods An important part and the decision-maker (DM) in the airport’s aviation security system is the head of airport security, he is the one, who is responsible for organizing aviation security events. Together with the General Director, he monitors the implementation of all tasks assigned to the security system to identify and eliminate threats and makes appropriate decisions. Management decisions are at the head of any developed and taken measures, and the success of their implementation and the achievement of the goals, set by the organization, depends on how competently and promptly they were taken [8]. Such a decision is made on the basis of incoming data from operators and employees via internal communication channels, which causes time delays at all stages of the response. To create a solution model for the DM and other employees, a natural-scientific approach (hereinafter referred to as the NSA) was used in the study. The NSA is implemented through three main principles: the principle of the three-component nature of cognition; the principle of the world’s integrity (implemented through the CLOI); the principle of the world’s cogniscibility. The principle of three-component cognition consists in the fact that a person, consciously or not, develops a solution in three levels of representation of the situation. Thus, in the case of regular operation of the security system, the employee works with the categories “object”, “action” and “purpose”. It is also important to take into account that these components are interpreted in three levels of cognition – abstract, abstract-concrete and concrete. These statements form the structure of the concept of “management decision” (Fig. 1).
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Management decision
properties
methodological level
methodical level
technological level
Objectivity
Integrity
Variability
Object
Purpose
Action
Problem
Problem elimination
Problem identification
Situation
Decision (implementation of object purpose
Information and analysis work
Fig. 1. Block diagram deployment of the concept’s content “management decision”
Figure 1 shows that an employee learns the world through three basic properties. This is objectivity, integrity, variability. The DM works with the “process” category. Therefore, the solution is presented at the methodological level as a process in the form of interrelated components “object”, “action”,"purpose”. At the methodological level,” object “corresponds to “problem”. “Action” corresponds to “identification of the problem”, because “identification” is based on the identification of the fact of the manifestation of energy. The” purpose “corresponds to” neutralizing the problem”. As neutralization is possible only if the results of the “identification” match the essence of the “problem”. This confirms the fact of identifying cause-and-effect relationships. At the technological level, the “solution” as a “process” is represented as a connection of three components. These are “situation”, “information and analytical work”, “ solution “(a condition for the implementation of the control object) [10]. Each component of decision-making is determined by its own time interval.
3 Results and Discussion When there is a danger, one of the main parameters of the security system is the responsiveness, so let’s consider a model that shows exactly the time characteristics. The response time (Ta) includes the following components that are independent of each other and exist in parallel: the time of threat manifestation (tg), the time of threat identification (tr) and the time of threat neutralization (tn): Ta ≤ tg + tr + tn
(1)
The time of threat manifestation (tg) shows the rate of occurrence of various types of threats at the airport that directly affect the safety of passengers. The identification time (tr) shows how quickly the threat was detected by the security service’s observing systems (directly from data received from sensors or from employees). The neutralization time (tn) is an indicator of a direct response to a threat, which may include time for the involvement of various law enforcement agencies and technicians, the making of a management decision by the head and the elimination of the thunderstorm itself. The above components characterize the response time (action) (Ta) to the threat that has arisen, i.e. the speed of making a management decision and the implementation of
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measures with the security service units to neutralize the threat. The correlated elements of the management decision-making model relative to each other can be as follows (Fig. 2):
Fig. 2. Diagram manifestation of the basic elements of the solution model formation
Time intervals characterize the stages of interaction of the airport security service with any threat, which, from the point of view of the mathematical model of the management decision, correspond to the states of the system. The block diagram of the manager’s work is shown in Fig. 3.
Fig. 3. Block diagram of the security management process
The shown model fully describes the principle of the manager’s work when making a management decision as a combination of the main characteristics of processes related to time parameters. Summing up, we can bring the concept of “management decision” into a mathematical model that establishes the dependence of the conditions on the control object, the information and analytical work carried out in order to make a decision and, finally, solve the problem [10]. This determines the main components of creating a manager’s decision, which, in turn, determines the work of the security system at each of the stages of interaction with the threat (the process of threat formation, the process of identifying the threat, the process of neutralizing the threat). Separately, the security system can be in four states and is described using a system of Kolmogorov-Chapman differential equations (Fig. 4). In the course of the activity, a certain order of actions is performed, which can be performed with sufficient information support, as well as with certain capabilities. Based on this, the security system is in four main states:
Management of the Airport Security Process ν2
A00 ν1
λ
A10
A01 λ
ν2
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Fig. 4. Graph of security system states
– state “ A00 ”. A state that does not require any further actions. During operation, the system switches to the “ A01 ” state for t g ; – state “ A01 ”. The state in which the system has recognized a “standard” threat for t r , i.e. a threat that the system “knows” how to neutralize; – state “ A10 ”. A state that describes an emergency situation, i.e. a situation in which there is no template response to a threat; – state “ A11 ”. The threat was neutralized during t n .
Fig. 5. The probability of catching the airport in a state when all threats are found and neutralized (P00 )
The solution of the system of equations with respect to the state of regular safe functioning of A00 that interests us is the expression: P00 =
ν1 ν2 λ(λ + ν1 + ν2 ) + ν1 ν2
(2)
where P00 is the probability that all emerging threats are found and neutralized at the airport; λ = 1/tg –threat generation intensity; ν1 = 1/tr – threat recognition intensity; ν2 = 1/tn – threat neutralization intensity. Threats are generated by external circumstances, which means that the intensity of threat formation λ does not depend on the airport security system. Let’s assume that the intensities of recognizing and neutralizing the threat are approximately the same ν1 = ν2 = ν, and we will graph (Fig. 5) the expression (2).
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It follows from expression (2) that the probability of the airport being in a state that does not require any additional actions (P00) is P00 = 0.79, it is necessary that the times of detection and response to a threat are 8 times less than the time of threat formation, for P00 = 0.903 – 19 times, for P00 = 0.949 – 38 times. The airport security system can not affect the time of the threat manifestation in any way, so we will only consider ways to reduce the recognition and neutralization times.
4 Reducing the Time for Recognizing an Airport Threat The time of threat recognition is affected by the rate of data’s arrival about the current situation to the decision-maker (DM) and the quality of such data. The fastest data arrival can be when they are directly transmitted from the source (sensor) to a single system, where information from each security system device will be displayed. So it is proposed to consider two more methods: the introduction of an integrated security system and the use of geoinformation systems. The meaning of an integrated security system is reduced to combining various structural elements of the system and technical means into a single information environment with a single database [11]. This involves complex automation of most processes: from the work of operators to coordination with services. This system can reduce the probability of an error on the part of the operator at the inspection point and reduce resources, since an experienced employee will only be needed in the monitoring center as a controlling link. However, the maximum transfer of functions to computer technology cannot reduce the probability of ambivalent interpretation or error to a minimum, as mentioned above, so it will not be possible to exclude completely the work of operators. In addition, significant amounts of incoming data are not sufficiently structured, which also introduces certain difficulties in the process of neutralizing the threat. The geoinformation system (GIS) allows you to combine the main advantages of this method and the connection of space-time coordinates. In case of any incident or incident, the whole picture of what is happening at the facility is recorded in real time and transmitted to a single map, which significantly reduces the response time to the threat and the time to neutralize it. This determines the main advantage of using geoinformation systems over other methods. A geographic information system (GIS) is a system that processes spatial data. GIS has become an integral part of a modern airport, which integrates all its services [12]. GIS functions in various configurations, but the main ones are a desktop mapping program, on the basis of which security processes are monitored and managed from the control room, and a web application that allows the head of the security service to track the state of the object at any time from a mobile device and make the most competent management decision [13]. Previously, the main part of communication between employees who work directly in the airport terminal and the managing staff is carried out mainly through the means of communication that they are provided with, namely telephone calls and two-way radio communication. In case of any incident, airport employees transmit information to dispatchers and management personnel, and those, in turn, to the necessary technicians. Thus, everything is carried out at the level of calls, which significantly increases the
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response time to any threat and its neutralization. Therefore, the use of such a system as GIS will allow the most effective management of the security of the airport territory and objects on it due to constant situational awareness. In addition, GIS accurately determines the coordinates of objects, the area of plots and territories and allows you to conduct a comprehensive analysis of controlled objects and generate the most up-to-date information about the necessary characteristics. In them, you can link and track the status of all structural elements of the security system, including the movement of employees around the object. The quality of the DM’s supplied data depends on the composition of the sensors that monitor the situation at the airport. A large number of sensors are integrated with GIS, the data from which is difficult to process manually, using only personnel: – video surveillance system; – technical means of inspection: • scanners (introscopes); • analyzers and detectors (gas analyzers, intelligent motion detectors, metal detectors, contactless analyzers); – channels of communication with other bodies, such as the Ministry of Emergency Situations, in case of emergency situations that may become a threat to the security of the airport.
5 Reducing the Time to Neutralize the Threat of the Airport One of the main factors in neutralizing the threat of the airport is the ability to manage passenger traffic flow, eliminate panic and evacuate passengers to safe places. To assess the situation and make a decision on evacuation, it is especially important to understand how passengers and employees are distributed throughout the airport. Objective data about this is most clearly provided using GIS. Proper placement of sensors that supply data to GIS allows you to effectively strengthen monitoring and record the movements of passengers. In some airports where GIS is implemented, the location of employees is already displayed on the maps, which allows us to draw conclusions about their movements and the time of performing some work operations. So on GIS maps, in addition to employees and sensors, it is possible to track the movements of passengers, which helps to identify potentially dangerous individuals and prevent illegal actions in the root. Of course, this will require an additional device, which is a sensor capable of transmitting coordinates in real time for a long time (about 3 h), while the passenger goes through all the necessary inspection procedures and waits for boarding the flight. Functionally, it can be imagined as a small remote control that a passenger could receive at the entrance to the airport, keep with him all the time when he is on the territory of the airport terminal, and then hand over during boarding the aircraft. It would also be possible to place emergency response buttons and call an airport employee if a passenger has any difficulties or a threat. Such a technology would allow to improve the response time and the security system as a whole, as far as
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possible, while not contacting the passenger’s personal data, for the theft of which he could worry, as, for example, by using artificial intelligence. The developed model can be used in other models of airport security, for example, for airport risk management [14]. The urgent need of a modern airport to display a large amount of data in real time [15] gives reason to believe that in the future GIS will integrate not only the airport security service, but also other services of the entire airport complex, which will improve the functional indicators of the airport as a whole.
6 Conclusion The effectiveness of the airport security service can be assessed using the threat response time. For this purpose, the management decision of the head of the security service is presented as a model of the process in which the system under consideration achieves its goal – ensuring the safe functioning of the airport. The model is based on the conservation law of the object‘s integrity. The main parameter of the model is the response time to threats. This time is the sum of the times of the manifestation of the threat, its identification and neutralization. Consequently, the reduction of any of the component times reduces the overall response time, which means that it increases the efficiency of the airport security service. The response time can be reduced by using a geoinformation system, since it allows you to receive data from all sensors and operators in a single information environment, and also connects spatio-temporal coordinates, as a result of which all information and the situation are mapped and broadcast in real time. This allows you to display the real picture of what is happening in the airport terminal and evaluate it most reliably, thereby the head of the security service gets the opportunity to make a competent management decision and take the necessary measures most quickly. In the future, the use of GIS can not only improve the performance of the airport security service, but also expand the monitoring capabilities in order to reduce used resources, improve the quality of passenger service and prevent any illegal actions even before they are carried out. Acknowledgements. The reported study was funded by Russian Ministry of Science (information security), project № 08/2020.
References 1. Wong, S., Brooks, N.: Evolving risk-based security: a review of current issues and emerging trends impacting security screening in the aviation industry. J. Air Transp. Manag. 48, 60–64 (2015). https://doi.org/10.1016/j.jairtraman.2015.06.013 2. Official site of the Bureau of Transportation Statistics of the United States Department of Transportation. [Electronic resource]. https://www.bts.gov/product/geospatial-applicationand-map-gallery/. Accessed on 24 June 2021 3. Metzner, N.: Simulation based analysis of airport terminal resilience with a generic terminal model. Paper presented at the AIAA AVIATION 2020 FORUM, 1 PartF (2020). https://doi. org/10.2514/6.2020-2917
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4. Elisov, L., Ovchenkov, N., Gorbachenko, V.: The paradoxes of aviation security and some approaches to their formal description. Transp. Res. Proc. 54, 726–732 (2021). https://doi. org/10.1016/j.trpro.2021.02.126 5. Burlov, V.G., Gryzunov, V.V., Tatarnikova, T.M.: Threats of information security in the application of GIS in the interests of the digital economy. J. Phys.: Conf. Ser. 1703, 012023 (2020). https://doi.org/10.1088/1742-6596/1703/1/012023 6. Gryzunov, V.V., Bondarenko, I.Y.: A social engineer in terms of control theory. In: Proceedings of the 3rd International Conference Ergo-2018: Human Factors in Complex Technical Systems and Environments, Ergo 2018, St. Petersburg, pp. 202–204 (2018). https://doi.org/10.1109/ ERGO.2018.8443835 7. Sydorenko, V., et al.: Experimental FMECA-based Assessing of the Critical Information Infrastructure Importance in Aviation. ICTERI Workshops, pp. 136–156 (2020) 8. Andreev, A.V., Burlov, V.G., Grachev, M.I: Information technologies and synthesis of the management process model in the enterprise. In: International Science and Technology Conference” EastConf”, IEEE, pp. 1–5 (2019). https://doi.org/10.1109/EastConf.2019.872 5428 9. Zhao, C., et al.: Design of risk monitoring and prediction system for resource security management. In: Proceedings of the 4th ACM SIGSPATIAL International Workshop on Safety and Resilience, pp. 1–4 (2018). https://doi.org/10.1145/3284103.3284109 10. Ukraintceva, D.A., et al.: Security management at facilities vulnerable to attack model development. IOP Conf. Ser.: Mat. Sci. Eng. 1100(1), 012044 (2021). https://doi.org/10.1088/ 1757-899X/1100/1/012044 11. Kochkarov, A.A., et al.: Comprehensive method of information resources control ensuring the security of telecommunication systems of aviation monitoring complexes. Russ. Aeronautics 63(2), 347–356 (2020). https://doi.org/10.3103/S1068799820020233 12. Anwer, A.M., Ibraheem, A.T.: Conceptual vision of airport geographic information system (AGIS). Eur. Scient. J. 10(10) (2014) 13. Sanyasinaidu, D.: GIS and remote sensing as tool to develop applications for natural resource management. J. Remote Sens. GIS Techn. 3(3) (2017) 14. Asllani, A., Lari, A., Lari, N.: Strengthening information technology security through the failure modes and effects analysis approach. Int. J. Qual. Innov. 4(1), 1–14 (2018). https:// doi.org/10.1186/s40887-018-0025-1 15. Chingchuang, C., Ono, K., Watanabe, M.: The study on the information architecture for the future airport information system. A case study of Suvarnabhumi Airport and Don Muang Airport in Thailand. J. Sci. Des. 5(1), 1_87–1_96 (2021)
Selection of the Ship’s Propulsion Complex Taking into Account the Criteria of Energy Efficiency of the Ship Power Plant Vladimir Gavrilov
and Vladimir Zhukov(B)
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 Saint-Petersburg, Russia [email protected]
Abstract. The main criterion for the modernization and design of ships is their energy efficiency. The paper describes the method of selecting the composition and main parameters of the propulsive complex of a marine transport ship, and suggests criteria for evaluating this choice. The most important criteria from the point of view of energy efficiency of ship power plants are determined. Using this technique, the problem of choosing the number of propeller shafts in the design of high-speed transport ships is solved. The problem is solved in relation to the RO-RO ship of the “Sergey Kirov” type (design speed of 17 knots) and the FESCO container ship Baikal (design speed of 22 knots). As criteria for evaluating design solutions, a set of values is used: the propulsive coefficient, the hourly fuel consumption in the main engines and the total cost of funds for the purchase and operation of the main engines during the estimated period. Keywords: Energy efficiency of ship power plants · Propulsive complex · Parameters of the propulsive complex · Design methodology · Criteria for evaluating design solutions · Number of propeller shafts
1 Introduction The main criterion for the rationality of decisions taken when designing new ships for various purposes is their energy efficiency, estimated for newly built ships by the value of the design (constructive) energy efficiency design index (EEDI) [1], determined by the formula: (MPFC CF ) weightCO2 . EEDI = , AP T · km where MPFC - is the project fuel consumption (PFC) by all ship’s energy consumers, kg of fuel/ voyage; AP— is the project work performed by the ship, t·km/voyage; CF — is the dimensionless conversion factor for reducing fuel consumption to CO2 emissions, kg of CO2/kg of fuel.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1290–1298, 2022. https://doi.org/10.1007/978-3-030-96380-4_143
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It follows from this expression that the energy efficiency indicator is the ratio of the amount of produced greenhouse gas CO2 to the amount of transport work of the ship for a certain period of time (voyage, year, etc.). The energy efficiency criteria established by the IMO take into account three main factors: – fuel consumption; – carbon dioxide (CO2 )emissions; – work (of the ship power plant or the ship as a whole). These indicators of the energy efficiency of marine equipment are integral. To assess the level of energy efficiency of a specific technical object, localization of indicators is necessary. The primary level of localization of the energy efficiency indicators of ship power plants is the thermodynamic efficiency of the heat engines that are part of it. The improvement of the thermodynamic cycles of marine diesel engines, as well as any other heat engines, in accordance with the Carnot’s theorem, is ultimately aimed at expanding the temperature range in which the cycle is carried out and increasing the thermal efficiency ηt. The main resource for expanding this range is an increase in the maximum cycle temperature, which in real engines is limited by design and technological factors. An increase in the maximum cycle temperature leads to an increase in the temperatures of the exhaust gases and engine coolant. This expands the possibilities of using secondary energy resources to improve the energy efficiency of ship power plants. The prospects for the use of secondary energy resources and technical means for the implementation of this resource for improving energy efficiency are considered in [2–5]. The main sources of secondary energy resources are the heat removed by the exhaust gases, the heat removed from the inflating air and the heat removed by the coolant of the cooling system [6]. The improvement of the working processes of marine diesel engines in order to increase their energy efficiency is also associated with cogeneration cycles, such as the organic Rankine cycle (ORC) [7–10], in which both water from the diesel cooling system and special heat carriers can be used. It is promising to use installations in the ship power industry that include systems for recovering the heat of exhaust gases and coolant in the Brighton cycle [11, 12]. Localization performance, which enable their identification and analysis can be carried out both by time (hour, voyage, navigation, and year) and object type (the type of engine of the type and purpose of the ship, the shipping company etc.). To assess the effectiveness of the proposed measures to improve the energy efficiency of ship power plants, various methods are currently used, based both on traditional approaches [13] and implementing methods of numerical modeling [14, 15] and fuzzy logic.
2 Methods and Materials One of the primary issues when designing a propulsive complex (PC) of a marine ship is the choice of the composition and parameters of the PC, in particular, the number
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of propeller shafts. When choosing the number of propeller shafts, various factors are taken into account, including the draft of the ship, the required levels of reliability of the main power plant (MPP) and the controllability of the ship, acceptable weight and size indicators of the MPP, the possibility of reducing or eliminating the slope of the shaft line, the possibility of placing the cargo track in the area of the engine room (if there is a stern cargo ramp on RO-RO ship), the desirability of a minimum length of the engine room, the convenience of placing the main engines, the possibility of making the fullest use of the internal volume of the ship’s hull for cargo spaces, favorable conditions for the operation of the propeller. In relation to the design of a sea transport ship with an increased speed of travel, the dominant factor of choice is the estimated speed of travel. The new ships are capable of reaching speeds of up to 25–30 knots or more. The tendency to increase the estimated speed of movement is noted, in particular, in relation to both container ships and RO-RO. Currently, fourth-generation ships with a capacity of 3…4 thousand containers and a speed of about 16 knots are being built, as well as container ships with a smaller container capacity, but with a speed of 35…40 knots. Traditionally, the choice of the number of propeller screw is made according to the permissible specific load of the propeller screw at the design mode of its operation:
where Psp. – specific load, Ne – effective power of the main engine, kW; De – diameter of the propeller screw, m; Psp. perm. = 260 kW/m2 – specific permissible load for the propeller screw (for «non-towed» ships). It is believed that if the specified design value of the specific load is exceeded, a decision can be made to increase the number of screws. To assess the acceptability of using the mentioned criterion, data on the PC of modern ships are summarized and analyzed [16]. Based on the analysis, the following conclusions are made: 1. in most cases, on modern ships, the specific load on the screw significantly exceeds the above-mentioned permissible load of Psp. perm . It follows from this that in modern conditions, the value of Psp. perm. = 260 kW/m2 cannot be used as the recommended limit. 2. the dependence of the specific load of the propeller screws used on the design speed of the ship is obvious. 3. a significant spread of data indicates that it is impractical to use only one criterion under consideration when choosing the number of propeller shafts. In the conducted studies, the possibility of using a set of criteria to assess the quality of the design solution for the composition and parameters of the ship’s PC is evaluated by the example of solving the problem of choosing the number of propeller shafts. The PC includes the main engine (ME), the main gear, the propeller screw and the hull of the ship. One of the technical criteria is the propulsive coefficient, which characterizes the hydrodynamic perfection of the “screw – hull of the ship” complex. The maximum possible propulsive coefficient for specific conditions allows to get the minimum required power P to drive the propeller screw at the design speed of the ship.
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This criterion is very important for evaluating the decision on the parameters of the selected propeller screw. However, it does not take into account the ME indicators. Another criterion - is the specific effective fuel consumption be in the selected ME. It is obvious that the energy efficiency of the PC depends on the combination of these two criteria. The task consists in applying some generalizing criterion. As such a criterion, it is proposed to use the hourly fuel consumption Bhour in the ME: Bhour = be P It is also obvious that the minimum hourly fuel consumption can be ensured by an agreed choice of the propeller screw parameters (determining P; in this case, the power of the ME is indicated without a reserve) and the operating point in the field of ME modes (determining be ). The described problem was solved using the software package ENGINES, developed with the participation of the authors. The program provides the calculation of the ship’s seaworthiness, the parameters of the propeller screw, the choice of main engine options from the electronic catalog, as well as the joint optimization of the parameters of the propeller screw and the working point of the main engine in order to ensure a minimum hourly fuel consumption. The International Maritime Organization IMO has a policy aimed at reducing carbon dioxide CO2 emissions from ships. The Energy Efficiency Design Index (EEDI) is increasingly being used to estimate these emissions in relation to ships being built and operating. The formula for determining this index can be represented as: EEDI =
(A + B ± C − D) , F
where A – shows emissions CO2 from MPP; B – considers emissions CO2 when generating electricity by auxiliary engines (AE) on the course of the ship; C – takes into account the impact on CO2 emissions of the power consumed by the shaft generator/electric motor (reversible PTO/PTI shaft generator) of a hybrid installation, and the power released as a result of the use of recycling and innovative technologies on the ship to generate electricity while the ship is running (if available); the symbol “ ±” means that this term can both increase emissions (if a hybrid installation is used and it supplies more power to the screw than the power that replaces the AE is generated), and reduce emissions; D – takes into account the reduction of CO2 emissions from the MPP due to innovative technologies, F – work on cargo transportation. It is obvious that the given energy efficiency index (coefficient) is quite difficult to apply to evaluate certain design solutions. Therefore, when choosing the PC options at the design stage of the ship, it is advisable to proceed from the assumption that the composition and properties of all other elements of the ship power plant, except for the PC, are unchanged. To solve this problem, EEDI modification is proposed, which can be called a partial constructive coefficient of energy efficiency. The formula of the specified coefficient is significantly simplified: EEDI =
A . F
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If it is necessary to compare two variants of PC i and i + 1 with constant work on cargo transportation F, it is enough to calculate the ratio of partial coefficients:
EEDIi
EEDIi+1
=
Ai . Ai+1
If the same fuel is used in ME of the compared PC variants, the coefficient values Cf in the formula for calculating the EEDI of the variants can be assumed unchanged. In this case, the last equality can be transformed:
EEDIi
EEDIi+1
=
(bei Pi ) = Bhouri .(∗) (bei+1 Pi+1 ) Bhouri+1
Thus, the comparison of the variants of the designed PC, taking into account their environmental properties, is proposed to be carried out using the formula (*) expressing the ratio of hourly fuel consumption in one (calculated) mode of operation of the PC, which, in essence, can be called the ratio of partial design coefficients of energy efficiency. When choosing the PC option according to the technical and economic criterion, two factors must be taken into account: the cost of the selected equipment (first of all, the cost of the ME) and the fuel efficiency of the engine. To select and evaluate design solutions for the composition and parameters of the PC, in particular, to select the number of propeller shafts of a marine transport ship, it is proposed to use a set of three criteria. At the same time, the final conclusion is supposed to be made according to the criteria “the ratio of partial design coefficients of the energy efficiency of the PC” and “total costs for the purchase of equipment and operation of the PC during the estimated period”. The evaluation of PC variants according to the “propulsive coefficient” criterion is of a particular nature and serves to analyze the reasons for a particular ratio of PC variants’ indicators.
3 Results The proposed method for selecting the composition and parameters of the propulsive complex is applied for two ships of different purposes, displacement and design speed. The first ship is a RO-RO - type “Sergey Kirov” with a volume displacement of 15400 m3 . The estimated speed of the stroke is 17 knots. The ship is equipped with a two-shaft MPP. The power of the ME is 3960 kW. The propeller scres is 4.0 m in diameter, which makes up 0.56 of the ship’s draft. The speed of rotation of the screw is 170 min-1 . The second ship is a container ship of the FESCO “Baikal” type with a volume displacement of about 45000 m3 . The estimated speed of the stroke is 22 knots. The ship is equipped with a single-shaft installation. The power of the ME is 21779 kW. The propeller screw is 7.15 m in diameter, which makes up 0.65 of the ship’s draft. The speed of rotation of the screw is 108 min-1 . The purpose of the calculations was to determine the speed at which it is advisable to switch from a single-shaft MPP to a two-shaft one. Calculations of the ship’s seaworthiness and propeller screw parameters were performed. In the calculation, the parameters
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Propulsive coefficient
of the optimal propeller screw are determined for each speed set in a wide range of rotation. The variable optimization parameters - are the diameter and the pitch ratio of the screw. At the same time, restrictions have been introduced on the diameter of the screw, expressed in fractions of the draft of the ship: for a single-screw ship, 0.50–0.65; for a twin-screw ship, 0.50–0.60. Figures 1 and 2 show the dependences of the propulsive coefficient on the design speed for the considered RO-RO ships and container ships when using single-shaft and double-shaft installations on these ships. 0.68 0.66 0.64 0.62 0.60 0.58
12
13
14
15 16 17 18 19 20 Design speed, knots one sha two shas
21
22
Fig. 1. The dependence of the propulsive coefficient on the calculated speed of the RO-RO ships
Propulsive coefficient
0.70 0.68 0.66 0.64 0.62
20
21
22
23 24 25 Desingn speed, knots one sha
26
27
28
two shas
Fig. 2. The dependence of the propulsive coefficient on the calculated speed of the container ships
The presented results indicate that with an increase in the design speed of the RORO ship more than 16.0 knots according to the “propulsive coefficient” criterion, it is advisable to switch from a single-shaft power plant to a two-shaft one. For the studied container ship, the similar speed limit is 25.0 knots. When using hourly fuel consumption as a criterion for the feasibility of switching from a single-shaft to a two-shaft installation, similar results were obtained. With this criterion, the transition from a single-shaft installation to a two-shaft one is advisable for a RO-RO ship with a speed of more than 15.5 knots; for a container ship – more than 25.5 knots. For correct decision-making about the design and parameters of the PC, it is necessary to evaluate the cost ratio in the options of the MPP and the change in costs with increasing speed. As a result of calculations, it was found that the values of speeds, when exceeding which, according to the criterion under consideration, it is advisable to switch from a single – shaft installation to a two – shaft one are: for a RO-RO ship - 15.9 knots; for a container ship - 23.1 knots. The maximum gain in costs at the maximum design speed in the considered ranges was: for RO-RO ship – 7.0%; for a container ship - 16.0%.
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4 Discussion The analysis of the results of the comparison of the PC variants shows that at reduced speeds of movement of ships for various purposes, the single-shaft installation has a higher propulsive coefficient. This advantage is promoted by two main reasons: firstly, the diameter of the screw of the single-shaft installation is slightly larger, which, all other things being equal, ensures its increased efficiency; secondly, the operation of this screw, located in the diametrical plane of the ship, is favorably affected by its hull due to the intense associated flow of water in the area of the screw. In addition, at a reduced speed, there is a moderate specific load on the propeller blades, which also contributes to some improvement in its efficiency. In the range of increased speeds, a single-shaft installation loses in terms of the propulsive coefficient of a two-shaft one. This is due to the fact that with a single-shaft installation, the screw provides an effective thrust that is twice as high as the thrust that falls on each screw of a two-shaft installation. With a single-shaft installation, the screw is more loaded. The specific load of the screw is especially high at high speeds of the ship, when the screw operates at a reduced relative gait. Therefore, with a single-shaft installation, the efficiency of the PC at an increased speed is lower. The difference in the speeds of the expedient transition from a single-shaft installation to a two-shaft installation in relation to ships of various purposes is established. For a container ship, the specified speed is much higher. Possible reasons for this difference are the ratio of the fuel efficiency levels of diesels installed on these ships, as well as the difference in the ratio of the main dimensions of the hulls of the compared ships. The result of the above comparison of options for the total costs of buying and operating a PC during a given estimated period depends on the projected fuel price, as well as on the assigned service life. In the calculations performed, the duration of this period is assumed to be equal to 15 years. If we set a different time limit, the speed limit of the transition from a single-shaft installation to a two-shaft one will change slightly. Therefore, it is recommended to use this criterion only for a preliminary comparative assessment of design solutions. It should also be noted that with an increase in the estimated speed of the ship, the program selects more and more powerful engines, i.e. more and more expensive, but providing lower fuel consumption. The performed analysis showed that when choosing the composition and parameters of the ship’s PC, it is advisable to use a set of criteria.
5 Conclusion The proposed method for selecting the number of propeller shafts is based on the use of a comprehensive assessment of the perfection of the propulsive complex of a marine transport ship. The methodology provides for the calculation of the seaworthiness of the ship, the parameters of the propeller screw, the choice of options for the main engine from the electronic catalog, as well as the joint optimization of the parameters of the propeller screw and the position of the working point of the main engine in the field of specification modes in order to ensure minimum hourly fuel consumption. In order to implement the methodology, calculations were performed for two types of high-speed sea ships that differ significantly in parameters. The calculations showed
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the presence of a limit of the ship’s speed, when exceeding which it is advisable to switch from a single-shaft installation to a two-shaft one. The speed limit values are different for the studied types of ships: for RO-RO ships 16 knots, for container ships 25 knots. It is important to note that these values practically do not depend on which of the studied criteria they are calculated. There are grounds to assert that the proposed method can be used in solving other problems of choosing the composition and parameters of the ship’s propulsive complex.
References 1. MERC.1/Circ 681 dated 17.08.2009: Interim guidelines in the method for calculating the Energy Efficiency Design Index for new ships (EEDI) 2. Chul Choi, B., Min Kim, Y.: Thermodynamic analysis of a transcritical CO2 heat recovery system with 2-stage reheat applied to cooling water of internal combustion engine for propulsion of the 6800 TEU container ship. Energy 107, 532–541 (2016). https://doi.org/10.1016/ j.energy.2016.03.116 3. Erofeev, V.L., Zhukov, V.A., Melnik, O.V.: About the possibilities of using secondary energy resources in ship’s internal combustion engines. Bull. Admiral Makarov State Univ. Marit. Inland Ship. 3(43), 570–580 (2017) 4. Zhu, S., Zhang, K., Deng, K.: A review of waste heat recovery from the marine engine with highly efficient bottoming power cycles. Renew. Sust. Energy Rev. 120, 109611 (2020). https://doi.org/10.1016/j.rser.2019.109611 5. Liu, X., et al.: Performance analysis and optimization of an electricity-cooling cogeneration system for waste heat recovery of marine engine. Energy Conv. Manag. 214, 112887 (2020). https://doi.org/10.1016/j.enconman.2020.112887 6. Dere, C., Deniz, C.: Effect analysis on energy efficiency enhancement of controlled cylinder liner temperatures in marine diesel engines with model based approach. Energy Conv. Manag. 220, 113015 (2020). https://doi.org/10.1016/j.enconman.2020.113015 7. Lion, S., Vlaskos, I., Taccani, R.: A review of emissions reduction technologies for low and medium speed marine diesel engines and their potential for waste heat recovery. Energy Conv. Manag. 207, 112553 (2020). https://doi.org/10.1016/j.enconman.2020.112553 8. Larsen, U., Wronski, J., Graa Andreasen, J., Baldi, F., Pierobon, L.: Expansion of organic Rankine cycle working fluid in a cylinder of a low-speed two-stroke ship engine. Energy 119, 1212–1220 (2017). https://doi.org/10.1016/j.energy.2016.11.069 9. Sellers, C.: Field operation of a 125kW ORC with ship engine jacket water. Energy Proc. 129, 495–502 (2017). https://doi.org/10.1016/j.egypro.2017.09.168 10. Liu, X., et al.: A novel waste heat recovery system combing steam Rankine cycle and organic Rankine cycle for marine engine. J. Clean. Product. 265, 121502 (2020). https://doi.org/10. 1016/j.jclepro.2020.121502 11. Ouyang, T., Huang, G., et al.: Design and optimisation of an advanced waste heat cascade utilisation system for a large marine diesel engine. J. Clean. Product. 273, 123057 (2020). https://doi.org/10.1016/j.jclepro.2020.123057 12. Pan, P., et al.: Thermo-economic analysis and multi-objective optimization of S-CO2 Brayton cycle waste heat recovery system for an ocean-going 9000 TEU container ship. Energy Conv. Manag. 221, 113077 (2020). https://doi.org/10.1016/j.enconman.2020.113077 13. Feng, Y., et al.: Thermodynamic analysis and performance optimization of the supercritical carbon dioxide Brayton cycle combined with the Kalina cycle for waste heat recovery from a marine low-speed diesel engine (2020). https://doi.org/10.1016/j.enconman.2020.112483
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14. Tsitsilonis, K.-M., Theotokatos, G.: A novel systematic methodology for ship propulsion engines energy management. J. Clean. Product. 204, 212–236 (2018). https://doi.org/10.1016/ j.jclepro.2018.08.154 15. Barone, G., Buonomano, A., et al.: Sustainable energy design of cruise ships through dynamic simulations: Multi-objective optimization for waste heat recovery. Energy Conv. Manag. 221, 113166 (2020). https://doi.org/10.1016/j.enconman.2020.113166 16. Anh Tran, T.: Effect of ship loading on marine diesel engine fuel consumption for bulk carriers based on the fuzzy clustering method. Ocean Eng. 207, 107383 (2020). https://doi. org/10.1016/j.oceaneng.2020.107383
The Influence of the Choice of Means of Consolidation on the Quality Indicators of the Delivery of Combined Shipments Oleg Izotov(B)
and Alexander Gultyaev
Admiral Makarov State University of Maritime and Inland Shipping, 5/7 Dvinskaya Str., St. Petersburg 198035, Russian Federation [email protected]
Abstract. The influence of the used means of consolidation of combined shipments on the formation of the transport system and the organization of the transportation of such cargo, as well as on the quality indicators of delivery, is disclosed. It is noted that when building a new transport system, in particular, the construction of a system for using intra-container modules is considered as a means of consolidation of small shipments designed to ensure the use of container technologies to the gates of the cargo recipient, it is necessary to assess the quality criteria of such transportation. It is emphasized that the possibility of using intra-container means of consolidation small shipments simplifies the decision-making for the effective distribution of quality parameters of transportation between the participants in the transportation process. Keywords: Transport systems · Combined shipments · Container technologies · Quality indicators of transportation
1 Introduction At the present stage of development of container technologies, the choice of means of consolidation of small shipments entails the construction of the entire chain of delivery of cargo, that is, a transport system that meets the requirements of transportation. The initiator of the construction of a transport system in order to organize the delivery of their cargo to the consignee, as a rule, is the consignor or, on his behalf, the forwarder [1]. At the same time, the entire spectrum of many possible options is considered on the transport services market in order to determine the most optimal one based on its quality characteristics or their combination. This approach strikingly distinguishes the cargo owner from the owner of the means of transport at the stage of rational planning of the transportation itself [2]. When considering the qualitative characteristics of transportation, the participants in the transport process have to take into account the mutual influence of a number of indicators of the functioning of transport systems on each other, so a reduction in delivery time can lead to an increase in the cost of transportation and vice versa, and © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1299–1306, 2022. https://doi.org/10.1007/978-3-030-96380-4_144
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the use of intra-container modules, as new means of consolidation of combined shipments, designed to ensuring the delivery of cargo using container technologies to the destination can significantly reduce the number of transshipment operations [3]. As a result, one indicator, as it were, compensates for changes in another indicator (traffic volume compensates frequency of shipments, distance of transportation compensates the number of transshipment operations, etc.). At the same time, the qualitative indicators of the transportation itself for each of the options under consideration should be identified even before the start of transportation, since they should become the terms of the contract for the planned transportation [4, 5]. Since the participants to the contract each pursue their own goals, the relationship between the parties can be written as: (1) H = KC, KO where K C , K O are the complexes of the wishes of the carrier and the cargo owner, respectively. The specific components of the terms of cooperation of the parties will be: k Ci = k C x1i , x2i , . . . , xpi ∈ K C (2) k Oi = k O x1i , x2i , . . . , xpi ∈ K O
(3)
where x is the value of the quality indicator of transportation.
2 Methods and Materials When agreeing on the terms of the contract of transportation, several possible options are considered, which allows the result of interaction between the parties to be set in the form of a matrix of losses. Let us denote the proposals of the carrier (forwarder) through - the i-th wish (I = 1, 2, …, m), and the wishes of the cargo owner through the j-th wish (I = 1, 2, …, n). Each of the parties has the right to count on a change in the value of the criterion under ij discussion (for example, the cost of transportation) xq , where q (q = 1, 2,…, p) is a ij sign of a qualitative indicator of transportation (if xq < 0, this means that the party “loses” in the value of the indicator, yielding this part to the other participant). The loss matrix of the order of m × n × p thus takes the form: ⎤ ⎡ xq11 xq12 . . . xq1n ⎥ ⎢ ⎢ xqi1 xqi2 . . . xqin ⎥ (4) H =⎢ ⎥ ⎣ ... ... ... ... ⎦ xqm1 xqm2 . . . xqmn The variety and differences in the dimension of the quality indicators of transportation suggest using the properties of the utility function of the cargo owner in the process of
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assessing possible losses. We will proceed from the fact that the usefulness of the results of the functioning of the elements of the transport system is determined by the quality of their state, which is understood as a set of properties that determine the satisfaction of needs as a result of functioning. Moreover, in this case, we are not talking about the optimum, but about a satisfactory result, which is not lower than a certain predetermined level. In turn, quality is also characterized by a set of certain indicators. Possessing some resources, the consignor, either directly or through his forwarder, strives to distribute them among the elements of the system in such a way as to maximize the expected result (utility - In this case, it is the conformity of quality of considered transportation option to a given level) from their implementation. By the fiction of utility we mean a function of particular criteria: (5) U (xi ) = F x1i , x2i , . . . , xpi This function does not require an explicit specification, assuming only that the more preferable alternative i for the cargo owner, the greater the value of U (xi ). The possibility of a general increase in the quality of transportation by the cargo owner is based on the use of the following properties of the utility function [5]: 1. The utility function monotonously increases with the increase in the values of the indicators according to the maximizing criteria and the decrease in the values of the indicators according to the minimizing criteria, i.e. for the maximization case: if xjs > xjt , than U (xs ) ≥ U (xt ), and for the minimization case: if xjs < xjt , than U (xs ) ≤ U (xt ), if the remaining parts of the criteria are equal. 2. The utility function is twice continuously differentiable, i.e. exists: Us =
∂U ∂ 2U , Ust = ; ∂Us ∂xs , ∂xt
(s, t = 1, . . . , p). 3. The equation F(X 1 , X 2 , …, X p ) = C defines in p + 1 dimensional space a hypersurface of the level, called the indifference map. All alternatives, which are mapped in the space of criteria on the indifference curve, are equivalent for the decision-maker (cargo owner), since he does not care which one to choose. Given different constants C, we obtain a set of indifference curves that characterize the multidimensional “relief” of the utility function. If the level hypersurfaces are convex towards the origin, the function is considered p-convex; if the hypersurfaces are transformed into a hyperplane, then the utility function is p-linear. The latter can be represented as:
k U = ϕ( λi xi ). j=1
where ϕ is some increasing function.
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4. If there is an increasing function ϕ such that U1 (x) = ϕ(U2 (x)). then the utility functions U1 and U2 are equivalent. Indifference maps of equivalent utility functions coincide and the choice of alternatives for them will give the same result. Thus, for the problem of making a decision, it turns out to be unimportant to know the specific expression of the utility function; it is enough to determine to which class of equivalence it belongs. And so, we have the interaction of two participants – the cargo owner and the carrier, which have the corresponding reserves of the q-quality indicator: r o q|0 ≤ xo q ≤ r o q
(6)
r c q|0 ≤ xc q ≤ r c q
(7)
where r o , r c are the values of the reserves of the values of the quality indicators of transportation by the cargo owner and the carrier.
3 Results Let us consider as an example the delivery of a combined shipment by rail and road. Such transportation may include the use of: – containers with the use of container trailers on the shoulder up to 1500 km, due to the fact that over a longer distance, transportation by rail is more economical; – trailers for the delivery of cargo in intra-container modules on the shoulder up to 2100 km [7, 8] or rail transport when delivering cargo over long distances; – subsequent delivery of cargo by the consignee’s motor transport after unloading containers or modules. The carrier has its own utility function uC (x1 , x2 ), and the cargo owner has a function of his interest, also specified by the set of indicators uO (x1 , x2 ). Suppose that both functions are continuous and monotone in each of the variables and p-convex. By the beginning of the discussion of the terms of the contract of carriage, there are some total segments of the values of each indicator: U1 is the first indicator (distance of delivery) and U2 is the second indicator (terms of delivery of the cargo). The cargo owner assigns the limit values X1O and X2O of the first and second indicators, the carrier expresses its capabilities through the values of X1C and X2C , so that X1O + X1C = X1 and X2O + X2C = X2 . The objectives of the participants are to satisfy the utility functions u1 and u2 in accordance with the initial levels uO (X1O , X2O ) and uC (X1C , X2C ) by considering the magnitudes of the values of quality indicators within the reserves. Let’s represent the actions of the participants in the process in the form of an “Edgeworth box” (Fig. 1).
The Influence of the Choice of Means of Consolidation
Х2 = Х
O
+Х 2
C 2
Х
C
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Carrier
1
indifference curves of cargo owner
Х
indifference curves of carrier
O 2
initial request of cargo owner Cargo owner
Х1 = Х
O 1
+Х
C 1
Х
Х
C 2
O 1
- delivery of the container by road (rail) transport - delivery of the module by road (rail) transport - delivery of the packaged cargo by road Fig. 1. Formation of the Edgeworth box when determining the quality indicators of transportation
In the Edgeworth box being formed, the length of the horizontal axis corresponding to the first indicator shows the segment of possible changes in its values X1, the length of the vertical axis is the segment X2. The allocated space is the set of all possible allocations between the participants in the transport. We put on the Edgeworth box the preference maps of the cargo owner and the carrier (two sets of indifference curves). The point of initial distribution of transportation parameters has coordinates (X1O , X2O ) in the cargo owner’s reporting system and, accordingly, (X1C , X2C ) in the carrier’s reporting system. Let us establish the possibility of solving the problem of efficient distribution of transportation parameters between the participants of the transportation process. The only requirement for the distribution, presented at the initial stage of the analysis, is the requirement of Pareto optimality, the solution of which, in our case, can be found by fixing the level of utility of one of the parties (for example, a carrier) and finding the maximum of the utility function of the other. That is, it is necessary to find a point on the carrier’s fixed indifference curve at which the cargo owner gets the maximum utility from his utility function. Such a point is the point where the indifference curves of the parties touch each other, otherwise the cargo owner, moving along the fixed line of the carrier level inward, will be able to increase the value of his utility function (to ensure delivery at a given distance on time with minimal use of his own vehicles). It follows from the mathematical analysis that the maximum of the utility function of the cargo owner with a fixed level of utility of the carrier is achieved at the point at which the
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differentials of these two functions are equal, i.e. at the point where the indifference curves have a common tangent. Consequently, the set of Pareto-optimal distributions in the Edgeworth box will be the set of all points at which the curves of indifference of the cargo owner and the carrier touch each other [9, 10]. Let us investigate the possibility of improving the quality indicators of the desired transportation option (X1O , X2O ). Through such a point, indifference curves for the participants in the process can be plotted. If these two curves do not touch each other (i.e., if the initial distribution is not Pareto optimal), then at their intersection they form a region. It is assumed that by moving inside such an area, each side can increase the value of its utility function, since the solution is located within the area formed by the indifference curves. The Nash point must correspond to the maximum of the product of the increment in the utilities of the participants in the process. However, if the number of points for transshipment of cargo from a container to an adjacent mode of transport is limited at the found Nash point, transshipment may not be possible (Fig. 2).
Х2 = Х
O
+Х 2
C 2
Х
C
Carrier
1
Nash decisions indifference curves of cargo owner Х
O 2
initial request of cargo owner Cargo owner
O
indifference curves of carrier
Х 1 Х1 = Х - delivery of the container by road (rail) transport - delivery of the module by road (rail) transport - delivery of the packaged cargo by road
O 1
Х
+Х
C 2
C 1
Fig. 2. Nash’s decision in determining the quality indicators of transportation
In our case, the desired option for organizing transportation lies between two points for unloading containers (modules) and requires the involvement of an adjacent mode of transport to deliver cargo to the destination [11, 12]. According to the first option, the cargo is transported in a container (module) by road or rail at a distance of 2100 km. And it is delivered by the cargo owner’s transport to the destination point by 300 km, ahead of the specified delivery time by 1 day.
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According to the second option, the cargo is transported in the module by rail at a distance of 2700 km. And it is delivered by the cargo owner’s transport to the destination point by 300 km, allowing for a delay of 1 day from the specified delivery time. Thus, it is not possible to determine the behavior of the cargo owner in the process of choosing the values of the quality indicators of transportation without an economic justification of the strategy of his behavior. At the same time, an increase in the distance of transportation usually indicates an increase in the cost of delivery of goods.
4 Summary The possibility of using intra-container means of consolidation of small shipments simplifies the decision-making of the problem of efficient distribution of transportation parameters among the participants of the transportation process. The transport system, relying on new means of consolidation, covers a wider range of logistics centers for the distribution and consolidation of freight flows due to the reduction in the weight of such a means of consolidation of a combined shipments and the possibility of carrying out transshipment operations at points that do not handle heavy containers. All of the above allows to improve the quality indicators of the desired transportation option.
References 1. Izotov, O.: Principles of forming the transport systems for the groupage cargoes delivery. Vestnik Gosudarstvennogo universiteta morskogo i rechnogo flota imeni admirala S.O. Makarova 13(2), 169–175 (2021). https://doi.org/10.21821/2309-5180-2021-13-2-169-175 2. Izotov, O.A., Borozdin, Ye.A.: Simulation of combined cargoes transportation system. Vestnik Gosudarstvennogo universiteta morskogo i rechnogo flota imeni admirala S.O. Makarova 13(3), 325–331 (2021). https://doi.org/10.21821/2309-5180-2021-13-3-325-331 3. Izotov, O.A., Kirichenko, A.V., Kuznetsov, A.L.: Technological solutions for cargoes shipment through the container transport and technological systems. Makarova 11(4), 609–620 (2019). https://doi.org/10.21821/2309-5180-2019-11-4-609-620 4. Bowen, L., Yang, B., Zhu, X., Li, J.: Operational optimization of transit consolidation in multimodal transport. Comp. Ind. Eng. 129, 454–464 (2019). https://doi.org/10.1016/j.cie. 2019.02.001 5. Kuzmicz, K.A., Pesch, E.: Approaches to empty container repositioning problems in the context of Eurasian intermodal transportation. Omega 85, 194–213 (2019). https://doi.org/ 10.1016/j.omega.2018.06.004 6. Irannezhad, E., Prato, C., Hickman, M.: A joint hybrid model of the choices of container terminals and of dwell time. Transp. Res. Part E Logist. Transp. Rev. 121, 119–133 (2017). https://doi.org/10.1016/j.tre.2017.12.005 7. Schepler, X., Balev, S., Michel, S., Sanlaville, E.: Global planning in a multi-terminal and multi-modal maritime container port. Transp. Res. Part E Logist. and Transport. Rev. 100, 38–62 (2017). https://doi.org/10.1016/j.tre.2016.12.002 8. Yin, M., Hwan Kim, K.: Quantity discount pricing for container transportation services by shipping lines. Comp. Ind. Eng. 63(1), 313–322 (2012). https://doi.org/10.1016/j.cie.2012. 03.008 9. Vural, C.A., Göçer, A., Halldórsson, A.: Value co-creation in maritime logistics networks: a service triad perspective. Transp. Policy (2019). https://doi.org/10.1016/j.tranpol.2018.12.017
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10. Fishburn, P.C.: Utility theory for decision making (Research analysis corp McLean VA) (1970) 11. Almetova, Z., Shepelev, V., Shepelev, S.: Optimization of delivery lot volumes in terminal complexes. Transp. Res. Procedia 27, 396–403 (2017). https://doi.org/10.1016/j.trpro.2017. 12.020 12. Lee, C.-Y., Song, D.-P.: Ocean container transport in global supply chains: overview and research opportunities. Transp. Res. Part B Methodol. 95, 442–474 (2017). https://doi.org/10. 1016/j.trb.2016.05.001
Development of Criteria for Assessing the Tourist Attractiveness of Yacht Ports Artem Butsanets1(B)
, Evgeniy Ol’Khovik1
, and Sergey Kovalev2
1 Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street,
198035 Saint-Petersburg, Russia [email protected] 2 North-West Institute of Management of the Presidential Academy of National Economy and Public Administration, Pesochnaya Embankment, 4, 197376 Saint-Petersburg, Russia
Abstract. Yacht tourism is an important component of the development of coastal regions and is centrally promoted at the level of the European Union. However, in St. Petersburg, yacht tourism is very poorly developed. The authors consider some aspects that hinder the development of local and international yacht tourism. The paper describes some of the features of the sea passage to St. Petersburg. The places of yacht berths, shelters, passage options are briefly described, and criteria for assessing yacht ports are proposed. Ten main yacht ports located on the territory of the city were analyzed according to the formulated criteria. The main problems that hinder the development of international and local sailing on yachts are formulated. For example, there is insufficient information about underwater hazards, not all berths have full-fledged wave protection structures, most clubs do not have a designated guest place for mooring and further payment. According to the authors of this work, the development of yachting tourism will attract additional funds to St. Petersburg and increase tourist interest, including through the holding of events. In the future, it is planned to develop a system of expert assessments and substantiate the methodology for the formation of the final criterion for assessing the convenience of anchorage in the yacht port. Keywords: Yacht tourism · Yacht port · Tourist attraction · Assessment criteria · Infrastructural constraints · Sailing yachts
1 Introduction According to data from various sources researching the problems of yachting tourism, conducted by the European Union, the yachting industry in Europe is characterized by the following indicators: – 36,000,000 people regularly use yachts/small boats; – 7,000,000 yachts are in European waters (of which 80% are less than 8 m long), the Baltic countries and Scandinavia have about 2,000,000 yachts; – There are more than 10,000 yacht marinas in Europe; © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1307–1314, 2022. https://doi.org/10.1007/978-3-030-96380-4_145
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– According to various sources, from 280,000 to 380,000 people are employed in the industry, of which about 20% - in the production of ships, 80% - in the service sector; – More than 38,000 companies, most of which are small and medium-sized businesses; – According to various sources, from 20 to 40 billion euros is the annual turnover of the industry; – The annual turnover of yacht marinas is 4 billion euros. – Yacht tourism is an important component of the regional economy and is centrally promoted at the level of the European Union, for example, through the Visit Europe platform. Systematic widespread collection of statistics on the use and ownership of yachts, as well as data on yacht tourism is not organized, statistical data are available only for certain parameters and locations. According to EBI (European Boating Industry), there are 36 million registered boaters in Europe. The share of the population who is fond of yachting in the Scandinavian countries is very high, while in other countries the share of yachtsmen is 2–5%. In the Scandinavian countries, where sea tourism is a common hobby of people, there is one boat for every 6–10 people. The value of this coefficient for the countries of Southern and Central Europe is much lower, which indicates a low supply of boats. This tourism segment generates many economic opportunities, directly and indirectly. In the Azores, nautical tourism development has focused on the expansion and construction of marinas, providing seven of the nine islands with at least one such structure [1]. Thousands of yachts cross the Portuguese waters every year, but local authorities consider even that number to be insufficient [2]. At the same time, no more than a few hundred yachts come to St. Petersburg every year. The purpose of this work was to identify the barriers to the development of yachting tourism that amateurs and professionals face. To achieve these goals, an in-depth study of infrastructure constraints was carried out, some of the results of which are published in this work. Similar studies were carried out in [3, 4].
2 Materials and Methods When carrying out the study, data from open sources were used: electronic maps and satellite images, Internet resources, news from the media, sailing directions, and specialists with practical experience in yacht tourism were involved.
3 Results The average height of bridges in St. Petersburg in an undivided state is from 6.3 (Dvortsovy, Tuchkov) to 8.7 (Liteiny) meters from the ordinary. It is easier for sailing yachts to fold the mast and pass under bridges during the day. At night, when the bridges are opened, it is necessary to use the pilotage service. Too high average speed of the caravan of 8 knots does not allow passage under the bridges at night. The water level in the Neva is not constant. The current water level in St. Petersburg is measured near the S-1 and S-2 navigational passages and the Gorny University, and
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is reflected on the website: http://spun.fkpkzs.ru/Level/Gorny. The depths of the Gulf of Finland are 3–7 m. The bottom topography and slopes of the Gulf of Finland are full of islets and banks stretching along the northern and northwestern coasts. Along the southern coast, the bottom is much smoother, there are much fewer banks, the isobaths generally run parallel to the coastline. The guaranteed passage depths on the territory of St. Petersburg are removed at a distance of up to 1 km from the coastline. The coastal zone is strewn with rocks and scars. Detailed information is presented on the sailing directions and nautical charts. There are 19 main fairways in the Gulf of Finland.
4 Overview of Marinas, Shelters, Passage Options According to the decree of the Government of St. Petersburg dated February 17, 2009 No. 151 “On the sectoral scheme for the placement of facilities for basing and servicing a small fleet in St. Petersburg”, there are 40 facilities for basing and servicing a small fleet in St. Petersburg. The survey of the berths showed that 39 yacht berths from this list are currently operating. Most of them are non-profit organizations in which yacht berthing and storage sites are transferred privately, by acquaintance, inheritance or otherwise. On the territory of St. Petersburg, there are large ports - St. Petersburg, Kronstadt, Lomonosov, and a number of small harbors and anchorage places. In some harbors on the islands and on the shores of the Neva Bay, there are yacht clubs and anchorages for small vessels. There are also a number of unequipped harbors and bays accessible to small craft that can provide shelter in certain winds. However, these harbors, as a rule, are not equipped with hydrographic aids to navigation, and entry into them is possible only with knowledge of local conditions and favorable hydrometeorological conditions. There are several anchorage areas in the Neva Bay, as well as areas prohibited for navigation. Anchoring of small vessels that do not have a special permit is prohibited in the anchorage area. Anchoring of small vessels is possible at such a distance from the edges of fairways, canals and roadsteads that ensures the safety of anchorage during the development of a wave created by passing vessels and does not interfere with passing or standing vessels. Approaches to the berthing areas of the small boats are described in the directions for small boat navigation. It is uncomfortable to navigate along the main fairways due to the frequent cruising of river and sea vessels. According to the data from the official website of the Directorate of the complex of protective structures, in St. Petersburg, at the peak of navigation, ships pass through the sea gate every 15–30 min, the permitted speed of which reaches 10 knots or more, which is not commensurate with the speed of a sailing yacht. Below is information obtained from open sources at the end of 2018. First of all, the availability and fullness of the website of the yacht club, the display of information in English, the possibility of online booking, information on the cost of renting a berth, a description of the total area, location, state of the coastal strip, and other parameters were assessed. In the absence of information, experts were involved. The results of the analysis are shown in Table 1. Since all the objects are located on the territory of St. Petersburg, the distance from the objects of tourist interest was not carefully considered. Due to the low information content of Internet resources [5], when filling out the table, expert opinions were taken into account, as well as online maps and satellite images were used.
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Most of the 40 known berths do not have websites or groups on social networks. Only 10 clubs have been identified that have relatively rich Internet websites: 1. 2. 3. 4. 5. 6. 7. 8. 9. 10.
Yacht club of St. Petersburg (port “Hercules”) Yacht club “Neva” - Yacht berth Yacht club “Vostochny” Marine Yacht Club (Imperial Marine Yacht Club SPb) Yacht club “Breeze” Yacht club “Fort Constantine” Yacht port “Terijoki” Yacht club “Krestovsky” Yacht club “Baltiets” St. Petersburg River Yacht Club of Trade Unions
Table 1. Summary data on yacht berths. No
Criterion name
General characteristics 1.
Purpose (leisure - L; sport - S; children’s sports - CS; storage - St; repair - R, other D, all of the above - A)
2.
Occupied area, hectares
3.
Number of berths/total length, m
Hydrographic support and aids to navigation: 4.
Distance from the fairway, isobaths of 3 or 5 m
5.
Navigational availability
6.
Bridges at approaches to the berth (obstacles/restrictions to the outer roadstead) bridges/height - B/H, m
7.
Coastal currents: direction, speed, m/s
8.
Wave generation
9.
The presence of shelters from waves and wind
Infrastructure: 10.
Maximum dimensions of yachts (length/draft)
11.
Capacity
12.
Winter storage, ship repair
13.
Availability of a yacht goods store
14. 15.
Availability of the hotel within walking distance (up to 1000 m) (continued)
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Table 1. (continued) No
Criterion name
16.
Distance from the nearest metro or railway station (name/km)
17.
Access road length (km)
18.
Car parking
19.
Distance to the nearest hospital/clinic (km)
20.
Information point
21.
Signs, including in English
22.
Meals (independent - I; public - P)
23.
Communication (Wi-Fi availability)
24.
Yacht club staff (English speaking)
25.
Recreation area in the marina
26.
Availability of fresh water at a distance of no more than 20 m from each berthing place
27.
An electrical connector (120–240 V) at a distance of no more than 20 m from each berthing space
28.
Availability of a sufficient number of toilets and showers (at the rate of 2 toilets and 2 showers for 100 berthing spaces)
29.
Refueling/replenishment of food * (up to 1000 m)
30.
Environmental safety (availability of a waste collection system, etc.)
31.
Security
32.
Silence at night
33.
Rating (reviews in QMS): excellent -5; bad - 2
Tourist attraction: 34.
Distance from the center of St. Petersburg (Palace Square, km)
35.
Distance from objects of tourist interest (km)
36.
Availability of a tourist information point, travel agency nearby (1000 m)
5 Discussion This section discusses the main difficulties that yacht tourists from other countries may face.
6 Customs Control According to customs rules, yachts sailing from abroad with foreign citizens, as well as Russian citizens, cannot moor ashore until they pass border and customs control. Until 2018, customs clearance was carried out in Vyborg and at fort Konstantin in the
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city of Kronstadt, but the border department of the Russian Federal Security Service announced the termination of border clearance of small vessels in the city of Vyborg on July 25, 2018. Thus, yacht tourists from Finland cannot comfortably go through customs. According to experts, today, without an agency escort, a tourist who does not speak Russian will not be able to go through customs clearance without penalties. The reasons for the fines may be: medicines prohibited for import, the correctness of filling out the forms. There is a special list of yacht berthing clubs permitted for foreign tourists, which is not known to everyone. The authors of the work are aware of plans to open a border and customs control point in Vysotsk.
7 Natural Conditions Weather conditions including wind rose, wind speed and direction, currents, waves and water level cannot be changed. The topography and structure of the bottom is acceptable for changes, but dredging is very expensive. The bottom topography and slopes of the Gulf of Finland are saturated with islets and banks. The guaranteed passage depths are very remote, sometimes at a distance of more than 1 km from the coastline. The coastal zone is strewn with rocks and scars.
8 Technical Conditions Among the technical limitations, the following should be highlighted: – A small number or absence of hydrographic aids to navigation for sailing in inland waters and approaches to the berths of small boats. Only the main fairways are equipped with navigation signs. – Insufficient number or no signs of underwater hazards and shallow water at all. – Insufficient number of shelters for sailing outside of the complex of protective structures. – Not all parking lots have full-fledged wave protection structures. – Not high interest of ports in guest places. – Not all camps have high-performance shelters from waves. – There are no information messages via radio communication channels about the availability of free guest places at the berths, indicating their coordinates. – Low cartographic availability in the navigation electronic maps online and offline. There are no access routes to the clubs, as well as the clubs themselves. – In most clubs, there is no guest boom (guest place) for mooring and further payment.
9 Socio-geographical Conditions Among the socio-geographical limitations, the following should be highlighted: – The most significant limitation is the lack of a sense of safety and comfort among yacht tourists.
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– Low informational provision of yacht berths (out of 40 operating ports, only 10 have Internet websites). – Lack of large grocery stores in the immediate vicinity, – Low transport availability of public transport. – The high cost of pilotage at night under the raised bridges of St. Petersburg. – There is no information support for foreign tourists. – There is no online booking of mooring places in yacht clubs. Only on some websites it is possible to find the rental price in Russian. – Different berths have different levels of infrastructure for servicing yachts (no refueling and/or water, temporary mooring, electricity). – Not a single club has a system for collecting fecal waste, foreign yachtsmen consider it very important to have such devices [6]. – There are no ready-made tourist routes in the public domain. – There is no silence regime. Yachting tourists cannot relax everywhere without the noise from the adjacent entertainment facilities. – In some of the anchorages, entertainment facilities are located on the territory of the yacht port.
10 Conclusions According to the authors of this work, the development of yachting tourism will attract additional funds to St. Petersburg and increase tourist interest, including through events, for example, as it happens in Malta [7], with the participation of mega yachts [8, 9], which can attract young people to work in the water transport industry [10]. In addition, when creating a yachting port infrastructure, it is necessary to take into account the experience described in [11–14]. An increase in the number of shipbuilding enterprises of small and medium-sized businesses is noted in [15–17]. In the future, with the development of unmanned water transport, small yacht berths will be necessary. In the future, it is planned to develop a system of expert assessments and substantiate the methodology for the formation of the final criterion for assessing the convenience of anchorage in the yacht port.
References 1. Silveira, L., et al.: Nautical tourism in the North Atlantic: the development of Yachting in the Azores Islands. In: Managing, Marketing, and Maintaining Maritime and Coastal Tourism pp. 204–222. IGI Global (2020). https://doi.org/10.4018/978-1-7998-1522-8.ch012 2. Santos, N., Perna, F.: Yachts passing by the West Coast of Portugal what to do to make the Marina and the destination of Figueira da Foz a Nautical tourism reference. Pomorstvo 32(2), 182–190 (2018) 3. Moreno, M., Otamendi, F.: Fostering nautical tourism in the Balearic Islands. Sustainability 9(12), 2215 (2017). https://doi.org/10.3390/su9122215 4. Sulistiyono, B., et al.: The Improvement of Yacht Entry and Exit Ports as a Marina in Indonesia. Appl. Mech. Mat. 874, 215–220 (2018). https://doi.org/10.3390/su9122215 5. Benevolo, C., Spinelli, R.: Evaluating the quality of web communication in nautical tourism: a suggested approach. Tour. Hosp. Res. 18(2), 229–241 (2018). https://doi.org/10.1177/146 7358416643624
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6. Łapko, A., et al.: Management of waste collection from yachts and tall ships from the perspective of sustainable water tourism. Sustainability 11(1), 121 (2019). https://doi.org/10.3390/ su11010121 7. Jones, A., Navarro, C.: Events and the blue economy: Sailing events as alternative pathways for tourism futures–the case of Malta. Int. J. Event Festiv. Manage. 9(2), 204–222 (2018) 8. Merendino, A., Deidda, E., Coronella, S.: The efficiency of the top mega yacht builders across the world: a financial ratio-based data envelopment analysis. Int. J. Manage Decis. Making 17(2), 125–147 (2018) 9. Coles, R., Lorenzon, F.: Yacht-Building Contracts the Law of Yachts & Yachting, pp. 56–73. Routledge, Informa Law (2018) 10. Jafari, J., Xiao, H. (eds.): Youth Tourism. Encyclopedia of Tourism. Springer, Cham (2016). https://doi.org/10.1007/978-3-319-01384-8 11. Mikuli´c, J., Kreši´c, D., Koži´c, I.: Critical factors of the maritime yachting tourism experience: an impact-asymmetry analysis of principal components. J. Travel Tour. Mark. 32(1), S30–S41 (2015). https://doi.org/10.1080/10548408.2014.981628 12. Gucma, L., Drwi˛ega, K., Butrymowicz, R.: Statistical analysis of parameters of selected worldwide yacht ports and marinas in terms of design guidelines. Annu. Navig. 25(1), 205–217 (2018). https://doi.org/10.1515/aon-2018-0014 13. Marz˛ecki, W.: Spatial relations between yacht ports and urban built up areas on the example of the Yacht Port in Szczecin and the marina in Frejus. France. Przestrze´n i Forma 27, 9–26 (2016) 14. Dreizis, Yu., Potashova, I.: Yachting and coastal marine transport development in Black Sea coast of Russia. In: MATEC Web of Conference, vol. 170 (2018). https://doi.org/10.1051/ matecconf/201817005007 15. Fabro, L., Cassola, F.: The contracts of construction of yachts and pleasure craft: an Italian perspective on the most relevant legal issues. Poredbeno pomorsko pravo comparative maritime law, p. 97 (2018). https://doi.org/10.21857/moxpjhgnjm 16. Karetnikov, V., Ol’Khovik, E., Butsanets, A., Ivanova, A.: Simulation of Maneuvering trials of an unmanned or autonomous surface ship on a navigation simulator. In: Mottaeva, A., (eds.) Proceedings of the XIII International Scientific Conference on Architecture and Construction 2020. LNCE, vol 130, pp. 146–156. Springer, Singapore (2021). https://doi.org/10.1007/978981-33-6208-6_15 17. Karetnikov, V., Ol’Khovik, E., Ivanova, A., Butsanets, A.: Technology Level and Development Trends of Autonomous Shipping Means. In: Murgul, V., Pukhkal, V. (eds.) EMMFT 2019. AISC, vol. 1258, pp. 421–432. Springer, Cham (2021). https://doi.org/10.1007/978-3-03057450-5_36 18. Warmington-Lundström, J.: Reviewing environmental rebound effects from peer-to-peer boat sharing in Finland (2019)
Development Potential of River Tourist Transportation in Russia Konstantin Anisimov1
and Svetlana Borodulina2(B)
1 Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street,
198035 Saint-Petersburg, Russia 2 St. Petersburg State University of Civil Aviation, St. Pilotov, 38, 196210 Saint-Petersburg,
Russia [email protected]
Abstract. The paper describes the market of river tourist transportation in Russia and its main trends in the world. The features of strategic planning based on the identified trends in the development of the tourist river transport market and external factors are reflected. The authors analyzed the conceptual apparatus in terms of assessing the development potential. The paper proposes the author’s definition of the current potential, which is based on the calculation of the resource component of the potential, the potential of business processes in this segment, as well as the effectiveness of interaction with enterprises of related industries involved in the formation of a cruise product. The analysis of the tasks of assessing the potential in the framework of strategic planning and management was carried out. The purpose of this paper is to describe the outline of the model for assessing the current potential of river tourist traffic in Russia, taking into account the specifics – a vast territory of the country, many regions, a long length of waterways, natural and geographical features of water basins with territorial specificity and uneven development of tourist traffic in the regions. The paper presents a visualization of the model for assessing the development potential of tourist transport in the Russian Federation in the context of inland waterway transport management. Keywords: Tourist transportation · River routes · Cruises · Water transport · Potential · Development
1 Introduction The Russian Federation has a huge potential for the development of passenger transportation on tourist routes along inland waterways. In Russia, there are more than 101 thousand kilometers of inland waterways, unique nature, rich cultural and historical heritage in coastal regions, often accessible exclusively from the water (Solovetsky Islands, Valaam, Kizhi, etc.). Russia is washed by 12 seas with access to the World Ocean, as well as by the Caspian Sea connected by the Volga-Don waterway with the Azov-Black Sea basin. Passenger transportation on tourist routes lasting more than a day is practically cruise transportation. Nowadays, vessels operating in this sector under the flag of the Russian Federation carry out cruises on more than 50 routes. About 90% of them are © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1315–1323, 2022. https://doi.org/10.1007/978-3-030-96380-4_146
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organized on the Unified Deep Water System of the European part of Russia. The main points of departure are: Moscow, St. Petersburg, Nizhny Novgorod, Kazan, Samara. The route from Moscow and the cities of the Volga region to St. Petersburg and back is the most popular among Russian and foreign tourists. On average, for one navigation period, about 300–350 thousand Russian and foreign tourists are transported on the inland waterways of Russia. At the same time, the average age of the vessels approached 40 years. In 2019, the average age of ships on similar routes in Europe was 17.7 years (ANNUAL REPORT 2019: www.inland-navigation-market.org). In the Soviet period, in terms of the power of ships and the scale of river traffic, the Volga shipping took 2nd place in the world, second only to the deep-water route along the Saint Lawrence River in North America, and in the number of ships with a mechanical engine - the first place in the world. In terms of the number of motor ships, 4 of the 29 leading cruise companies own 44% of the market. The full realization of the potential for the development of river tourist traffic in the Russian Federation will increase income from cruises, as well as ensure the accelerated development of related industries and activities, increase the prestige of tourism in Russia, and achieve structural changes in such areas as ecology and urban beautification. The conditions for the development of tourist traffic are improving the quality parameters of inland waterways, eliminating bottlenecks on waterways, updating the cruise fleet, improving Russian legislation regarding visa-free entry of foreign citizenspassengers of river cruise ships, promoting this type of transportation on the national and world markets [1]. Thus, the conducted review of resource opportunities and dynamics of tourist traffic in Russia and in the world allows us to see the main directions of development of tourist traffic, which can be implemented through the use of methods and tools of strategic planning.
2 Materials and Methods The demand for river cruises in the world and Europe, considered depending on the countries of origin of passengers, is mainly generated by the USA and Canada, followed by passengers from Germany, Great Britain, France and Australia [2–4]. Europe is the most popular region for cruise shipping, with the largest market share (64%). In the cruise market, Russia’s share is measured within 3–4%, including 3–5% in the European market. According to CLIA (Cruise Lines International Association (CLIA),2020. https://cru ising.org/news-and-research/press-room/2020/march/clia-covid-19-toolkit), the level of popularity of Russian river cruises on a 100-point scale was 10.8 in 2017 and 6.2 in 2018. In 2018, there was a notable increase in the river cruise market by 14.6% compared to 2017, reaching 1.64 million passengers. However, quarantine measures in 2020 ensured the failure of the industry. Based on the results of research of the cruise industry for 2015–2019, the segment of river cruises in the world is developing at an average faster pace than the segment of sea/ocean cruises (11–12% versus 1.5–4%). Expedition cruises show an increase of about 8–10% per year. Market experts [5–7] associate the continuing growth in the number of passengers with the effective offer of a variety of river cruise programs, a variety of routes, shore
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excursions and high standards of operated ships. The analysis of publications revealed that the modern cruise industry, having appeared in the late 1960s and early 1970s, is still relatively young [8], but despite this, it is a significant part of the tourism industry with a steady and stable growth rate of passenger traffic at the level about 7.6% per year from 1980 to 2011, and from 2012 to 2019, according to various estimates, 10.2–10.4% per year [7–11]. According to these researchers, the development potential of the cruise market in Europe is great, and even the financial crisis of 2008–2009 did not reveal a significant correction in demand for cruises, despite the fact that global demand growth in this sector was 13%. However, the impact of the 2020 pandemic on the cruise market in Europe has had a global negative impact (European Centre for Disease Prevention and Control, An agency of the European Union, 2020. COVID-19 cases worldwide. https://www.ecdc.europa.eu/en/publications-data/download-todaysdata-geographic-distribution-covid-19-cases-worldwide). The global trend indicates the possibility of sustainable growth of the market for tourist transportation by water transport by creating conditions for its development. Researchers of cruise shipments [11–13] talk about their high growth potential, linking it with the use of new ships due to economies of scale based on the growth of ship calls to ports and destination points. The authors also point out that innovative business strategies to improve onboard amenities, on-board services, route differentiation, and ground handling activities tailored to the preferences of broader social and age groups will also contribute to the development of this transport sector [11, 13, 14]. The possibilities for building up the potential of tourist transportation in Russia are determined by the quality of strategic planning. Therefore, the problem of choosing planning methods is of particular relevance. However, the methods and styles of management depend on the main trends in the development of the transport services market in the studied segment. Nowadays, the following main trends in the development of tourist traffic in Russia are distinguished: the presence of a large potential for the development of tourist traffic [5, 15]; the presence of a substantially heterogeneous structure of tourist traffic by region; a significant level of wear and tear of the existing infrastructure and fleet, which determine the composition, volume and structure of investments in this area; the need to take into account the target parameters of development in strategic planning and management of the IWT segment [15–17]; the presence of uncertainty in demand and its price elasticity with the expansion of tourist traffic in the world as a whole. A number of studies are currently aimed at identifying the most adequate mathematical apparatus for predicting development, calculation tools that take into account the influence of external factors [18–20]. Researchers are trying to develop many forecasts for the development of the economy, but the influence of external factors often calls into question the forecasts of analysts. The peculiarities of modern strategic planning in the field of tourist transportation include the rationale for the allocation of resources, tasks and setting goals at different levels of management based on an assessment of the current transportation potential and strategic opportunities in this area [21]. The dynamics of tourist traffic in the regions of Russia is significantly different. Therefore, when planning investments and management
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actions in the industry, it is necessary to clearly understand what results will bring resource infusions to achieve the result in each region. The reason for the multiple interpretation of the concept of “potential” in Russia, according to Professor A. I. Anchishkin (1973), was the need to create adequate theoretical foundations for effective management of the country’s economy. And an effective approach, according to Professor D. Shevchenko (1984), should be based not only on the achieved level, but must also include opportunities for economic growth in the scope of its assessment. Summarizing the positions of scientists on the essence of the concept of potential in the economy, within the framework of the review, the following main approaches to understanding the essence of potential can be distinguished: potential as a set of possibilities that form the result of economic and industrial relations between subjects [22–24]; potential as a set of abilities to achieve a certain effect (goal) [23–25]; potential as a set of resources for the performance of activities by a market entity [24–26]. In this paper, the components of the potential of tourist transportation include such elements as resources, competencies, as well as interaction parameters that determine the quality of the business processes of shipping and the provision of ground services for passengers. The model for calculating the potential should take into account the realized and unrealized potential. The current potential (CP) of tourist traffic is understood as an unrealized opportunity to transport passengers along tourist routes, which is reflected by a system of indicators that take into account the influence of factors of external and internal dynamics, and which is the difference in indicators when the maximum possible at the current moment and the actual passenger capacity is reached. The maximum possibility of producing a cruise product is determined by the indicator of the total passenger capacity of all ships on tourist routes during the navigation period. Traditionally, the passenger capacity of a vessel is the number of passengers allowed for carriage on a given vessel. To describe the potential volume of a cruise product, the “passenger capacity” indicator was used, which characterizes the maximum volume of passenger traffic based on the maximum total passenger capacity of all ships used on all tourist routes during the navigation period. The calculation of the maximum passenger capacity can be performed using the formula: PC =
F f =1
(yf ∗ nf )
(1)
where y – passenger capacity of the f-th ship (f = 1…F), people; n – the number of voyages performed by the vessel on tourist routes during the navigation period. Passenger capacity indicators can be determined at different levels of management: at the industry, regional and shipping company level. An example of describing the resource component of the potential of tourist traffic is presented in Table 1.
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Table 1. Potential of extensive use of berthing infrastructure in the regions of Russia as an element of the potential for the development of transportation on tourist routes 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 Far Eastern Federal District (R1)
0.96 1.00 0.83 0.72 0.58 1.00 1.00 1.00 1.00 1.00 1.00
Volga Federal District (R2)
0.91 0.77 0.72 0.72 0.75 0.87 0.80 0.80 0.81 0.85 0.91
Northwestern Federal District (R3)
1.00 0.95 0.94 0.94 1.00 1.00 1.00 0.89 0.85 0.85 1.00
Siberian Federal District (R4)
0.99 0.99 0.99 0.99 1.00 0.92 1.00 1.00 0.98 0.98 0.97
Central Federal District (R5)
0.92 0.98 0.99 0.97 0.94 0.95 0.91 0.97 0.97 0.99 0.99
Southern Federal District (R6)
0.98 0.98 0.96 0.98 0.72 0.70 0.96 0.91 0.91 0.89 0.86
In general for the 0.95 0.94 0.91 0.90 0.86 0.92 0.93 0.94 0.93 0.95 0.97 Russian Federation
The figures of different tones show the level of the ratio of indicators: potentially possible at a given time and actual. The closer the value of the studied indicator to one, the higher the level of use of the corresponding resource, and, accordingly, the shorter the path can be passed in reaching the maximum under current conditions. Thus, the closest values of the extensiveness and intensity of the use of berths in 2017– 2019 are typical for the Far Eastern, Central and Siberian federal districts, the indicators of which were 0.97–1.00, respectively. Low scores were obtained for the Southern and Northwestern Federal Districts. Thus, the potential for the development of transportation on tourist routes can be estimated using its particular elements: resource (R), process component (P), and interaction element (I). Then the potential for the development of transportation on river tourist routes is described as follows: SP = f(R, P, I)
(2)
The author’s position in developing a method for assessing potential is as follows: the strategic potential of tourist transportation includes two components, namely: the current potential and strategic opportunities for the development of the object. The category “potential” is considered from two positions: the existing, actually achieved maximum for the period of analysis (current, CP) potential and prospective (SP), corresponding to the strategic goal of the industry development. To assess the development potential, an array of data is formed that reflects the values of indicators (statistical data for the period of analysis, averaged values of indicators selected for assessment for the period, maximum values of indicators for the period of
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analysis, as well as target values of indicators reflecting the development goals of the industry segment) at different levels of management (IWT, region, waterway, shipping company), depending on the purpose of the analysis. To assess the significance of indicators in assessing CP, it is recommended to use methods of mathematical analysis of statistical data. The calculation of the significance level (xijCP ) of the i-th indicator within the j-th element of the calculation of the potential (resource, process or interaction) is carried out as follows: xijCP =
σij ·
aijCP √ I
CP 2 i=1 (asij )
(3)
where σij - standard deviation of the analyzed indicator for the period of analysis by industry/by shipping company/by m-th region (σijm ), depending on the purpose and CP level of calculations; asCP ij - standardized target value for each indicator aij relative to the achieved CP (through the value of σij ). The use of methods of economic, statistical and mathematical data analysis has proven its relevance in many works (in particular, Professor N. Shalanov). The application of these methods to the description of the potential of tourist traffic has a number of features depending on the level of determination of potential values (industry, region/waterway/shipping company), on the possibilities of regulating the work of tourist transport entities, which is reflected both in the set of calculated indicators and in the basic assessments that are included in the assessment of potentials.
3 Results and Discussion It is recommended to manage the development potential of river transport on tourist routes at different levels of government. To manage the development of tourist traffic at the regional/water basin level, an array of indicators is compiled. Further in the paper, statistical data for the period 2016–2019 are given: aij - the number of passenger berths in the region; the intensity of the use of berths in the region; the limit of the intensity of the use of berths in the region; the share of traffic on tourist routes in the total volume of passenger traffic in the region; the share of transportation on tourist routes in the total passenger traffic on water transport in the region; the intensity of tourist traffic per 1 km of waterways with guaranteed depths in the region; the intensity of tourist passenger traffic per 1 km of waterways with guaranteed depths in the region. A comprehensive assessment of the use of CP for tourist transportation by region is given in Table 2. An assessment of the potential for the development of tourist traffic shows that the current potential is most effectively used in the Central Federal District (99.27%) and the Southern Federal District (97.08%). The Far Eastern Federal District is less successful (83.06%), although its value is not low. At 100% of the maximum level of potential use, it is possible to estimate the level of losses (reserves, lost profits) relative to the current maximum. In the average estimate, the loss of the current potential for the period of analysis by region was as follows: Far Eastern - 16.94%; Volga - 10.73%; Northwestern - 10.03%; Siberian - 8.96%; Southern - 2.92%; Central - less than one percent (0.73%).
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Table 2. Comprehensive assessment of the use of CP of tourist transportation by region by year, % Region (district)
2016
2017
2018
2019
Average estimate
Far Eastern Federal District (R1) 80.03
96.77
80.56
74.89
83.06
Volga Federal District (R2)
90.93
84.77
89.10
92.27
89.27
Northwestern Federal District (R3)
97.43
85.48
84.69
92.27
89.97
Siberian Federal District (R4)
98.72
92.13
89.24
84.09
91.04
Central Federal District (R5)
98.04
99.15
99.95
99.94
99.27
Southern Federal District (R6)
98.07
98.41
95.59
96.26
97.08
Visually, the use of CP for tourist traffic in the regions of the Russian Federation in a comprehensive assessment is given in Table 3. Table 3. Comparison of the degree of implementation of the TP of river transportation on tourist routes in the regions of the Russian Federation, % Region of the Russian Federation Far Eastern Federal District (R1)
Current maximum, % 2016
2017
2018
2019
80.03
96.77
80.56
74.89
Volga Federal District (R2)
90.93
84.77
89.10
92.28
Northwestern Federal District (R3)
97.43
85.48
84.69
92.27
Siberian Federal District (R4)
98.72
92.13
89.24
84.09
Central Federal District (R5)
98.04
99.15
99.95
99.94
Southern Federal District (R6)
98.07
98.41
95.59
96.26
4 Conclusions The Russian Federation has a significant underutilized potential for cruise shipping. Assessment of the current level of tourist traffic potential is based on taking into account the available resources, technologies and competencies at a given time (or during the analysis period), and thus is reflected in the parameters of the strategic position (its classical representation as a set of indicators on the basis of which the development strategy is formed). The method for assessing the potential of river transport on tourist routes in the regions of the Russian Federation, based on the assessment of their weight parameters in achieving strategic development goals, allows estimating the optimal budget for the allocation of budgetary funds (investments) in development.
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This approach also provides the ability to obtain data on the optimal distribution of funds for the development of tourist traffic in the regions by the main elements – resources, business processes and interaction functions. On the basis of this approach, it is possible to form the most relevant directions for the development of tourist traffic and those parameters that need to be paid more attention to when allocating investments. Further research is aimed at assessing the strategic potential of river transport on tourist routes, as well as the formation of models for describing the strategic possibilities of their development for decision-making at different levels of government.
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COVID-19 Phobia and Organizational Effectiveness: What is the Role of Organizational Support? Hod Anyigba1,2
, Svetlana Borodulina3(B) , Tatiana Pantina4 and Liudmila Trofimova5
,
1 Nobel International Business School, Accra, Ghana 2 SBS Swiss Business School, Zurich, Switzerland 3 St. Petersburg State University of Civil Aviation, St. Pilotov, 38, 196210 St. Petersburg, Russia
[email protected]
4 Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street,
198035 Saint-Petersburg, Russia 5 Siberian State Automobile and Highway University (SibADI), Mirastr., 5, Omsk 644080,
Russia
Abstract. The paper describes the impact of the coronavirus pandemic on the sphere of labor relations in Russia in the transport industry, the impact of restrictive measures on organizational efficiency, which in this context is reflected by a complex of economic and operational indicators that are largely dependent on productivity, employee motivation, and therefore on the measures taken in this area in the context of COVID-19. The paper is focused on the study of support systems as an element of organizational management in crisis conditions, which, in our opinion, determine organizational effectiveness. The study was carried out on the basis of processing 250 questionnaires of employees of transport enterprises in Russia in the POST-COVID-19 STABILITY RESEARCH program. The level of efficiency of an organization in a pandemic is considered in the context of the influence of the following fears and the occurrence of phobias associated with coronavirus among workers: psychological phobia (fears, fear of death, uncertainty), psychosomatics (diseases), economic aspects (welfare), social consequences (interaction with other people). The logic of the analysis consisted in assessing the employer’s support systems for employees, taking into account the specified parameters. In addition, the study took into account gender, age, work experience of employees of transport companies and their level of education. According to the results of the study, it was concluded that the obtained model of the dependence of organizational efficiency on measures to support employees is adequate, it reflects well the studied dependence on the given parameters against the background of support systems from employers. Keywords: Organizational effectiveness · Organizational support · COVID-19 phobia · Transport companies
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1324–1332, 2022. https://doi.org/10.1007/978-3-030-96380-4_147
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1 Introduction Due to the pandemic, the world of work is in a critical situation. Globally, the impact of the pandemic is felt in almost all industries, with total or partial closings affecting 81% of the total number of employees, or 3.3 billion people (URL: http://doklad.omb udsmanbiz.ru/2020/7.pdf). The pandemic has exposed the weaknesses of the globalization model, which has unjustifiably thrown many people to the sidelines. The objective impossibility to work, associated with the threat to life and health, imposed in connection with these restrictions, requiring the reduction or suspension of the activities of enterprises-employers, led to a negative dynamics of workers employment. In the context of the crisis, guarantees of income preservation play a special role. These issues depend on the effectiveness of organizational management, on the ability to assess the most important positions for employees of their enterprise, as well as on the ability to develop a system of adequate support and motivation of personnel. Support measures on the part of employers are determined by the place and role of personnel in the company’s business model, elements of the support system in the new environment. The purpose of this study is to build a model that will determine the adequacy of the personnel support system as an element of organizational efficiency based on initial parameters that assess the impact of the coronavirus on the tested workers of transport enterprises and their perception of the world in the new conditions of the pandemic, taking into account the basic characteristics of employees (age, gender, etc.).
2 Materials and Methods In the context of the pandemic, risks have arisen for both workers and employers. The labor market in crisis situations is determined by the reaction of employers. Studies of employers’ behavior by the Bank of Russia revealed that 34% of employers sent their employees on vacation at their own expense, 32% reduced their wages; 21% canceled the additional incentive system; 33% of enterprises transferred their employees to a remote work format; 18% of entrepreneurs were forced to dismiss employees. Only every second entrepreneur took one of the listed measures (49%), all the rest took several measures at once. Entrepreneurs are the main subject of the economy, therefore, the scientific understanding of their behavior in the context of a pandemic, associated with personnel support, is quite important, including when developing government support measures. The analysis of government programs in the context of a pandemic is studied by many authors, the most detailed analysis is presented in the work [1]. To prevent mass dismissal of workers, the Russian government has proposed a wage subsidy scheme for the period of the fight against the pandemic. 66% of Russian entrepreneurs noted various types of postponement, reduction or abolition of taxes as the most desirable measures to support business; 34% - financial support, subsidies; 21% - interest-free loan. A literature review of sources on this issue revealed a lot of interest in the topic of the impact of coronavirus on the labor sphere [2]. So, in the work [3], the features of the impact of the pandemic on the structure of the labor market are considered. The article [4] presents the results of an analysis of more than 100 thousand vacancies posted on the Work in Russia portal by employers in 2019–2020. The author (Stolyarov, 2020),
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considering the impact of COVID-19 on the development of the organizational culture of enterprises, distinguishes remote employment, countering employee mobbing, and anticrisis psychological counseling of personnel as effective mechanisms. However, the use of these mechanisms is controversial without their adaptation to industry specifics [5]. The support system as an element of organizational management is designed to create safe working conditions for employees. We classified the following as the basic parameters that determine organizational effectiveness (Fig. 1).
Psychological phobia Symptomatic Phobia (SP)
Organizational Effectiveness (EF)
Gender Education Work Experience
Economic Phobia (EP)
Ownership Structure
Social Phobia (SO) Emotional Phobia (EM)
Perceived Organizational Support (PO)
Fig. 1. Conceptual model
To improve the content validity of the study, unique measurement items for the latent variables in the study were adopted from validated sources [6–8]. A total seven constructs (variables) were used in all, with each measured using multiple items especially – Likert scales. A few items were re-phrased to appeal to the study context and environment, i.e. the transportation sector in Russia. The resulting questionnaire was pretested with twelve professional who are well versed in the transportation sector of Russia, specifically in St. Petersburg, to review to favor face validity. Their comments were incorporated to make the questionnaire more comprehensible. St. Petersburg’s Russia is an ideal context for this study, because Russia’s transport sector has become a key logistics hub in Eastern Europe for the transportation companies. St Petersburg is also a strategic location for transport owners and managers as firms transport goods across the largest country on earth. St Petersburg is the northern capital of Russia and the city connects numerous transport links to other major cities of the Russian Federation. St. Petersburg is also considered the industrial hub of Russia because manufacturers and producers have the direct market to major European cities through inter-connected transport networks [9, 10]. It was tested with 20 transport operators (managers) who had at least three years’ experience in the transportation industry. The sample size was 200, which is well above the recommended benchmark by Hair et al. (2014). An interviewer used the purposive sampling approach to interview students of the Admiral Makarov State University of Maritime and Inland Shipping, a government University in St. Petersburg Russia, during the month of February 2021 – at the height of the second wave of coronavirus related fatalities in Russia. The students were purposively chosen because they were also
COVID-19 Phobia and Organizational Effectiveness Table 1. Confirmatory factor loadings and reliability statistics EP
EM
EF
PO
PP
EF1
-0.212
-0.237
0.800
0.483
-0.388
-0.316
-0.203
EF2
-0.216
-0.204
0.802
0.491
-0.254
-0.185
-0.221
EF4
-0.280
-0.256
0.875
0.549
-0.431
-0.252
-0.224
EF5
-0.009
0.054
0.752
0.506
-0.045
-0.029
-0.001
EF7
-0.217
-0.179
0.788
0.556
-0.303
-0.192
-0.162
0.905
0.207
0.073
0.669
0.597
0.673
0.838
0.148
0.014
0.629
0.654
0.650
0.887
0.103
0.077
0.691
0.655
0.535
0.914
0.237
0.133
0.719
0.697
0.584
0.638
0.270
0.193
0.646
0.595
0.525
0.064
0.527
0.588
0.597
EM1
EM2
EM3
EM4
EP1
0.664
0.606
0.631
0.644
0.936
SO
SP
EP2
0.876
0.568
0.181
EP4
0.795
0.721
0.135
0.090
0.603
0.605
0.643
PO3
-0.150
-0.157
0.504
0.814
-0.366
-0.156
-0.087
PO6
0.030
0.169
0.404
0.766
-0.020
0.198
0.138
-0.235
-0.056
-0.006
PO7
-0.092
-0.041
0.561
0.851
PO8
-0.223
-0.183
0.613
0.856
-0.430
-0.180
-0.033
0.068
0.798
0.674
0.535
PP1
0.554
0.739
0.147
PP2
0.551
0.667
0.324
0.391
0.869
0.627
0.321
0.144
0.862
0.695
0.508
PP3
0.618
0.675
0.211
PP4
0.609
0.697
0.182
0.124
0.766
0.659
0.642
0.577
0.448
0.427
0.884
0.537
0.462
0.656
0.232
0.047
0.544
0.572
0.929
0.044
0.497
0.569
0.918
PP6
SO1
0.567
0.609
SO2
0.593
0.631
0.159
SO3
0.541
0.596
0.142
0.039
0.460
0.493
0.897
SO4
0.582
0.636
0.179
0.029
0.490
0.476
0.899
0.568
0.187
0.011
0.450
0.410
0.828
0.729
0.270
0.139
0.750
0.968
0.561
0.651
0.187
0.010
0.607
0.932
0.508
SO5
SP1
SP2
0.565
0.662
0.612
α
C.R
A.V.E
0.86
0.90
0.65
0.94
0.95
0.80
0.85
0.90
0.76
0.94
0.95
0.80
0.85
0.90
0.76
0.86
0.90
0.65
0.94
0.95
0.80
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workers (mostly managers) of transportation businesses in St. Petersburg, Russia. All seven constructs were used. Psychological Phobia, Emotional Phobia and Social Phobia were adapted from Arpaci et al. (2020), Emotional Phobia and Symptomatic phobia were adapted from Arpaci et al. (2020) and Tzur Bitan et al. (2020). Perceived organizational support was adapted from Eisenberger, whereas Organizational Support was measured with items from Steers. The measurement items were presented in English and measured using a five-point Likert scale anchored between strongly disagree (1) and strongly agree (5). Reliability convergent validity, and discriminant validity were used to assess the appropriateness of the model. Cronbach’s alpha was used to assess the reliability of the model as well as testing the composite reliability. The results of the outcomes in Table 2 shows that the all variables are significantly higher than 0.7, which the minimum benchmark for Cronbach’s alpha and Composite reliability values recommended by Henseler, Hubona, and Ray (2016). To assess convergent validity of the measurement model, the Average Variance Extracted was used. Following from Hair, Hult, Ringle, and Sarstedt (2014) recommendation, the Average Variance Extracted (AVE) threshold 0.5 for convergent validity was used. As shown in Table 1, Average Variance Extracted (AVE) values for all variables are quite higher than the 0.5 threshold, which means that the convergent validity is adequate. To assess discriminant validity, the following pre-conditions were assessed: (a) we checked to make sure the loadings of each variable is higher than the cross loadings with other variables; (b) we checked to make sure the square root of the Average Variance Extracted (AVE) for each construct is greater than the correlation between that construct and any other construct; (c) the heterotrait-monotrait ratio of correlations (HTMT) values are less than 0.85. As displayed in Table 2, it can be seen that the leadings of each construct are greater than the cross-loadings. Most importantly, results of the HTMT0.85 criterion similarly proves discriminant validity. To this end, the current results shows that psychometric properties of the measures used in the study were adequate. The second stage of the analysis had to do with the structural model. Here, we determined whether there was meaning in the structural relations in the model being tested. To determine the significance of the path coefficients in the structural model, a bootstrap resampling procedure (with an iteration of 5000 sub-samples drawn with replacements from the initial sample of 200) was used. To predict endogenous construct using the coefficient of determination R2, the explanatory power of the structural model was assessed. Results for the assessment of the structural model are presented in Table 3 and 4.
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Table 2. Testing discriminant validity using Fornell-Larcker criterion and HTMT ratio Using Fornell-Larcker criterion EP EP
EM
EF
PO
Using HTMT ratio PP
SO
SP
EP
EM
EF
PO
PP
SO
0.87
EM
0.72
0.88
EF
−0.24
−0.21
0.80
0.833
PO
−0.15
−0.09
0.64
0.82
PP
0.67
0.75
−0.37
−0.36
0.83
SP
0.67
0.73
−0.25
−0.09
0.72
0.94
SO
0.64
0.68
−0.20
−0.01
0.53
0.56
0.89
0.277
0.247
0.181
0.195
0.742
0.79
0.876
0.367
0.343
0.779
0.803
0.267
0.204
0.828
0.753
0.74
0.231
0.109
0.631
0.61
Table 3. Results for the assessment of direct paths Path Coefficient
T Sta s cs
P Values
Hypothesis
Result
CV
EF
-0.352
6.893
0.000
-
-
PP
EF
-0.427
4.364
0.000
H1
Supported
SP
EF
-0.127
1.678
0.047
H2
Supported
EP
EF
0.234
2.076
0.019
H3
Supported
0.108
1.073
0.142
H4
Not Supported
SO
EF
EM
EF
-0.029
0.315
0.376
H5
Not Supported
PO
EF
0.544
10.495
0.000
H6
Supported
In support of hypotheses H1, Psychological Phobia was found to have a significant negative effect on Organizational Effectiveness (β = −0.352, p = 0.000). Symptomatic Phobia, H2, was found to have a significant negative effect on Organizational Effectiveness (β = −0.127, p = 0.047). Interestingly, Economic Phobia as hypothesized was found to have a significant positive effect on Organizational Effectiveness (β = 0.234, p = 0.019), providing support for H3. This result implies that although Economic Phobia is a negative characteristic, it affects organizational effectiveness positively, because the fear associate with food and supplies shortages at home due to the coronavirus pandemic propelled people to be more effective at work to gain more disposable income, which would be used in purchasing food and home supplies. We expected a negative relationship in H4, however, Social Phobia was not significantly related with organizational effectiveness (β = 0.108, p = 0.142). Also, Emotional Phobia turned out to have a negative relationship with Organizational Effectiveness, but not significant for H5 (β = −0.029, p = 0.376). Not surprisingly, Perceived Organizational Support, H5, was found to have the most significant effect on Organizational Effectiveness (β = 0.544, p = 0.000).
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Additionally, the study calculated the partial moderating effect of the relationship between the COVID-19 Phobia independent variables and the dependent variable, Organizational Effectiveness. The results (see Table 6) show that Perceived Organizational Support mediates the path between Psychological Phobia and Organizational Effectiveness (β = −0.484, p = 0.000), Symptomatic Phobia and Organizational Effectiveness (β = 0.078, p = 0.068), Economic Phobia and Organizational Effectiveness (β = 0.183, p = 0.020), and Social Phobia (β = 0.147, p = 0.017). All 46.7% of the variance in Organizational Effectiveness was explained by the model. Also, 46.7% of the variance in Perceived Organizational Support was explained by the model. The overall fitness of the model was assessed using the SRMR composite factor model. The composite model SRMR value for the model was 0.06, which is below the 0.08 threshold recommended by Hu and Bentler. This is an indication that the proposed model presents good model fit.
3 Discussion of Results The obtained results of the questionnaire survey of workers of transport and logistics companies in different regions of Russia, the experience of supporting the personnel of enterprises in this area of the retail chains, such as “Magnit”, “Lenta”, the company “Commander” and others, made it possible to draw the following conclusions and generalizations. In crisis situations, the personnel support system becomes a key task. It is important to streamline chaos, increase motivation. Support programs include: – choosing a strategy for working with personnel based on delegating responsibility and expanding functionality with an eye to the versatility of the employee; – work with the negative comments of employees through online communication with a representative of the employer; – organization of the work of mobile platforms as a tool for communication between employees and management based on the principle of greater openness; organizing online conferences, virtual meetings between departments and within departments, recording videos on the topic of security, introducing process elements that ensure the safety of employees;
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– shifting the focus of communication from the client to the employee from the position of ensuring his safety (masks, gloves, distance), delivery of grocery baskets to employees, introduction of payment of additional bonuses for work under risk; – strengthening internal communications in the direction of increasing the company’s confidence in the future, preventing the virus, improving the organization of work and development of employees, increasing the company’s responsibility (form - videos with the employer, online concerts for public holidays, online discussion of the organization news and the success of employees; development, protection and support of employees’ children); – organization of volunteering within the team and emotional support of staff (primarily aimed at workers at risk and 65 +), educational and entertainment initiatives based on daily calls, SMS and video with support, consultations, monitoring the level of well-being and morbidity, reminders of safety measures, which leads to the work of psychological methods and techniques of support through live communication, which allows employees to express their thoughts and emotions in conditions of isolation and total digitalization, and employer to receive feedback. The difficult COVID-19 situation has created new challenges for employers and has led to the need to establish employee support systems. Adequate methods of adaptation to the new reality, teamwork for results, the use of new formats of safety and care for employees, clearly described regulations for their behavior to ensure safety and health are the main support mechanisms that will resonate with employees and, ultimately, will affect the effectiveness of the organization’s management.
References 1. Giones, F., Brem, A., Pollack, J.M., et al.: Revising entrepreneurial action in response to exogenous shocks: considering the COVID-19 pandemic. J. Bus. Ventur. Insights 186, 2–24 (2020). https://doi.org/10.1016/j.jbvi.2020.e00186 2. Drobot, E.V.: Impact of the COVID-19 pandemic on the US labor market (2021). https://doi. org/10.18334/et.7.7.110715 3. Lishchuk, E.N., Kapelyuk, S.D.: Transformation of requirements for human capital in a pandemic. Labor Econ. 8(2), 219–232 (2021). https://doi.org/10.18334/et.8.2.111644 4. Stolyarov, N.O.: Development of mechanisms for managing organizational culture in the context of overcoming the consequences of the global crisis caused by the COVID-19 pandemic (2021). https://doi.org/10.18334/lim.7.3.110861 5. Podstavkova, M.I.: The impact of the coronavirus pandemic on the development of the European automotive industry in the context of structural changes in the industry. Russ. Foreign Econ. J. 5, 101–109 (2020). https://doi.org/10.24411/2072-8042-2020-00054 6. Arpaci, I., Karata¸s, K., Balo˘glu, M.: The development and initial tests for the psychometric properties of the COVID-19 Phobia Scale (C19P-S). Pers. Individ. Differ. 164, 1–6 (2020). https://doi.org/10.1016/j.paid.2020.110108 7. Hair, J.F., Sarstedt, M., Hopkins, L., Kuppelwieser, V.G.: Partial least squares structural equation modeling (PLS-SEM): business research. Eur. Bus. Rev. 26(2), 106–121 (2014). https://doi.org/10.1108/EBR-10-2013-0128 8. Hair, J.F., Hult, T.M., Ringle, C., Sarstedt, M.: A Primer on Partial Least Squares Structural Equation Modeling (PLS-SEM). Sage Publications, Thousand Oaks. (2014). https://doi.org/ 10.1016/j.lrp.2013.01.002
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9. Henseler, J., Hubona, G., Ray, P.A.: Using PLS path modeling in new technology research : updated guidelines. Ind. Manage. Data Syst. 116(1), 2–20 (2016) 10. Tzur Bitan, D., Grossman-Giron, A., Bloch, Y., Mayer, Y., Shiffman, N., Mendlovic, S.: Fear of COVID-19 scale: psychometric characteristics, reliability and validity in the Israeli population. Psychiatry Res. 289, 1–5 (2020). https://doi.org/10.1016/j.psychres.2020.113100
Development of a Conceptual Model of the Digital Ecosystem of Students Based on the Transformation of the Electronic Information and Educational Environment of the Transport University Svetlana Taranukha , Marina Saveleva(B)
, and Inga Fomina
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 Saint-Petersburg, Russia [email protected]
Abstract. The article examines the process of transformation of the electronic information and educational environment of the transport university into a digital ecosystem based on the penetration of artificial intelligence technologies. The digital ecosystem of the transport university is studied, based on the principles of a systematic approach, as a set of ecosystems of different users, according to a closed and open scheme. The digital ecosystem of students is studied as a combination of elements that are homogeneous in terms of the level of training, the functioning of which is aimed at forming student’s competencies within a separate educational program and providing basic and additional services at the request of the main users. The list of additional services that are elements of the structure of the student’s digital ecosystem is determined on the basis of a certain sample of students of various courses in the areas of undergraduate and postgraduate studies in the field of economics and information technology, in order to cover different professional orientation and track possible changes in needs depending on student maturity. Based on the selected set of basic and additional services, a conceptual model of the student’s digital ecosystem is formed. Keywords: Digital ecosystem · Digital learning · Mobile app · Information technology · Digital transformation
1 Introduction This study is based on two approaches. One of these approaches relies on the networked component of the information society, based on information communication technologies and reflecting the modern era of digitalization [1]. Another trend of the last decade is the management revolution associated with the emergence of the ecosystem approach. Starting with the creation of venture and corporate innovation systems, the ecosystem approach is actively spreading into ever new spheres of the economy and society [2]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1333–1341, 2022. https://doi.org/10.1007/978-3-030-96380-4_148
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Under these conditions, a fundamentally new type of economy is being formed – the digital economy, the basic element of which is digital ecosystems [3]. The concept of a digital ecosystem is understood as a distributed, adaptive, open socio-technical system with the properties of self-organization and sustainability, based on natural ecosystems. Digital ecosystem models are based on natural ecosystems, they are especially similar in terms of aspects related to competition and cooperation between various economic actors [4], therefore digital ecosystems are widely used in the economy and business. Research issues of digital ecosystems are reflected in the works of many authors. Understanding the digital ecosystem of the gig economy and its scientific, educational, technical, technological, socio-ecological, innovative and entrepreneurial structural components is discussed in article [5]. The dynamics, diversity and heterogeneity of the digital ecosystem is the subject of research by Toshihiko Yamakami [6]. Works [7, 8] are devoted to the implementation of practices necessary to ensure the digital sustainability of ecosystems, also with respect of intellectual property management in common digital environments. Digital ecosystems are different, their type and characteristics depend on the environment in which they are built and the tasks they serve. Therefore, the concept of a digital ecosystem with a certain degree of approximation can be applied to information educational systems. Educational ecosystems are defined as networks of interconnected and diverse actors involved in the learning/upbringing/development process throughout whole life. Educational ecosystems bring learners and communities together, striving to unleash their individual and collective potential [2]. At the same time, the university is considered as an analogue of the socio-economic ecosystem focused on the creation, accumulation and dissemination of scientific and scientific-applied knowledge [9]. A number of publications are devoted to the development of the ecosystem of universities in the digital environment [10–15]. The concept of a digital university ecosystem is proposed in [16], where the results of the introduction of digital technologies into the learning and management processes, as well as the risks associated with the process of digitalization of universities are analyzed. The issues of development of the university ecosystem using artificial intelligence technology in combination with the possibilities of the Internet of Things and the digitalization of basic business processes are reflected in the article “The concept of the formation and development of a digital intellectual ecosystem of blended university learning” [17]. The main meaning of the digital ecosystem is the interconnection between its elements, mutually beneficial for all participants based on the exchange of data. That is why individual IT products evolve into ecosystems, becoming the basis for further own growth and development of other products within the ecosystem.
2 Methods and Materials Within the framework of this work, the concept of a digital ecosystem is considered in the context of the evolution of the concept of an electronic information and educational environment (EIEE) [18]. The transformation of EIEE into the digital ecosystem of the
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university (DESU) does not occur immediately and has clear stages associated with the penetration of artificial intelligence technologies. Intelligent services of the DESU must see, speak, listen, recognize, personalize, control, comply with requirements, inform. The main participants in the digital ecosystem of the university are students, scientific and pedagogical workers, administrative and managerial and educational support personnel. In addition to the listed categories, such participants can be other interested parties – applicants, employers, etc. In this case, the DESU is integral in nature, including ecosystems of a lower level, depending on the feasibility of the allocated ecosystems. In this sense, in the DESU, one can distinguish the ecosystem of administrative and managerial activities and scientific and pedagogical activities, as well as the ecosystem of students. Dedicated ecosystems can intersect with their content and functionally, forming multidimensional sets. Since the main consumers of educational services, and hence the DESU, are students, the digital ecosystem of students (DESS) is of more significant interest. The systematic approach requires considering the object under study not only in interrelation with other objects, but also as a set of elements combined into a single integrity – a system with characteristic properties inherent in both the entire DESU and for the DESS, allocated, ultimately, to improve the effectiveness of educational activities of student [19]. This methodological requirement substantiates general approaches to the field of research of this object. We will conduct a study of the DESS, according to the socalled closed scheme as an element of the DESU, which, in turn, is the core of the administrative and educational activities of the university. Within the framework of this system, the object under study, DESS, is considered as an element interconnected with other elements of this system. In a closed circuit, the external relations of the DESU and its influence on the result of the functioning of the entire DESU are investigated [19]. When studying the DESS system according to the so-called open-loop circuit, it is considered as an independent system. This system consists of a set of interrelated elements – technological operations of the administrative and educational process, the introduction of which in the DESU determines the increase in the efficiency of the educational activities of the university. The application of this approach allows us to investigate the influence of the characteristics of the DESS system on the result of the functioning of the DESU and develop methods for constructing the DESS system adapted to the changing conditions of the DESU and meeting the requirements of increasing the efficiency of the DESU functioning [19]. At the same time, the DESS system can be represented as a combination of elements of the DESSm , homogeneous in terms of training level, the functioning of which is aimed, inter alia, at providing students with the help of the distance learning system theoretical knowledge and practical skills required to form their competencies within the framework of a separate educational program (EP) [19]. M = {mk}, k ∈ K, is the set of educational programs being implemented. At the same time, these elements of the DESSm, which are homogeneous in terms of the level of education, differ from each other by a different set of formed competencies, which means a set of curricula, teaching materials, special literature, teaching methods,
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etc. These distinctive characteristics are inherent in each element of vocational education and are strictly individual for each EP. In addition, for each student studded in the corresponding course of study of a certain educational program, his own DESSmn will be formed, with a set of curricula, teaching materials, special literature, teaching methods, corresponding to his course of study, which can be defined as virtual (imaginary) element of the digital ecosystem of the university, focused on each student. N = {nij}, i ∈ I, j ∈ J, is a set of students enrolled in different courses of study. This achieves the individuality and purposefulness of the formed DESS, which can be implemented through a student’s mobile application intended for use on Android and iOS systems, with further placement in the application stores of these systems – Google Play and App Store. The development of information technologies in the field of education now makes available not only opportunities for e-learning and the use of distance learning technologies, but also provide opportunities to receive a number of additional services. For this, a study was carried out in the form of a questionnaire survey of students to identify potentially demanded additional services of the DESS. As users of the projected DESS, students studying from the first to the fourth year in undergraduate and postgraduate programs in economics and information technology were surveyed in order to cover various professional orientations and track possible changes in needs depending on student maturity. In order to form the main directions for the development of the EIEE and its transformation into a digital ecosystem, students were asked to rate from 1 to 5 points (in terms of priority) the most interesting for them and potentially demanded in the future additional services of the information ecosystem for interacting with the external environment through a mobile application: selection, through network interaction with the personnel services of employers with whom agreements on interaction have been concluded, of places for various types of industrial practices; creation of a student’s resume for a specific employer or at his request from the university database; navigation through separately located university buildings and inside each of them; communication with the provision of feedback with deans, teachers, classmates; dynamic schedules of training sessions, schedules of the educational process with text and voice reminders of the occurrence of scheduled events; intelligent assistant (text/voice); entrance to the university using the QR code of the mobile application; electronic student club (announcements about university cultural, sports sections and events, etc.); a bulletin board of the institute (assignment of scholarships, scientific research competitions, conferences, etc.); a system of electronic applications and user requests for technical support.
3 Results and Its Discussion In total, 222 undergraduate and graduate students took part in the survey, including programs in the field of information technology (hereinafter – IT) – 123 people; in the field of economics (hereinafter – E) – 66 people; postgraduate studies (hereinafter – P) – 33 people. As a result of processing the received questionnaires, the following distributions were obtained (Fig. 1).
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system of electronic applications and user requests for technical support; bulletin board of the institute (assignment of scholarships, scientific research competitions, conferences, etc.); electronic student club (announcements about university cultural, sports sections and events, etc.); entrance to the university using the QR code of the mobile application; intelligent assistant (text/voice); dynamic schedules of training sessions, schedules of the educational process; communication with the provision of feedback ; navigation through separately located university buildings and inside each of them; creation of a student's resume for a specific employer or at his request from the university database; selection, through network interaction with the personnel services of employers; 0.00
1.00
2.00
3.00
4.00
5.00
Fig. 1. Distribution of additional services in terms of demand for all groups of respondents.
Based on the analysis of the obtained distribution of additional services, according to the respondents of all categories, – the least demanded services include an intelligent assistant (text/voice) and entrance to the university using the QR code of the mobile application; – services with an average demand include an electronic student club (announcements about university cultural, sports sections and events, etc.) and navigation through separately located university buildings and inside each of them; – the most demanded additional services include: the selection, through network interaction with the personnel services of employers with whom agreements on interaction have been concluded, of places for various types of industrial practices; creating a student’s resume for a specific employer or at his request from the university database; communication with the provision of feedback with deans, teachers, classmates; dynamic schedules of training sessions, schedules of the educational process with text and voice reminders of the occurrence of scheduled events; a bulletin board of the institute (assignment of scholarships, research and development competitions, conferences, etc.); system of electronic applications and user requests to technical support. If we consider the distribution of the proposed additional services among the selected groups of users (bachelors of information technology, bachelors of economics and graduate students) (Fig. 2), we can draw conclusions about the inclinations and preferences of these users. For example, it can be assumed that students of economic-oriented programs are more inclined than others to various types of communication (interaction with the employer, search for places of practice, interaction in a group, with teachers, reminders of training sessions, etc.). Students of information-oriented programs are more focused on participating in research projects and conferences, demonstrating a focus on obtaining various scholarships.
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Based on the above, it is possible to write down a formalized conceptual model of the DESS. DEmn = F(lmn , pmn , jmn , rmn , Nmn , kmn , Cmn , mbmn , s). where DEmn (digital ecosystem) is a digital ecosystem of a student studded in a specific educational program on a specific course of study; lmn (e-learning) is the process of individual learning using e-learning technologies and distance learning technologies; pmn (e-portfolio) is personal portfolio (digital twin) based on fixing learning outcomes in the form of competencies formation in accordance with the studied educational program; jmn (e-job) is the student’s network interaction with the personnel services of employers with whom agreements on interaction have been concluded, places for various types of industrial practices; rmn (e-resume) is a dynamic student’s resume for a specific employer or at his request; Nmn (e-navigation) is navigation through separately located university buildings and inside each of them at the request of the student; kmn (e-communication) is communication with organizers and participants of the educational process; Cmn (e-calendar) is dynamic calendar with text and voice reminders of scheduled events (dynamic schedules of training sessions, training process schedules with text and voice reminders of scheduled events); s (e-support) is a system of electronic applications and user requests to technical support; mbmn (e-message board) is a bulletin board of the institute (assignment of scholarships, research and development competitions, conferences, etc.);
technical support bulletin board of the institute electronic student club entrance to the university using the QR code
1 – IT 2–E 3Series2 –P
intelligent assistant (text/voice) dynamic schedules of training sessions, schedules of the educational process communication with the feedback navigation through university buildings and inside each of them creation of a student's resume selection of places for various types of industrial practices 0.0
1.0
2.0
3.0
4.0
5.0
Fig. 2. Distribution of the offered additional services among the selected user groups.
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The formalized conceptual model of the DESS of the university can be written as (Fig. 3): DE = DEmn .
Fig. 3. Formalized conceptual model of the DESS of the university.
Taking into account the complexity and multidimensionality of the DESU, providing the given number of possibilities, one cannot fail to note the complex of emerging threats and risks, among which the following groups can be distinguished: “Cyber risks arising from deliberate attacks by individuals, organizations and other entities; Digital risks associated with failures, errors, abuse and other problems unintentionally caused by the users of the system; Information risks arising from dependence on complex information systems”.
4 Conclusion Thus, the article substantiates the use of the term “digital ecosystem” in relation to the activities of the university. The digital ecosystem of the university can be formed in the process of transforming the electronic information and educational environment of the university based on the penetration of artificial intelligence technologies. In the process of work, the digital ecosystem of the university is investigated based on the principles of a systems approach in the form of a set of ecosystems of various users, in a closed and open circuit. The digital ecosystem of students, as an element of the digital ecosystem of the university, is studied in the form of a combination of elements homogeneous in terms of the level of education, the functioning of which is aimed at
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forming students’ competencies within the framework of a separate educational program and providing basic and additional services at the request of the main users (students). On the basis of expert assessments, a questionnaire was formed for interviewing students, including a list of additional services of the information ecosystem for interacting with the external environment. The final list of additional services, which are elements of the structure of the student’s digital ecosystem, was determined on the basis of a sample of students from various undergraduate and postgraduate programs in economics and information technology, in order to cover different professional orientations and track possible changes in needs depending on student maturity. Based on the selected set of basic and additional services, a conceptual model of the student’s digital ecosystem is proposed.
References 1. Castells, M.: Information Age: Economy, Society and Culture, p. 608 (2000). Shkaratan, O.I. (ed.) Int. from English under scientific (M .: SUHSE) 2. Educational ecosystems: emerging practices for future education. https://www.skolkovo. ru/researches/obrazovatelnye-ekosistemy-voznikayushaya-praktika-dlya-budushego-obrazo vaniya 3. Ivanov, A.L., Shustova, I.S.: Research on digital ecosystem s as a fundamental element of the digital economy. Creat. Econ. 14(5), 655–670 (2020). https://doi.org/10.18334/ce.14.5. 110151 4. Goponenko, A.A., Iskhakova, A.R.: Digital ecosystems of software engineering. Int. Stud. Sci. Bull. 5 (2018) 5. Kraus, N., Kraus, K., Manzhura, O.: Ecosystem of gig-economics and entrepreneurial university: evolutionary synergy of “VIRUS INNOVATION” AND “DIGITAL JUMP”. Efektyvna ekonomika 2 (2020). https://doi.org/10.32702/2307-2105-2020.2.3 6. Yamakami, T.: A cognitively meaningful digital ecosystem approach: Implications for mobile digital ecosystem. In: Proceedings Article published May 2011 in 5th IEEE International Conference on Digital Ecosystems and Technologies (IEEE DEST 2011) (2011). https://doi. org/10.1109/dest.2011.5936626 7. Creating a Resilient Digital Ecosystem . In: Beyond Cybersecurity, pp.185–208 (2015). https://doi.org/10.1002/9781119055228.ch9 8. Tang, P., Molas-Gallart, J.: The Management of Intellectual Property in the Digital Business Ecosystem The Digital Business Ecosystem (2007). https://doi.org/10.4337/9781781009925. 00019 9. Kleiner, G.B.: University as an ecosystem: institutes of interdisciplinary management. J. Institut. Stud. 11(3), 054–063 (2019). https://doi.org/10.17835/2076-6297.2019.11.3. 054-063 10. Mahon, K., Heikkinen, H.L.T., Huttunen, R.: Critical educational praxis in university ecosystems: enablers and constraints. Pedagog. Cult. Soc. 27(3), 463–480 (2019). https://doi.org/ 10.1080/14681366.2018.1522663 11. Simchenko, N.A., Berkovich, M.L.: Ecosystem designing for the development of universities in a digital environment. Persp. Sci. Ed. 49(1), 491–505 (2021). https://doi.org/10.32744/pse. 2021.1.34 12. Ferguson, D., Fernández, R.E.: The role of the university in the innovation ecosystem, and implications for science cities and science parks: a human resource development approach. WTR 4, 132–143 (2015). https://doi.org/10.7165/wtr2015.4.3.132
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13. Knight, S.: Enhancing the digital student experience. In: Digital Futures, pp. 31–40 (2015). https://doi.org/10.1016/b978-0-08-100384-8.00005-4 14. Trofimova, L.A., Trofimov, V.V., Kulev, A.Y.: Information maintenance of the innovation ecosystem creation and development in Russian universities. SibADI Bull. 6(40), 129–135 (2014) 15. Van de Heyde, V., Siebrits, A.: The ecosystem of e-learning model for higher education. South Afr. J. Sci. 115(5/6), 5808 (2019). https://doi.org/10.17159/sajs.2019/5808 16. Klimov, A., Zarechkin, E., Kupriyanovsky, V.: On the digital ecosystem of the modern university. Modern Inf. Tech. IT-Ed. 15(4), 805–814 (2019). https://doi.org/10.25559/SITITO. 15.201904.815-824 17. Grigoriev, S.G., Sabitov, R.A., Smirnova, G.S., Sabitov, S.: The concept of the formation and development of a digital intellectual ecosystem of blended university learning. Inf. Educ. 5(314), 15–23 (2020) 18. Serdyukov, R.D.: Essence and structural components of the digital ecosystem of an industrial enterprise. Int. J. 29(3), 300 (2020) 19. Taranukha, S.N.: Design of an automated information system of the educational process using remote technologies. In: Dissertation by Candidate of Technical Sciences, 13 May 2006, St. Petersburgs, p. 156 (2003)
Modeling the Effects of Inland Waterway Transport Infrastructure Development Svetlana Borodulina1,2(B)
and Tatiana Pantina2
1 St. Petersburg State University of Civil Aviation, St. Pilotov, 38, St. Petersburg 196210, Russia
[email protected] 2 Admiral Makarov State University of Maritime and Inland Shipping,
5/7 Dvinskaya Av, St. Petersburg 198035, Russia
Abstract. The paper reflects the importance of projects for the development of inland waterway transport infrastructure for the national economy. It is noted that in the modern world, investments in the modernization of the existing infrastructure are carried out in conditions that are characterized by unsteady economic development. At the same time, the effects generated by projects for the development of infrastructure parameters of the transport industry are deferred. This leads to the need to substantiate individual elements of the effect, taking into account the long-term return period and the emerging external factors of non-stationarity, which do not allow obtaining adequate long-term forecasts. The purpose of the study is to study the main approaches to assessing the effects and their modeling, taking into account the specifics of their formation in the implementation of large capital-intensive projects for the development of inland water transport infrastructure. The paper presents the outline of the model for the formation of an integral effect in the implementation of capital-intensive projects, describes a complex of multi-level elements that determine the future state of beneficiaries - not only the transport industry, but and the economy of the country as a whole and its individual regions. Keywords: Inland waterway transport · Infrastructure development projects · Approaches to assessing effects
1 Introduction The decision to finance infrastructure development in capital-intensive industries requires appropriate investment justification. Since large infrastructure projects in the field of transport in the Russian Federation are financed mainly from budget sources and on the basis of public-private partnerships (PPP), justification of investments and subsequent costs of maintaining infrastructure facilities is an important part of decisionmaking. At the same time, the consequences of the implementation of such projects, implemented at the expense of budgetary sources, should be considered both through the prism of the economic component of the effect and other benefits, effects and beneficiaries. In the modern world, investments in the modernization of the existing infrastructure © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1342–1350, 2022. https://doi.org/10.1007/978-3-030-96380-4_149
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are carried out in conditions that are characterized by instability and unsteady economic development. In this case, the attraction of public investment leads to an assessment of the situation in the industry as more stable. In addition, one should take into account the fact that the constant development of the infrastructure parameters of the transport industry, improvement of the conditions for the carriage of goods and passengers has a long-term, and in most cases, delayed effect. From the standpoint of sectoral development, it should be borne in mind that long-term development gives an advantage over competitors in the future, including within the transport industry between different types of transport. Improving customer service in inland waterway transport (IWT), which can be achieved by continuous improvement of infrastructure, work organization and business communications, in the medium to long term will increase the demand for IWT services, will change business activities, market relationships and interactions, and also the life of people. The aim of the study is to identify the features of the formation of effects in the implementation of capital-intensive projects for the development of the infrastructure of inland water transport at the expense of budgetary sources. The hypothesis is that in the field of inland waterway transport, when calculating the effects of the implementation of projects for the development and modernization of transport infrastructure, it is necessary to use many different levels of elements that determine the future state of beneficiaries - not only the transport industry, but also the country’s economy as a whole and its individual regions.
2 Methods Nowadays, the transport sector of the economy of any state is an instrument for the realization of national interests. In this regard, the implementation of large infrastructure projects that generate effects in the long term will stimulate the demand for transport services, ensure the development of industries and regions that create a freight transport base, accelerate the development of international relations, transport accessibility, will contribute to the expansion of business activity, etc. [1]. In the current and long term, the advantages of IWT are manifested in such indicators as low cost of transportation of bulk cargo (waterways pass through the territory of 60 constituent entities of the Russian Federation, providing 90% of GDP), the possibility of transporting bulky and heavy cargo, high energy efficiency, low costs for development and maintenance of waterways infrastructure, the possibility of saving costs for warehousing and storage of goods as an element of the logistics costs of companies, the possibility of delivering goods to areas that do not have alternative transport communications (regions of Siberia, the Far East; 53.4 thousand km of waterways are provided by northern delivery, 50% of passengers – socially significant transportation). Experts from the Federal Agency for Maritime and River Transport of Russia note that the development of IWT is to overcome a set of infrastructural, organizational, legislative, technical and technological limitations. The IWT infrastructure must ensure the rhythm of delivery of goods and reliability in logistics. This implies the implementation of tasks in terms of restoring the dimensions of ship passages and eliminating bottlenecks
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on inland waterways to ensure full loading of vessels in terms of carrying capacity and reduce unproductive downtime of the fleet. Therefore, the implementation of capital-intensive projects at the IWT is seen as a necessary element of the industry’s development. Studies carried out by us earlier [2] showed that the implementation of capitalintensive investment projects in transport generates inflows of funds to the country’s budgets, provides significant socio-economic effects, and forms sectoral direct and indirect effects, as well as effects in related sectors of the economy. The results of studies in the field of the formation of design effects, published in the scientific community, allow concluding that there is great interest in the methodology for calculating such effects. The works closest to the studied problem include the scientific works and publications of such authors as Richard Kahn [3] and others. Scientific works describe the theoretical relationship between the implementation of investment projects in certain industries and macroeconomic parameters, which manifests itself in the form of multiplier effects, and is expressed in a faster increase in benefits in comparison with investments. This is the reason for a more significant amount of economic growth and a concomitant increase in the well-being of the population. A similar concept of the formation of multiplier effects in the economy within the framework of Keynesian ideology is described in the works of Anderson, D. [4] and further developed by researchers Rodney Maddock & Michel Carter [5]. The influence of transport on the economy of different countries through the prism of multipliers and corresponding effects has been studied by such researchers as Marazzo, Marcial & Scherre, Rafael & Fernandes, Elton [6], Kenneth Button & Junyang Yuan [7], McArthur, David Philip & Thorsen, Inge & Jan [8], Fleming, David A. & Measham, Thomas G. [9]. These authors: – identified a high level of interconnection of indicators of demand for air transportation with GDP through multiplier parameters, as well as in stimulating local and regional macroeconomic indicators; – revealed the importance of using sectoral multipliers in assessing the growth of business activity in individual sectors of the economy and the macroeconomy in general; – used the multipliers of the development of the region when analyzing the impact of investment on income generated in related sectors of the economy. Russian scientists and researchers have also found applications for these methods and multiplier models in industry estimates and forecasts. So, Shirov A.A. considers in his works the multiplier effect as the product of volumetric industry indicators (or investments) by the multiplier of the industry that receives an increase in business activity as a result of development projects. This is reflected in the indicator of the integral effect with positive industry dynamics, taking into account its contribution to macroeconomic growth. Also, attention is focused on the impact of innovation on the indicators of business activity and growth of the country’s economy while generating multiplicative and synergistic effects.
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A number of studies are aimed at identifying the most adequate mathematical apparatus for the formation of forecasts of the effect of the implementation of development projects. At the same time, researchers are puzzled by the choice of a calculation tool that is able to ensure that the influence of environmental factors is taken into account and, consequently, to predict the benefits and effects in the context of non-stationary economic development. The environment external to the IWT generates uncertainty in the development of countries, economies, industries, and leads to instability of the entities that provide the industry’s cargo base. In this regard, it is necessary to note the statements of scientists and researchers who, discussing the mutual influence of various phenomena, described the possibility of the appearance of the effects of their interaction in the long term. In a chaotic world, it is difficult to predict what variations will occur at a given time and place, errors and uncertainty grow exponentially over time [10]. E. Lorenz identified a phenomenon called the “butterfly effect”, in which slight flapping of wings in one part of the world can cause many effects in another part of the world, which, according to scientists, is also typical for describing economic phenomena. According to this approach, it can be assumed that positive influences/changes in one of the spheres of economic activity can revive significant gains/effects in another. Examples of such phenomena in the economy, representing the sensitive dependence of objects (systems) on their basic states, can be innovations that appear as a result of a change in technological structures, wide access and functionality of the Internet, which increased the degree of mutual influence of various sectors of the economy and markets, as well as the speed of ongoing internal changes. Changes in the economy of one country (USA) lead to changes in economic processes around the world (for example, financial bubbles generated by the US economy, “Black Monday”, the 2008 crisis). The “butterfly effect” in economics is a term that characterizes the property of some chaotic systems, reflecting the fact that a small impact on the market of a particular country or region can have large and unpredictable consequences for the entire international market as a whole. The impact of individual decisions and actions in a particular sector (sub-sector) of the economy is estimated by calculating the effects, both positive and negative. Most often, the effects from the implementation of large projects are reflected by a system of indicators obtained in the formation of forecast models based on extrapolation of past states of economic phenomena and processes, and indicators reflecting them. At the same time, uncertainty manifests itself in factor estimates and clauses “all other things being equal”. Modern researchers are trying to develop many forecasts for the development of the economy of individual industries, regions. However, the influence of external factors on the objects under study casts doubt on many of the forecasts of analysts. Thus, the studied scientific works did not allow us to identify a unified approach to assessing the effect in the implementation of large infrastructure projects, reflecting a complex set of elements for obtaining benefits and beneficiaries. Also, when analyzing scientific papers, we did not find estimates of the effects and their beneficiaries from capital-intensive projects in the field of IWT, which led to the need to describe our own approach, which gives an idea of the component composition of the effect on managing the development of transport industry facilities from budget sources.
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3 Results and Discussion In a non-stationary economy, systemic changes occur constantly, all parameters of the studied objects and systems are reformatted, ranging from the modernization of the means of labor (f1), changes in the competencies and mentality of the human resource (f2), which determines the importance of the human factor in the economy, to innovative (f3) and IT technologies (f4). In this regard, it is necessary to highlight the features of the formation of effects, which should be incorporated into the mechanisms of their calculation. It can be stated that the past trends underlying predictive models are inadequate to modern conditions, since they do not reflect the influence of external factors, as well as factors of uncertainty and non-stationary behavior of the economic environment. Also, it is advisable to assess the effects generated by projects for the development of individual industries from the standpoint of their more global influence, including on the economy of cities, regions, countries. Moreover, the consequences, most likely, will not be directly proportional to the initial event. In this regard, the non-stationary economic development dictates the need to calculate only a short-term effect that can smooth out the uncertainty of the influence of future external factors in the long term. Assessing the effects of the development of the transport sector in Russia through the prism of ensuring national interests when substantiating their feasibility and efficiency, in our opinion, one should rely on an assessment of the integral (socio-economic (SE), environmental (Ec), technological (Tc), etc.) effect. In addition, capital-intensive projects generate effects that occur at different times (at the stage of construction (e1 ), commissioning (e2 ), operation (e3 ), adjustment and revision (e4 )), i.e. they are described by different horizons for obtaining multi-level and diverse benefits that are often deferred. Earlier in [2], we proved that the development of IWT infrastructure directly (E1) and indirectly (E5) affects the country’s economic indicators (K1, K2, K3, K4) and ensures GDP growth. Therefore, it is advisable to assess infrastructure as a type of assets that brings economic and social benefits. However, the share of IWT in the structure of domestic GDP is low, therefore, a significant sectoral growth in GDP on the scale of the Russian economy is not so quantitatively noticeable. In this regard, the illusion is created that the development of this industry is insignificant with significant investments. Nowadays, a national project for the development of IWT is being developed in Russia, which will include the creation of new and modernization of existing IWT infrastructure facilities. IWT development projects. – will ensure the growth of IWT volume indicators (k21 ); – generate socio-economic effects by reducing the cost of the finished product in logistics at low prices for IWT transportation (k51 ); – will provide an increase in the effective demand of the population and wages (k31 ); – will lead to a decrease in the energy intensity of transport in the economy (k22 ); – will provide a relative reduction (savings) in the cost of repairing highways, primarily of federal and regional significance, serving traffic in congestion mode, which will increase the efficiency of the use of budget funds (k23 );
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– will lead to a decrease in traffic congestion, and, as a consequence, a decrease in traffic jams (reduction of travel time), a decrease in road accidents, which will generate economic and social effects (k24 ); – will help to reduce the load and congestion of railways during peak periods, increase the potential and speed of goods movement, reduce wear of the track when transporting large-sized heavy loads and repair costs (k25 ); – will increase the export potential of the country through the transportation of goods by IWT with the existing restrictions on the capacity of the access roads to seaports (k41 ); – will lead to an improvement in the ecology of the regions, a decrease in morbidity and negative consequences of pollution of natural resources (atmospheric air, soil, water, climate impact, noise level, etc.) (k32). The ideas described above are reflected in the diagram showing the presence of different approaches to the formation and substantiation of development effects. The category of the integral effect of IWT development is considered in more detail on the basis of the concept outlined in the paper. Assessment of the effects is possible based on the use of different calculation methods. Thus, the model of the formation of a direct sectoral effect from the implementation of IWT development projects (E1), which we applied earlier [2], can be described as follows:
And the outline of the model for the formation of the integral effect from capitalintensive development projects of IWT has the form:
In particular, we calculated the individual elements of the effect from the implementation of the IWT development project using the M3 direct counting method based on statistical data, the results of which are given below. Improving the efficiency of using federal budget funds for the maintenance and repair of transport infrastructure with an increase in traffic volumes in terms of GDP by 1.7 times by 2030 by optimizing the distribution of bulk cargo flows between road and inland water transport (“optimization effect”) is reflected in the indicator “relative cost savings on the maintenance of transport infrastructure at the expense of the federal budget (k23 )”: k23 = (Sm · d − Siwt ) · V
(1)
where Sm, S iwt - maintenance and repair costs of motor roads and inland waterways, respectively, RUB/tkm; d - the share of expenses on road repairs in the total amount of expenses; V – expected increase in IWT cargo turnover in 2021–2030, billion tkm.
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Calculations show that the “optimization effect” may amount to 64 billion rubles per year by 2030 (Fig. 1).
ef2 ef3
efx
Fig. 1. Main approaches to assessing the effects of the implementation of capital-intensive projects for the development of IWT infrastructure
The effect of reducing the share of transport costs in the price of goods and reducing losses associated with idle time of goods and a slowdown in economic turnover of funds, in the event of a decrease in unproductive idle time of vehicles on congested highways, can be expressed by the indicator “additional need of organizations to attract working
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capital as a result of idle vehicles when driving on roads in overload mode (k24)”: k24 = Vm · C · R/365
(2)
where Vm - the volume of cargo transportation by road (commercial transportation) when driving in overload mode, million tons; C - average cost of the transported cargo, rubles/ton; R - average downtime, days per year (expert judgment). Calculations based on the official statistics of the Russian Federal State Statistics Service in 2018 show that the amount of additional needs of organizations for working capital is 1,340 million rubles. When there is a lack of financing, shipper enterprises need additional credit financing for their business turnover, which is associated with the need to service debt (interest on loans), which leads to an increase in the prices of goods in the economy. Thus, the above calculations show significant amounts of the effects considered above, which confirms the need and expediency of using this approach along with other approaches we have considered when justifying management decisions.
4 Conclusion The model for the formation of effects described in this paper is a multicomponent and step-by-step task associated with the implementation of calculations of different types of effects by different methods and in a different horizon of their generation. In the developed scheme, the contour of the formation of the integral effect from the implementation of infrastructure projects at the IWT is considered in the form of a model that includes multilevel effects. The given outline of the model in the context of IWT development allows seeing the strategic potential of using the advantages of IWT, smoothing out the disadvantages of calculations when using standard approaches in conditions of non-stationary economic development. The paper presents the results of calculations of individual indicators of the model to justify projects for the development of IWT infrastructure, which allows getting an idea of the deferred and non-sub-sector effects arising in the economy. For further research, the authors set the task of studying the experience of applying methods and techniques, as well as tools for implementing medium-term forecasts for the development of IWT. In addition, the issue of further elaboration of management objects in the transport industry based on the strategic position of different modes of transport and predicted points of economic growth and the transit potential of Russia is also brought up for discussion, which will allow outlining sharp contours of IWT management.
References 1. Borodulina, S., Pantina, T.: Model of sustainable economic development in the context of inland water transport management. In: Murgul, V., Pukhkal, V. (eds.) EMMFT 2019. AISC, vol. 1258, pp. 806–819. Springer, Cham (2021). https://doi.org/10.1007/978-3-030-574505_68
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2. Pantina, T.A., Borodulina, S.A.: Methods for estimation of multiplier effect of investments in development of infrastructure of inland water transport in Russian Federation in the frameworks of federal target programs. Rev. Eur. Stud. 7(9), 83–96 (2015). https://doi.org/10.5539/ res.v7n9p83 3. Kahn, R.: The relation of home investment to unemployment. Econ. J. 173–198 (1931). https:// doi.org/10.1057/978-1-137-41233-1_31 4. Anderson, D.: The multiplier effect. In: Cate, T. (ed.) An Encyclopedia of Keynesian Economics, pp. 450–453. Edward Elgar, Cheltenham (1997). https://doi.org/10.1891/194589505 787382739 5. Maddock, R., Carter, M.: The new macroeconoms: several players (1989). https://doi.org/10. 1007/978-1-349-17644-1 6. Marcial, M., Scherre, R., Elton, F.: Air transport demand and economic growth in Brazil: a time series analysis (2010). https://doi.org/10.1016/j.tre.2009.08.008 7. Button, K., Yuan Airfreight, J.: Transport and economic development: an examination of causality (2013). https://doi.org/10.1177/0042098012446999 8. McArthur, D.P., Thorsen, I., Ubae, J.: Employment, transport infrastructure and rural depopulation: a new spatial equilibrium model (2013). https://doi.org/10.2139/ssrn.2326943 9. Fleming, D.A., Measham, T.: Local job multipliers of mining (2014). https://doi.org/10.1111/ 1467-8489.12043 10. Hilborn, R.C.: Sea gulls, butterflies, and grasshoppers: a brief history of the butterfly effect in nonlinear dynamics. Ame. J. Phys. 72(4), 425–427 (2004). https://doi.org/10.1119/1.163 6492
Abuse of Labor Rights in the Transport Industry Valentina Besedina(B)
, Olga Chekunova , and Irina Gavrilova
Admiral Makarov State University of Maritime and Inland Shipping, Dvinskaya st., 5/7, Saint-Petersburg 198035, Russia
Abstract. The ever-increasing pace of life, the introduction of new technological processes, the informatization of the economy lead to an increase in requirements for employees of firms, enterprises, higher educational institutions and other organizations. Problems with imperfect labor legislation arise not only for the employer, but also for the conscientious employee. The purpose of the study is to identify recommendations on what provisions should include new legal norms that provide mutual protection of the rights of the employee and the employer in the aspect of unfairness. The objectives of the study are to analyze the current rules fixed in labor legislation, which: regulate the issues of labor activity of employees who temporarily do not perform their labor function due to illness; issuance of sick leave certificates by institutions; are devoted to guarantees of the rights of employers under the condition of their abuse by employees of their labor rights. The research uses theoretical methods of scientific knowledge. The analysis of labor legislation from the standpoint of studying the protection of the parties to the labor relationship was carried out. The conclusion is made about the insufficient protection of both the rights of the employee from the dishonest employer, and the rights of the employer from the dishonest employee. Due to the fact that not only the employer suffers, but also the economy as a whole (using the example of Russia) in the event of an employee’s dishonesty, it was concluded that it is necessary to introduce certain provisions into labor legislation that will be aimed at protecting the employer and business. Keywords: Technological progress · Informatization · Systematic approach · Labor relations · Entrepreneur · Employer · Psychological type of employee · Fraudulent type of employee · Dependent mentality · Imperfect legislation · Economic crisis · Competition · Dishonesty · Improvement of labor legislation · Protection labor rights
1 Introduction Many new technologies have appeared in the world, and information technologies have taken a special place among them, which have come to the construction, transport, and light and heavy industries. Various types of information technologies are shown in Table 1.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1351–1359, 2022. https://doi.org/10.1007/978-3-030-96380-4_150
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Types of information technology (IT) IT of data processing
IT of management
IT of expert systems
Office automation
IT of decision support
And in such industries as seafaring and navigation, new approaches have also appeared related to their computerization and information technology. Naturally, all these trends require certain changes in labor relations. Special requirements are increasing for the selection of personnel, regardless of whether these personnel are selected by the ship’s captain or an entrepreneur who produces diesel engines or other products. The renewal of the economy, new technologies impose special requirements on the selection of personnel, the teaching staff of economic and legal higher educational institutions, and the crew of ships. The qualities of workers, wherever they work, become indicators of a successful or underdeveloped economy, a profitable or failing enterprise, effective study or wasted time in the classroom. Russians should adopt foreign experience in the field of information technology implementation and employee productivity. The situation in the transport industry takes an extremely important place among the main indicators characterizing the economic state of the country as a whole. Thus, according to the statistical data provided in the Monthly Report “Socio-Economic Situation of Russia” posted on the official website of the Federal State Statistics Service (https://rosstat.gov.ru), in the first half of 2021, the freight turnover of transport amounted to 2,790.8 billion ton-kilometers, including: – – – – – –
railway – 1303.2 billion tonne-kilometers, automobile – 130.9 billion ton-kilometers, sea – 19.4 billion ton-kilometers, inland waterways – 24.1 billion ton-kilometers, air – 4.2 billion ton-kilometers, pipeline – 1309.0 billion ton-kilometers.
According to the same report, the passenger turnover of public transport in the first half of 2021 amounted to 180.4 billion passenger-kilometers, including: – railway – 46.3 billion passenger-kilometers, – automobile – 43.4 billion passenger-kilometers, – air – 90.5 billion passenger-kilometers. The above statistics indicate the significance and importance of the transport industry on a national scale. Of course, the efficiency of each specific enterprise in the transport industry depends on the human factor – on the workers themselves performing their labor functions, and on employers represented by directors, managers and heads of various departments. Economic problems are the most important for the life of any society. Entrepreneurs, heads of transport companies striving to implement their plans, often face problems related to the activities of their employees.
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The purpose of the study is to identify recommendations on what should be paid attention to when making changes to labor legislation and what rules should contain new legal norms that ensure the mutual protection of the rights of an employee of the water transport industry and his employer. The objectives of the study are to research the procedure for issuing sick leave certificates to workers in the transport industry in order to determine whether it is advisable to engage in such issuance for commercial organizations and whether the employer can verify the reliability of information about the fact of the employee’s illness. The authors also studied the issue of the possibility of obtaining information from other organizations about the combination of an employee in order to identify dishonest actions on the part of the employee.
2 Methods and Materials In the work on scientific research, the authors used the methods of theoretical research (analysis and synthesis, induction and deduction, systemic method). The main research method was the systemic method, which allows us to consider the problem from the standpoint of its development, connection with other problems, to identify the logical components of the structure of the existing issue. The problem of concluding an employment contract is studied from the standpoint of the existing labor legislation, the connections of the studied system with the development systems of the entire Russian society are investigated, aspects of problematic legislative solutions in the field of protecting the rights of the employee and in the field of protecting the rights of the employer are identified separately. The systemic method is based on the study of the general structure of labor relations, their dynamics and the study of the relationship between the employee and the employer. To write the study, the authors analyzed individual provisions of the Labor Code of the Russian Federation, dedicated to the hiring of an employee for work and the establishment of a probationary period, the procedure for issuing sick leave certificates and the temporary suspension of one’s labor function due to illness. The result of the research was the recommendations of the authors on the improvement of labor legislation. Among them – an increase in the probationary period, the need to include characteristics from the previous place of work in the number of documents when applying for a job, the exclusion of commercial medical institutions from the number of issuing sick leave certificates, the need to open a diagnosis for an employer if the employee is absent for more than one month due to illness, an increase in the period for appealing against the employer’s decision in court, and others. The results of this study on certain issues have already passed a separate scientific approbation through practical discussion at a number of all-Russian and international conferences. The research studied and analyzed numerous foreign sources on improving labor regulation and the impact of this aspect on the country’s economy as a whole. This work is based on the works of Arnab K. Basu, Nancy H. Chau [1], Massimiliano Bratti [2], Alan Piper [3], Jenifer Ruiz-Valenzuela [4] and others.
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3 Results A modern worker, whether he is a navigator or a manager, must be familiar with the basics of artificial intelligence and use new technical capabilities in his work [5]. To cope with the rapidly changing reality and the speed of implementation of digital technologies in all spheres of the economy, flexible management models and high-quality selection of employees will be required [6]. It is unacceptable to involve dishonest workers in work, who, moreover, do not cope with their duties, not only for psychological reasons, but also because of their inability to fulfill them. The conclusion of an employment contract is a legal process that still requires improvement and is difficult in terms of law enforcement. It is necessary to end the above practice of an dishonest employee by improving the legislation on hiring and organizing labor legal relations. The study examines the possibilities of improving regulations. Firstly, it is necessary to introduce a norm in the Labor Code allowing the employer to request other organizations to combine the work of his employee, about the characteristics from the previous place of work. We also recommend to stop the practice of issuing an unlimited number of sick leave certificates by various, including commercial, medical organizations. The modern Labor Code of the Russian Federation prohibits, when applying for a job, to request documents that are not directly specified in the Labor Code. Among such documents, there is no characteristic from the previous place of work, which seems in vain. It is the fraudulent type of personality, regardless of whether he violates the law or abuses it, that is becoming more and more widespread due to the change in the mentality of the nation, the weakening of the role of the family, moral norms, and the increasing blurring of moral values. A new type of fraudulent personality type is emerging – who does not violate the law, but who knows his rights well, who knows the weaknesses of the legislation, who knows how to make a good impression during interviews, when communicating, who knows how to hide any information and manipulate people, in particular, at his workplace. This type is characterized by a certain artistry, the ability to deceive, provoke, create a first good impression of oneself and talentedly shift their work and their duties onto others. Since such an employee is well aware of the laws and their shortcomings, it is very difficult for the employer to cope with the situation. And colleagues do not quickly understand the true nature of the infinitely “temporarily” disabled colleague. Therefore, the second step in changing the legislation should be a ban on issuing sick leave certificates to commercial organizations if the employee is assigned to a certain state polyclinic that corresponds to his territorial registration. For a complete understanding of the whole picture, it is advisable to cite as an example statistical data that clearly show the ratio of the number of appeals to state institutions and private ones (Fig. 1).
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Fig. 1. The flow of patients to private and public medical organizations before the global pandemic (according to the research of the commercial medicine market by EY Company (https://assets.ey.com/content/dam/ey-sites/ey-com/ru_ru/news/2020/03/ey_health care_research_2018-2019_24032020.pdf)
The third step is to allow the employer to make sure that the employee (sick employee) does not work somewhere in a third-party organization without going to work in the main place of work. To do this, a register of part-time workers must be created open to employers in all organizations of the same type, where the employee implements his labor function, giving a work book to one of the organizations in the personnel department and concluding an employment contract. In this way, it is the organization that most relies on the conscience and knowledge of such a worker will suffer. And he does not even think that he was trusted, taken to a highly paid position, and they expect significant efforts from him. Psychologically, he is encoded by his selfishness against the job, against the employer, and against his colleagues and workmates. Such persons are indifferent to collegial work. They are not able to work in a team and feel responsible for the assigned task. Psychologically, they are aimed at dependency. The bitter truth is that such workers are a clear hindrance to the employer. But due to the weakness of the legislator, they feel unpunished, since they are given the opportunity to abuse the right. They use the law not for the purposes of the declared protection of rights, for example, not for the purpose of recovery, but for the purpose of outright sabotage and thereby inflict an economic, organizational, and psychological blow on both the employer and their colleagues. Played out artistic malaise up to mental, multiplied by the weakness of labor legislation and business regulation, which restrict the employer’s actions in counteracting dependent workers, lead to a negative psychological climate in the work collective and the inability to effectively cope with the labor functions of the entire working collective. For example, a sailor who portrays malaise and avoids by sabotaging duty during the period of the prescribed sea watches, performing other duties on the ship, risks not only having a harmful effect on the entire process of servicing the ship, but creates a dangerous situation on the ship that threatens a catastrophe. The fourth step is to limit the time for sick leave (if this does not apply to maternity leave and other similar conditions). Not four months of temporary inability to work, but the inability to perform their labor function for more than 1 month (with a Covid disease – 2 months) should lead to the logical application of Article 83 of the Labor Code of the Russian Federation and the employee must be fired under it, regardless of the will of the parties. At the same time, the loophole of dishonest workers should be
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eliminated by law, allowing them to go out for one or three days after a long period of “illness” and force the authorities to count the sick leave from a new count. The employer nowadays has many problems, including with employees who know their rights well and abuse them. But in the practice of law enforcement, there is also a different situation. It has different aspects. Let’s dwell on one of them. An unjustified refusal to conclude an employment contract does not lead, even with the help of a court, to the conclusion of an employment contract. Civil law knows such ways of protecting rights as compensation for moral damage, restoration of rights, but among them there is no such way as the obligation to conclude a contract. The conclusion of an employment contract is a right, not an obligation of the employer, even in the event of an unlawful refusal to a potential employee, for example, a pregnant woman. The paradox under Article 145 of the Criminal Code of the Russian Federation is that the employer is prosecuted for refusing to conclude an employment contract with a pregnant potential employee, he bears the burden of criminal responsibility, but no one can force him to conclude an employment contract with her, this type of restoration of violated rights the employee is not provided for by law. But this situation does not correspond to the principle of justice on which our Russian legislation is based. Undoubtedly, the question of the principle of justice is often of a speculative philosophical nature, but it was he who gave rise to law, the legal system as such. Nobody canceled it and all courts are guided by it. Amendments are often made to the Labor Code. We believe that the time has come for these changes, dictated by time. A particular problem is the placement of disabled and underdeveloped persons. The quotas that employment services have when referring these persons to employers, in our opinion, should be expanded. According to data taken from the official website “Statistics and Indicators” (https://rosinfostat.ru/), the total share of working people with disabilities in 2020 is extremely small. The complete picture is presented in Table 2. Table 2. Employment statistics for people with disabilities in Russia in 2020 Score indicator
Number of people
Number of disabled workers, people
1 655 000
Of them: Disabled group I
40 000
Disabled group II
252 000
Disabled group III
1 005 000
4 Discussion In any work collective, including at enterprises of the transport industry, one can face the dishonesty of individual workers who do not want to conscientiously perform their job function, which can lead to the complete destruction of the enterprise.
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The imperfection of labor legislation is, in fact, a blow to the economy. In particular, our legislation allows you to be in the position of temporary work ability for an extremely long time. Sick leave certificates can now be issued by commercial medical organizations. The change of these organizations at the choice of the patient is allowed and is actively used by employees who do not want to go to work. Payment for sick leave certificates and support services has become the norm for someone, especially if an employee works parttime in different organizations or needs dynamic free time, then he prefers to take sick leave certificates from several medical organizations one after another, receive insurance compensation for the main job for temporary disability and actually go to work where they pay more, albeit temporarily. At first glance, the process of law enforcement in labor law seems to be quite clear. Legal regulations are clear and often peremptory. They are aimed at guaranteeing workers and, on their basis, employers build their interviews, recruitment, highlight the most optimal indicators of the abilities and qualities of workers [7]. It is known what documents must be submitted, through which examinations and instructions to go through. And yet, despite the great variety of norms governing this process, the employer may face the reality, namely, that he has hired an employee who is not suitable in terms of qualities, the employee does not want to work conscientiously and abuses his right, for example, the right of temporary disability. Of course, the employer often has the opportunity to establish a probationary period as an additional condition of the employment contract [8]. However, another “resourceful” worker can show himself from the best side during all three months of testing – as a conscientious knowledgeable specialist, but then it is easy to become dependent, abuse his right, using the norms of law and take advantage of imperfect legislation. And here the question arises of fraudulent actions on the part of the employee, which, due to the weakness of Russian legislation, cannot really be detected either during the trial period or in the subsequent period of labor relations. Only a court can bring a citizen to legal responsibility for fraudulent actions, for this it is necessary to collect a huge amount of evidence by law enforcement agencies and, most importantly, to prove intent in a person’s actions. Especially in labor relations, this is practically impossible, since labor law is aimed at protecting the employee and is not based on hypotheses of any abuse of the law, and even more so, fraudulent actions on the part of the employee. Citizens have recently encountered this phenomenon of our reality on the wave of the general spread of fraud in Russia in recent years – especially during the years of the pandemic. This was also reflected in the hermetic increase in fraudulent activities in relation to poorly protected groups of the population. But this also affects general economic processes, in which fraudsters parasitize on more conscientious workers and hinder the development of an enterprise, university, firm [9–12]. The general economic crisis, the narrowing of employment opportunities, gave rise not only to increased competition between workers, but also the techniques of dishonest competition and generally dishonest attitude to work using the weaknesses of labor and civil law. At the same time, the presence of an dishonest employee has a destructive effect on the entire team of employees. An employee who is dishonest in the literal sense of the word not only slows down the development of the entire organization, he is a factor that breaks down the mentality of lawful behavior – the unwillingness of the
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employee to fulfill his duties and receive wages, insurance compensation, does not apply the slightest labor efforts, decomposes others. This is the phenomenon of the emergence of a new psychological type of employee – with the mentality of a fraud. In such a team, employees infected with a negative psychological attitude are not interested in mastering new technologies; unhealthy competition arises between them for the use of deceptive techniques and avoiding the performance of their work duties. What kind of technological progress can we talk about in this case? Such workers are a path to nowhere, they do not just slow down the organization of labor activity in a particular organization, they have a negative impact on economic processes, they destroy the economy, destroy the life of society due to their parasitic superegoistic aspirations and the helplessness of the employer in conditions of constraint of his actions, limited by the framework imperfect law.
5 Conclusion Changes in the pace of life, the level of legal culture, mental changes led to the predominance of primary needs to the detriment of spiritual ones, to an increase in the aggressiveness of citizens, which could not but affect the relations between workers and employers, including at enterprises in the transport industry. This posed the question of protecting the interests of both workers and employers in the new not only economic, but also socio-psychological conditions of the life of Russian society. Such protection can be built using regulatory mechanisms. We believe that legal means in the fight against this evil should be the main one and it is advisable to take a number of measures, which are reflected in Table 3. Table 3. Measures aimed at protecting the rights of the employee and the employer, avoiding abuse of rights No.
Groups of measures to minimize the possibility of abuse of their rights at the enterprises of the transport industry
Proposed regulatory measure
1
Measures granting employers additional rights
Establish a norm in labor legislation that allows an employer to request other organizations to combine the work of his employee and on the characteristics from the previous place of work
2
3
4
Allow the employer to check the accuracy of information about the fact of the employee’s illness (in order to avoid a situation when an employee, having an open sick leave, performs a labor function elsewhere) Measures aimed at regulating the activities of medical organizations
Prohibit commercial organizations from issuing sick leave certificates to employees assigned to state medical organizations Set a time frame for sick leave according to the category of the employee
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Both the employee and the employer need protection. Managers and immediate supervisors should also be encouraged to counteract psychologically harmful workers in the field of transport and logistics who do not want to work and abuse their rights.
References 1. Basu, A.K., Chau, N.H., Soundararajan, V.: Contract employment as a worker discipline device. J. Dev. Econ. 149, 102601 (2021). https://doi.org/10.1016/j.jdeveco.2020.102601 2. Bratti, M., Conti, M., Sulis, G.: Employment protection and firm-provided training in dual labour markets. Labour Econ. 69, 101972 (2021). https://doi.org/10.1016/j.labeco.2021. 101972 3. Piper, A.: Temps dip deeper: temporary employment and the midlife nadir in human wellbeing. J. Econ. Ageing 19, 100323 (2021). https://doi.org/10.1016/j.jeoa.2021.100323 4. Ruiz-Valenzuela, J.: Intergenerational effects of employment protection reforms. Labour Econ. 62, 101774 (2020). https://doi.org/10.1016/j.labeco.2019.101774 5. Boeri, T., Garibaldi, P.: Graded security and labor market mobility clean evidence from the Italian jobs act. In: INPS Working Papers, vol. 10 (2018) 6. Chakraborty, P., Singh, R., Soundararajan, V.: Import competition, formalization, and the role of contract labor. IIM Bangalore Res. Paper 633, 43 (2020).https://doi.org/10.2139/ssrn.376 0913 7. Ellerman, D.: On the labor theory of property: is the problem distribution or predistribution? Challenge 60(2), 171–188 (2017). https://doi.org/10.1080/05775132.2017.1279906 8. Zhang, C., Ramse, J.: Teaching economics behind the global COVID-19 pandemic. Int. Rev. Econ. Educ. 36, 100206 (2021). https://doi.org/10.1016/j.iree.2020.100206 9. Frolov, D.P., Lavrentyeva, A.V.: Regulatory policy for digital economy: holistic institutional framework. Montenegrin J. Econ. 15(4), 33–44 (2019). https://doi.org/10.14254/1800-5845/ 2019.15-4.3 10. Hoehn-Velasco, L., Silverio-Murillo, A., Balmori de la Miyar, J.R.: The long downturn: the impact of the great lockdown on formal employment. J. Econ. Bus. 115, 105983 (2021). https://doi.org/10.1016/j.jeconbus.2021.105983 11. Salau, O.P., et al.: Crystalising employment quality and behavioural outcomes of employees in the public service. Heliyon 6(12), e05619 (2020). https://doi.org/10.1016/j.heliyon.2020. e05619 12. Wang, R.: Information asymmetry and the inefficiency of informal ip strategies within employment relationships. Technol. Forecast. Soc. Chang. 162, 120335 (2021). https://doi.org/10. 1016/j.techfore.2020.120335
Specifications of the Ship Owner’s Liability for the Caused Damage to the Cargo Owner During Carriage by Sea Olga Chekunova(B)
, Irina Gavrilova , and Valentina Besedina
Admiral Makarov State University of Maritime and Inland Shipping, Dvinskaya st., 5/7, Saint-Petersburg 198035, Russia
Abstract. The article discloses the conditions and grounds for exemption of the carrier from liability. The purpose of the study is to consider the issues of the carrier’s liability for non-preservation of cargo under the contract of carriage by sea in the national and conventional legislation. The scientific and practical significance of the study is due to the need for an early post-crisis restoration of Russia’s position in international trade. The main research method is theoretical analysis and generalization of special scientific sources of international level. The study notes that the increase in the competitiveness of maritime shipping is of particular practical importance for the Russian economy. The implementation of the task set in the study is inherently connected with the need for further improvement of Russian legislation, in particular, legislation on the carrier’s liability for non-preservation of cargo accepted for carriage under a contract of carriage by sea. The authors concluded that the liability of a professional carrier for nonpreservation of cargo occurs regardless of the presence or absence of fault. The grounds for the exemption of the carrier from the obligation to compensate for damage for non-preservation of the cargo are circumstances that, by their nature, are objectively not preventable. The study also concluded that the ship owner, as an employer, always bears the risk of liability for the actions of his employees in the performance of their labor duties. Keywords: Carriage · Contract of carriage of cargo by sea · Liability of the carrier · Loss of cargo · Shortage of cargo · Damage to cargo · Exemption from liability · Crewing companies · Navigation error
1 Introduction When carrying out the carriages by sea, the cargo owner is primarily interested in the integrity and safety of the cargo, as well as compliance with the terms of the transportation contract (such as time, price, liability, etc.). Practice knows many cases when cargo was lost as a result of accidents on ships, for example, fires [1], which explains the relevance of this study. International carriages of cargo by sea are of great importance both in ensuring domestic transportation and in foreign economic activity. Sea transport has © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1360–1369, 2022. https://doi.org/10.1007/978-3-030-96380-4_151
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a number of unimaginable advantages; it ranks first in the world in terms of the total volume of traffic, international traffic, and cargo transportation. The carriage of cargo by sea in Russia is regulated by international legislation, civil legislation, special laws, the so-called transport charters and codes, which determined the range of sources of legal regulation that are subject to study, systematization and detailed analysis and formed the subject of research. The object of the research is the legal regulation of public relations of the ship owner’s liability, which has an imperative nature. The purpose of the study is to comprehensively analyze and study the issues of the ship owner’s liability for damage to the cargo owner under the contract of carriage by sea in the national and conventional legislation. Transport charters and codes resolve the issue of the carrier’s liability for nonpreservation of cargo in different ways, and otherwise than the Civil Code of the Russian Federation. The existing numerous conflicts of national and conventional legislation on carrier liability cause difficulties in its application in judicial practice and disputes in legal circles. The study used the views expressed in scientific works of such authors as Daihui Zhang [2], Jane A. Bullock [3], Jung Sun Lee [4], Desai Shan [5], Jihong Chen [6], Raphael Baumler [7], Kindred Hugh M. [8] and others.
2 Methods and Materials A ship owner as a professional entrepreneur cannot but be aware of the risks associated with navigation. The state of the art allows not only minimizing these risks, but also reducing them to zero. It is customary to insure the usual risks of entrepreneurial activity. The development of a general approach to the carrier’s liability requires taking into account foreign experience and international treaties, therefore, the study analyzes both the theoretical views of other scientists and the legal sources regulating the issues of the ship owner’s liability for damage caused to the cargo owner during carriages by sea. The main source of legal regulation of the carriage of cargo by sea in Russia, as well as in most countries of international trade, including Germany, Great Britain, the United States, remains the Hague-Visby Rules. In 1999, more than 70 states, including Russia, joined the international convention “On the unification of certain rules on the bill of lading”, concluded in Brussels on August 25, 1924, with amendments and additions in 1979. The purpose of the Convention was to create mechanisms for compromising the interests of ship owners and cargo owners in the event of loss or damage to cargo. In the pre-convention period, the ship owner (according to the rules of Great Britain), as the strongest party to the contract, responding to the principle of guilt, nevertheless included in the contract of carriage any conditions limiting or excluding his liability [9–11]. The Convention Agreement introduced peremptory norms of the so-called “list of exceptions”. The “list of exceptions” contained strictly defined conditions, referring to which, “neither the carrier nor the ship was responsible” for damage to the cargo owner. Any additional grounds exempting the carrier from liability were not allowed and were invalidated. The norms of the Hague Rules were included in the Regulations on Carriage by Sea of 1926, the Merchant Shipping Codes of the USSR in 1929 and 1968.
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The Hamburg Rules, 1978 (UN Convention on the Carriage of Cargo by Sea) and the Rotterdam Rules, 2009 (the UN Convention on Contracts for the Full or Partial Carriage of Cargo by Sea) are similar in that the carrier’s liability is based on the principle of presumed fault. The burden of proof of no fault lies with the carrier. The Hamburg Rules dropped the “list of exceptions” and the Rotterdam Rules returned to the “list of exceptions”. Both those and others excluded the navigation error as a basis excluding the carrier’s liability, and are not included in the legal system of the Russian Federation. However, some norms of the Hamburg Rules are reflected in Chapter 8 “Contract of Carriage of Cargo by Sea” of the Merchant Shipping Code of Russia. The relationship between the carrier and the charterer, cabotage transport (in large and small cabotage), and charter relations remained outside the scope of the rules of The Hague-Visby. These features of carriage by sea, as well as the carriage of cargo under a bill of lading between ports of different states were regulated by the Merchant Shipping Code, 1999, as amended and supplemented by 2021, as well as by the Civil Code of the Russian Federation, 1996, as amended and supplemented by 2021. The relationship between the Civil Code of the Russian Federation and the Merchant Shipping Code, in terms of legal force, is reflected in Article 3 of the Civil Code. It was established that the norms of civil law contained in other federal laws (including transport charters and codes) must comply with the Civil Code. However, the Constitution of the Russian Federation does not provide for a hierarchy of federal laws, and the civil code is placed on the same level of the hierarchical ladder with transport charters and codes. Consequently, later and more special acts, that is, all transport charters and codes, have priority. When determining the grounds for the carrier’s liability for non-preservation of cargo, it is necessary to take into account that he is a professional entrepreneur. According to the rules of civil legislation, the entrepreneur’s liability for non-fulfillment of a contractual obligation occurs on the basis of risk, without fault. The entrepreneur is exempted from liability only if he proves that the proper performance of the obligation was impossible due to force majeure, that is, extraordinary and unavoidable circumstances under these conditions (Article 401 of the Civil Code of the Russian Federation). Circumstances of force majeure are characterized by two main features: extreme and unavoidable. Circumstances relieving the carrier from liability by virtue of Article 796 of the Civil Code, are characterized only by unavoidable, they are not of an emergency nature: the loss, shortage and damage of the cargo occurred due to circumstances that the carrier could not prevent and the elimination of which did not depend on him. Consequently, the carrier is placed in more favorable terms compared to an ordinary entrepreneur. If the “list of exclusions” contained such reasons as navigational error, fire, risks, hazards and accidents at sea, force majeure, quarantine restrictions, hidden deficiencies of cargo, deficiencies in packaging, labeling, then the list of unavoidable circumstances seems to be more extensive than “list of exceptions”. The liability of a person who does not carry out entrepreneurial activity occurs only for a guilty failure to fulfill an obligation; the entrepreneur is liable for guilty and innocent non-performance, except for those caused by unavoidable and at the same time extraordinary circumstances. The carrier is liable for guilty and innocent non-performance, other than caused by any unavoidable
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circumstances. In Table 1, the “+” sign indicates the cases of incurring liability, the “−” sign indicates the cases of exemption from liability. Table 1. Liability for guilty and innocent non-performance of the contract Subject of responsibility
Guilty failure
Innocent failure Avoidable circumstances
Unavoidable circumstances Regular
Extraordinary (force majeure)
Non-entrepreneur
+
−
−
−
Carrier-entrepreneur
+
+
−
−
Entrepreneur
+
+
+
−
The Civil Code of the Russian Federation, part two of which came into force on March 1, 1996, introduced fundamental changes to the regulation of the carrier’s liability. First of all, the terms of his liability were changed. The Civil Code of 1964 established the carrier’s liability for non-preservation of the cargo accepted for carriage on the basis of fault, and the carrier was liable only if he could not prove that the loss, shortage, damage or deterioration occurred through no fault of his (Article 382). Moreover, the Civil Code allowed for the establishment in transport charters and codes of cases where proof of the carrier’s fault was assigned to the consignee or consignor (Article 382, Part 2). This opportunity has been widely used; in practice, it was very difficult to prove the guilt of the carrier, therefore, in fact, the charters and codes established the grounds for exempting the carrier from liability. Article 796 of the Civil Code refers to the objective impossibility to fulfill the obligation properly. Such circumstances, objectively unavoidable (regardless of the degree of care and discretion of the carrier), cannot be equated with the absence of fault. The Civil Code allows the establishment of conditions of carriage by transport charters and codes (Article 784). There is no mention of the possibility of establishing special conditions for exemption from the carrier’s liability for non-preservation of the cargo. Of course, the main task of the Merchant Shipping Code is to regulate national legal relations in the field of merchant shipping (sailing in large and small cabotage). The rules of private international law, as well as international private maritime law (navigation in foreign traffic) include the rules of Chapter 24 “Applicable Law” (Articles 414–426). This chapter resolves the most important issues of bringing to responsibility the participants of carriages by sea in a general average, liability for damage from pollution from ships with oil, in connection with the transportation of hazardous and noxious substances, pollution with bunker fuel. Chapter 8 of the Merchant Shipping Code of Russian Federation “Contract for the Carriage of Cargo by Sea” contains the rules that apply both for carriage by bill of lading and by charter. Russian experts in the field of maritime law note that the Russian legislation regulating carriages by sea is complex (in some cases, in foreign legal literature, this kind of legislation is called “hybrid”).
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According to Article 115 of the Merchant Shipping Code of the Russian Federation, the main duty of the carrier is the obligation to deliver the cargo that the sender has transferred or will transfer from the port of departure to the port of destination and issue to the person entitled to receive the cargo, and the shipper is obliged to pay the carrier the freight and freight charges. With regard to cargo accepted for carriage, from the time of its acceptance until the moment of its issuance, the carrier must properly, with due care and diligence, load, handle, stack, transport, store, unload the cargo.
3 Results The Civil Code, adopted twenty-five years ago, was built exclusively on a private law basis. The public-legal orientation of the norms of transport legislation is due to the special specifics of transport activities. Transport accidents lead not only to property damage to the ship owner, they cause irreparable harm to the environment. This is especially true of accidents during the transportation of cargo by tankers. The spill of oil products, liquefied gas, toxic chemicals leads to irreparable harm to the environment. In the Russian legislation, transport activities are classified as sources of increased danger. This explains that the rules of transport charters and codes are predominantly imperative. The carrier’s agreements to limit his liability are invalid. Traditionally, the freedom of contract for carriage has been significantly reduced. The formation in Russia of contractual regulation of the carriage of cargo instead of administrative and legal regulation began only in the 60s of the twentieth century. The norms of national and international law, prescribing the grounds for exemption the carrier from the obligation to compensate for damage in connection with shortage, damage, injury to the cargo, contain numerous conflicts. In the Civil Code of the Russian Federation, the carrier bears liability for the non-preservation of the cargo, unless he proves that the loss, shortage or damage to the cargo occurred due to circumstances that the carrier could not prevent and the elimination of which did not depend on him. In the doctrine of civil law, such an interpretation is usually identified with the guilty behavior of the carrier. However, guilty behavior is a lack of care and discretion in the performance of a contractual obligation. Article 796 of the Civil Code refers to the objective impossibility of fulfilling the obligation in a proper manner. Such circumstances, objectively unavoidable (regardless of subjective criteria – the degree of care and discretion of the carrier), cannot be equated with the absence of guilt. In the Merchant Shipping Code, there is no norm on the grounds for the carrier’s liability for non-preservation of cargo. A casual list of circumstances that exempt the carrier from liability does not comply with international regulation. In international agreements, the presumed guilt of the carrier is the general rule of his liability for the non-preservation of the cargo. The carrier is considered guilty until proven guilty of the shipper or the charterer. In addition to the general rule, the conventions, including the Hague-Visby Rules (article 4), contain a list of grounds that exempt the carrier from liability. In particular, the carrier is exempt from liability for acts, negligence or omissions of the captain, crew member, pilots or employees of the carrier in navigation or ship management. A similar circumstance, called a navigational error in the Merchant Shipping Code, also relieves the carrier from liability. The reasons
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for the navigation error are, first of all, the failure of the captain of the ship to ensure the discipline of the crew, the physical fatigue of the crew members (emergency work), that is, the so-called “human factor”. To minimize the risks associated with navigational error, the carrier-ship owner should work only with reliable crewing companies, which, when selecting a crew, take into account all modern recruitment methods, have international licensing, meet all the requirements of international maritime organizations, and have training classes, develop mentoring, are recognized by the global maritime community. The carrier-ship owner, as an entrepreneur, is the employer for the ship’s crew. The relationship between the ship owner and the ship’s crew members is determined by labor contracts with the crew members. The ship owner is obliged to create working conditions for the crew members that do not worsen their legal status in comparison with the norms of the law of the state of the flag of the ship. The ship owner is obliged to bear the risk of liability for the actions of his employees in the performance of their contractual obligations. Navigational errors should be reduced to zero. It is necessary to harmonize the sources of civil Russian legislation with international ones, which will serve the uniform application of legal norms, protect the interests of all participants in the transportation process, and increase the competitiveness of the Russian merchant fleet. For the final solution of the issues of improving Russian legislation, it is necessary to be guided not only by internal legal criteria, but also by considerations of expediency and protection of public interests. The formation of the institute of carrier liability and maritime law in general in Europe has a long history. It went from collections of maritime customs (European countries lived under the same customary law) to a similar codified maritime law in most of the maritime powers of the 19th century. At the beginning of the 20th century, international convention legislation was adopted on a generally accepted basis in merchant shipping. The isolation from the sea shores did not allow Russia to join the European customary law, to develop its own legislation. Russian legislation of the 18–19th centuries borrowed German-Dutch and French models. In 1914, the Merchant Shipping Code was still a draft and the Charter of Merchant Shipping of 1781 was in effect. In the 50–80s of the 20th century, the rapid development of the Soviet merchant fleet took place. The ports of Russia, Latvia, Estonia, Lithuania, Ukraine, Georgia numbered hundreds of ships: tankers, refrigerators, timber carriers, dry cargo ships, container ships. A powerful icebreaker fleet was built, including a nuclear and fishing fleet. This required new legislation in line with international rules and standards.
4 Discussion The carrier is responsible for the non-preservation of the cargo. The main sign of nonpreservation (loss, shortage, damage) is a quantitative shortage of cargo; breakdowns, damage and other signs of a decrease in its quality, or its complete unsuitability for its intended use. For example, special refrigerated ships (“banana trucks”) are used to deliver bananas. Proper storage conditions for bananas are a science. Before loading, the air in the ship’s holds must be cooled to +8.5 °C. Otherwise, the effect of a “banana bomb” may occur, an uncontrolled rise in the temperature of the berry and its spoilage. 24-h automatic control of banana pulp temperature, carbon dioxide concentration and
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humidity in the hold are necessary to ensure the safety of the cargo. If the conditions are not met, bananas can ripen within one day right in the open sea. This will cause damage to the cargo owner. In turn, the sender is responsible for providing the cargo in original containers and packaging, which ensure its complete safety during transportation and transshipment, transfer to the carrier a loading order for each batch of cargo prepared for shipment, and also indicates the number of places and quantity (weight, volume) of the cargo, its labeling. The obligations of the sender also apply to the carriage of cargo under the bill of lading, and on the condition of providing for the carriage of the entire ship, its part or certain ship premises (charter). The duties of the charterer include: acceptance of the arrived ship; preparation of cargo for loading and its loading on time (lay time); freight payment. The Merchant Shipping Code lacks a general rule on the grounds for the carrier’s liability for non-preservation of cargo. In addition, there is a casuistic list of circumstances in which the carrier is not responsible (Articles 166–167), and the circumstances in which the burden of proof is imposed on the consignee (Article 168). In this list, a special place is occupied by the so-called navigational error (actions, negligence or omissions of the captain; crew member, pilot or carrier’s employees in navigation or ship management). It should be noted that the rule on the exemption of the carrier-ship owner from liability for loss, damage and injury to cargo in case of a navigational error arose at the beginning of the twentieth century. It was caused by insufficient technical equipment of the ships. At the present time, this rule is subject to justified criticism of specialists. With the development of technique and technology, the innovative development of transport activities, a navigation error indicates the carrier’s fault in the form of negligence. An act (action or inaction) committed through frivolity or negligence is recognized as negligent. An act is recognized as committed by negligence if the person did not foresee the possibility of a harmful result, but with the necessary care and foresight, he should and could have foreseen these consequences. For example, the captain of the ship did not ensure proper discipline of the crew members. During the night watch, the sailor made a round of the ship, went into the cabin and fell asleep. At this time, the second mate fell asleep on the navigating bridge during the night watch. This led to a navigational error, the ship ran aground. The crew members violated labor discipline, did not properly prepare for the watch. There was no proper control. It should be noted that during the carriage of cargo in cabotage, as well as by any other mode of transport (except sea transport), a navigation error does not relieve the carrier from liability. The transport charters and codes regulating transportation by inland water transport and road transport, as well as the Merchant Shipping Code, also establish lists of grounds that exempt the carrier from liability. In the 1997 Air Code (as amended in 2021) and the 2003 Charter of Railway Transport of the Russian Federation, there are no grounds exempting the carrier from liability in case of non-preservation of the cargo. In Table 2, the “+” sign indicates the cases of absolute grounds of exemption from liability in relation to the corresponding type of transportation.
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Table 2. Absolute grounds that exempt the carrier from liability for the type of transport Subject of liability
Absolute grounds for exemption from liability The cargo arrived in serviceable cargo spaces, with serviceable seals and containers
Restricting or Force majeure prohibiting the movement of ships, saving lives
Any measures Fire not to save persons caused by the or reasonable carrier measures to save property at sea
MSC
+
+
+
+
+
IWTC
+
+
−
+
−
CRTULET
+
+
+
−
−
CRT
+
−
−
−
−
AC
−
−
−
−
−
The Charter of Road Transport and Urban Land Electric Transport (CRTULET) of 2007 contains a provision on circumstances exempting the carrier from liability for nonpreservation of the cargo if circumstances are proven that the carrier could not prevent or eliminate for reasons beyond his control. In addition, it contains grounds that exempt the carrier from liability unconditionally (without proving the fact) under force majeure circumstances, temporary traffic restrictions and other circumstances. The 2001 Inland Waterway Transport Code (IWTC) in article 118, which speaks about the responsibility of both the towing vehicle and the carrier, provides a list of grounds that exempt the carrier from liability when limiting and prohibiting the movement of ships, saving lives, the fault of the shipper and others. In this case, the circumstances of non-contractual and contractual liability are not distinguished. It is specially stipulated that the delivery of cargo on a serviceable ship with serviceable locking and sealing devices or accompanied by a representative of the consignor, consignee without locking and sealing devices, if there is a mark in the bill of lading, is another unconditional basis for the exemption of the carrier from liability with only one reference to them. Thus, transport charters and codes resolve the issue of the carrier’s liability for non-preservation of cargo in different ways, and differently than the civil code and international agreements.
5 Conclusion In the course of this study, the authors made the following conclusions: 1. The main approaches of legislative acts to the definition of the conditions of the carrier’s liability for non-preservation of the cargo are identified, the grounds for bringing the carrier to liability are determined.
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2. Substantiated the provision that the sources of transport legislation gravitate towards public legal norms of a peremptory nature. Civil law (property) liability is a special type of legal relationship, expressed in adverse consequences of a property nature on the side of the carrier for non-preservation of the cargo. 3. Unfavorable property consequences, called sanctions, occur for the debtor in case of non-fulfillment or improper fulfillment of obligations. In the structure of the civil code of the Russian Federation, the norms on the carrier’s liability are contained in a number of chapters. Special rules on liability are enshrined in the second part of the Civil Code. 4. It is necessary to unify Russian legislation, in particular, civil and transport legislation. The development of a common approach to determining the conditions and grounds for the carrier’s liability requires taking into account foreign experience. The consistency of the sources of Russian legislation with international ones based on public-private legal principles will serve a uniform understanding and application of the rules of law, and the protection of the rights of all participants in the transportation process. For the final solution of this issue, it is necessary to be guided not only by intra-legal criteria, but also by considerations of expediency, protection of public interests. 5. The responsibility of a professional carrier for non-preservation of the cargo is incurred regardless of the presence or absence of fault. A navigational error is the result of guilty behavior, and therefore cannot be a circumstance that exempts the carrier from liability.
References 1. Feichtner, I.: Contractor liability for environmental damage resulting from deep seabed mining activities in the area. Mar. Policy 114, 103502 (2020) 2. Zhang, D., et al.: New uncertainty modelling for cargo stowage plans of general cargo ships. Transp. Res. Part E: Logist. Transp. Rev. 144, 102151 (2020) 3. Bullock, J.A., Haddow, G.D., Coppola, D.P.: Chapter 7. Transportation safety and security. Introduction to Homeland Security, 6th edn., pp. 359–423. Butterworth-Heinemann (2021). https://doi.org/10.1016/B978-0-12-817137-0.00007-9 4. Lee, J.S.: Limitation of liability and governing law for accidents occurring before issuance of bill of lading. Asian J. Shipp. Logist. 34(1), 13–18 (2018) 5. Shan, D., Neis, B.: Employment-related mobility, regulatory weakness and potential fatiguerelated safety concerns in short-sea seafaring on Canada’s Great Lakes and St. Lawrence Seaway: Canadian seafarers’ experiences. Saf. Sci. 121, 165–176 (2020) 6. Chen, J., Bian, W., et al.: Factor assessment of marine casualties caused by total loss. Int. J. Disaster Risk Reduct. 47, 101560 (2020). https://doi.org/10.1016/j.ijdrr.2020.101560 7. Baumler, R.: Working time limits at sea, a hundred-year construction. Mar. Policy 121, 104101 (2020). https://doi.org/10.1016/j.marpol.2020.104101 8. Kindred, H.M.: Liability and efficacy in marine transportation: impacts of the new carriage of goods by water. In: 29th Annual Canadian Transportation Research Forum (CTRF), Vancouver, British Columbia, p. 306012 (2012). https://doi.org/10.22004/ag.econ.306012 9. Chekunova, O.N.: Features of regulation of the transport relations of the subjects of business activity connected with transportation. J. Econ. Entrep. 11(88), 458–460 (2017)
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10. Djadjev, I.: Obligations of the Carrier Regarding the Cargo. Springer, Cham (2017). https:// doi.org/10.1007/978-3-319-62440-2 11. Karanassos, H.A.: Chapter 3. Shipbuilding basics and strength of ships. In: Commercial Ship Surveying, pp. 29–60. Butterworth-Heinemann (2016)
Conceptual Approach to Formation of the Electronic Budget of Budgetary Organizations Elena Lavrenteva(B)
, Aleksandra Brovkina , Sergey Kotov , and Alla Zhelamskaia
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 Saint-Petersburg, Russia
Abstract. The article discusses the features of the formation of an electronic budget, as the main tool for ensuring transparency of the budgetary process and strengthening the role of participants in the budgetary process, including budgetary organizations, in the formation of an effective system for managing budgetary funds. As part of the study, an analysis of the available regulatory sources and their comparison with international practices in the implementation of systems similar to the “Electronic Budget” system was carried out. Also, the main targets were identified, reflecting the success of the development of such management systems abroad, the need to improve the detailed system for the implementation and development of the electronic budget. The article highlights the main problem areas in the electronic budget system that require elaboration, taking into account the opinions of all participants in the budgetary process. The article also discusses measures to improve the integration of a centralized and decentralized approach to public finance management, taking into account the example of participatory models of initiative budgeting. Keywords: State integrated information system · Electronic budget · Budgetary organizations · State budget
1 Introduction The progressive development of digitalization has a significant impact on effective information management in all spheres of economic relations. The main direction of this process in the field of public and corporate finance is the formation of an electronic budget, which is typical for both international and national Russian practice. Abroad, financial management systems are widely used based on the mechanisms of digital interaction of participants in business processes at the state [USA, Korea, Mexico, Brazil] level and in the business environment in the open budget format. Within the framework of the BudgetPartnership’sOpenBudgetInitiative, principles of its functioning have been developed, as well as the main successful practices in key areas of assessing its effectiveness have been summarized. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1370–1379, 2022. https://doi.org/10.1007/978-3-030-96380-4_152
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In Russia, in this area, the state integrated information system (SIIS or State Integrated Information System or SIIS “Electronic Budget”) has also been developing for more than ten years, that currently is at the stage of active implementation and testing of planning and financial management mechanisms of public law entities. At the same time, the successful implementation of this system, like any global model of information control and management of public financial relations, faces a number of difficulties, both of an operational and technical and strategic nature. Recent years of development of public finance require an increase in the role of systems corresponding to new technological challenges. Within the framework of the topic, the main areas of research are models that focus on the efficiency of spending budget funds, technical methods for implementing public finance, assessing the role of individual subjects of public law relations in the implementation of government decisions and other areas. However, the issues of the functioning of budgetary institutions in the state integrated information system have not been thoroughly investigated and reflected in scientific publications, which in a certain way hinders the effective implementation of this process. In this regard, the allocation of conceptual features of the formation of a corporate electronic budget is an important scientific area of research for the effective integration of budgetary institutions into SIIS, as a key functional element in the implementation of relevant government tasks. In addition, the assessment and analysis of the results achieved determines the directions for the further development of this system.
2 Material and Methods Methodically, the formation of the structure of the electronic budget of budgetary organizations is based on the fundamental theoretical approaches to the creation of SIIS. The key goals were the need to improve the quality of public management, ensure compliance with high international standards and increase the transparency of the budgetary process in the Russian Federation. The main research methods are analysis, comparison, induction, generalization, abstraction, detailing and others. The initial method is to analyze the available regulatory sources and compare them with international practices for the implementation of systems similar to SIIS. The theoretical aspects of the implementation of public finance management systems are widely presented in the scientific literature [1–4, etc.]. The most important areas of research relate to models that focus the attention of researchers on the efficiency of spending budget funds [5–7], technical ways of implementing financial relations [8–10], assessing the role of individual subjects of public law relations in the implementation of state goals and a number of others directions. Based on the basic concept of the implementation of SIIS in Russian public administration, using comparison algorithms, the main targets were identified, taking into account international practices, reflecting the success of the development of such management systems. Also, using induction methods, the need to improve the detailed system for the implementation and development of SIIS was identified. On the basis of the considered domestic and foreign studies, using the principles of analytical generalization
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and abstraction, the general functions assigned to SIIS “Electronic Budget” were detailed and the key role of budgetary institutions in the implementation of an effective model of the functioning of this system was specified. The formation of SIIS is primarily regulated by legislative and regulatory acts (such as the Concept for the Creation and Development of the State Integrated Information System for Public Finance Management “Electronic Budget”, approved by the order of the Government of the Russian Federation of July 20, 2011 N 1275-r, Resolution of the Government of the Russian Federation of June 30, 2015 N 658 “On the state integrated information system of public finance management” “Electronic budget”), the enforcement of which is considered in a number of scientific publications not only from the economic, but also from the legal side. Statistical analysis showed that all federal institutions, in accordance with regulations, were introduced into the “Electronic Budget” system and endowed with the status of “subject” in it. They are entrusted with responsibilities for fulfilling their functions, in terms of implementing the budgetary process, as well as filling system registers and reference books with up-to-date and reliable information. An important component of the role of the subjects of this process is the proposal of new, more effective practices for the implementation of the assigned tasks, which can subsequently be transmitted to other participants in the public finance management system. Currently, this system has gone through several stages of development and implementation. The concept and functioning mechanism were approved and became the basis for the implementation of SIIS in federal, regional and local authorities.
3 Results Methodically, the formation of the structure of the electronic budget of budgetary organizations is based on the fundamental theoretical approaches to the creation of the SIIS “Electronic budget”. The studies performed allowed us to identify and systematize two main conceptual approaches [11–13] to the creation and development of information systems for public finance management: centralized and decentralized, which is summarized in Table 1. Table 1. Comparison of approaches to the creation of a public finance management information system Comparison criterion
Basic approaches Centralized approach (unified) Decentralized approach
Construction principle
Maximum possible unification Using local systems and integration of functional areas of management
Countries where the model is Austria, Australia, Canada, common USA, France and Brazil
United Kingdom (continued)
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Table 1. (continued) Comparison criterion
Basic approaches Centralized approach (unified) Decentralized approach
Model advantages
The use of uniform requirements for public finance management, ensuring the comparability of budget indicators at all levels, the development of interagency cooperation, optimization of costs for information, telecommunications and transport infrastructure, energy and other resources
Allows one to implement a more flexible approach to financial management and the possibility of a step-by-step development of the existing infrastructure, the ability to use budget funds as efficiently as possible
Model disadvantages
Less adaptive to external changes and user requests, but require significant costs to ensure the reliability of the operation and safety of information resources, as well as compliance with the formal procedures for their application
Does not provide access to information in real time, requires significant costs for the acquisition, maintenance, revision and modernization of software, lead to low labor productivity of employees engaged in accounting activities
In the Russian Federation, the centralized approach is chosen as the main approach, since it is more consistent with the principles of organizing the budgetary system of Russia and is most relevant in the context of asymmetric information. The SIIS development mechanism provides for three main stages (Fig. 1), each of which was analyzed for the success of the completion and the results achieved, transmitted to the next stages. As part of the development and implementation of the SIIS concept, the definition of the tasks and principles of the formation and functioning of the system did not have a clear reflection of its functional essence. Considering the structure and development of the system, one can single out the classic, from the point of view of modern public financial management, functional components of its use, presented in Table 2. The highlighted functions as a whole have been successfully implemented within the framework of the functioning of SIIS, especially the first four, at the same time, the issues of integrating budgetary institutions of various levels of management and improving the quality of this management are still relevant at various stages of the budgetary process. Analysis of the regulatory framework used to create the “Electronic Budget” system allows one to highlight and evaluate the results achieved.
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Stage I
Stage II
Stage III
Formation of a system project and distribution of managerial and technical powers for its implementation, including technical documentation, which is the basis for further development of a unified system of registers and purchasing activity management.
At this stage, the already existing electronic interaction systems are tested, which serve as the technological foundation for the further development of SIIS.
Development and integration into a unified system of subsystems for managing income, expenses, cash, financial assets and debt. Also at this stage, accounting and reporting systems are being formed, followed by financial control tools and systems for information and analytical support of the budgetary process.
At this stage, the integration of the main functionality is implemented, which allows one to create a unified system of document flow and information exchange between participants in the budgetary process
Development of subsystems for managing non-financial assets, human resources, as well as revision and development of subsystems developed at the first and second stages.
At the last stage, the functionality of business process management at the local level is expanded and their specifics are integrated into a unified management information base.
Fig. 1. Stages of development of SIIS “Electronic budget”
Table 2. Functional elements of SIIS for budgetary organizations No
Functions
Content
1
Planning
The planning system is not only for the general indicators of budgets and target programs of various levels “from top to bottom”, but also taking into account the opinions of the executors of the budgetary process with bilateral participation in the formation of a strategy for the development of public finances
2
Coordination
Operational accounting of data “on the spot” in the budgetary process management system, the introduction of necessary adjustments to tasks, including using BigData technologies
3
Information support
Providing reference and analytical information based on a unified database of all participants in the budgetary process
4
Control
Improving the quality of information and the speed of its processing, prompt response to deviations from the target parameters of the budgetary process (continued)
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Table 2. (continued) No
Functions
Content
5
Improving the quality of management
Translation of the best financial management practices at different levels for their further transformation into methodological systems recommended for implementation
6
Integration
Ensuring the processes of unification of all levels of the budgetary process based on digitalization technologies
4 Discussion The analysis of the Russian electronic budget system is presented annually in the framework of the reports of the global research program devoted to this problem. The long-term development of the public financial management system and the identification of the key functions of this process are the determining factors for assessing the results achieved. All this is based on the model of the availability of budgetary information for all interested users. The final criterion for the creation and development of SIIS “Electronic Budget” has been determined by the Government of the Russian Federation as an international transparency rating (https://www.internationalbudget.org/open-budget-survey). Among the states of Eastern Europe, the Russian Federation does not occupy a leading position, however, the detailed analysis performed allows us to draw conclusions about the prospects for improving the quality of public finance management, and the identified disadvantages are removable. The rating system used by the IMF (Open Budget Index) covers 117 membercountries and is formed on the basis of three assessment elements, for each of which points are assigned from 0 to 100: – transparency – assessment of the availability for public control of information on 8 key program documents of public finance; – public participation – assessing the ability of society to influence the formation and implementation of plans for public finance management through interaction with legislative and executive authorities; – supervision of the budget – participation in the control over the execution of the budget of both the representative bodies of the legislative power and the supreme and public audit systems. In 2019, the rating of Russia was 74 out of 100 in terms of transparency, achieved in 2012, and is consistently held at this level. Note that in the analysis of the Russian model for this parameter, there is also a significant disadvantage – the lack of promptness in providing information on the current results of the implementation of budgetary tasks, as well as the predictive and analytical component of these processes on the part of the
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responsible structures. This generates risks of increasing errors, especially in the context of not only direct, but also indirect impact of the budget on the activities of other subjects of the budgetary process. According to the rating of the effectiveness of budgetary supervision, the Russian system is also in the leading positions, with an indicator of 85 points out of 100. Further development of control systems for budgetary processes for the purposes of public administration is aimed rather at increasing the responsiveness of the subjects of the budgetary system to new challenges than at solving problems of delineating powers and determining responsibility for the results of SIIS participants. The weakest component in the rating is the parameter of public participation, the level of which is estimated at only 22 points out of 100. Despite some positive dynamics, in 2017 this indicator was at the level of 13 points. The key problems noted by international researchers (https://www.internationalbu dget.org/sites/default/files/country-surveys-pdfs/2019/open-budget-survey-russia2019-en.pdf) is the decline in quality involving public institutions and citizens in the processes of budgetary management and control. The main recommendations for improving the quality of public financial management systems within the framework of the Open Budget Index criteria include both reducing administrative barriers for public representatives to discuss the parameters of the budgetary process, and increasing initiative in matters of public audit in public finance. The task of involving society in decision-making can be implemented in various ways. The system of principles of public involvement allows to a more flexible approach to the implementation of the tasks set. The most relevant for the Russian SIIS system are the principles presented in Table 3. Table 3. Principles of public involvement in the electronic budget system No
Principle
1
Inclusiveness
Content
The use of various mechanisms of interaction and involvement of various categories of consumers in decision-making on the allocation of budgets and the preparation of parameters for target programs, both at the local level and at the level of the entire state. Examples of the implementation of such models are such countries as Brazil, Mexico, the Philippines, the Republic of Korea and a number of others [1] 2
Timeliness
The splitting of decision-making cycles into several stages with the involvement of various participants in the budgetary process in the formation and refinement of the target parameters of the functioning of public finances has already been mastered in Russian practice, however, the effectiveness of such involvement has not been assessed and the real discussion process is often replaced by formal processes of “public hearings”. Determining the parameters of justified public participation at various stages of public finance management requires a separate study, which has not yet been conducted (continued)
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Table 3. (continued) No
Principle
3
Proportionality
Content
The level of interaction should correspond to the level of the tasks being solved. In this part of the implementation of public participation, a significant problem is formed in the Russian financial and economic system, traditionally built on the basis of a paternalistic model. At lower levels, the opinion of consumers of public services is often significantly less significant than the opinion of the governing bodies, as a result of which the “feedback” factor is lost in bureaucratic approval procedures. For example, in India, it is proposed to integrate feedback in issues of spending on improving the quality of the university’s infrastructure, not related to the educational process, even at the planning stages, by conducting surveys on the priorities for solving emerging problems [12]. A similar system of distribution of funding for educational institutions at the local level is presented in Mexico [13] 4
Sustainability
Constant regulatory interaction of all levels of the state management system in the implementation of the budgetary process requires the formation of institutional mechanisms for coordinating the interests of society and state structures in decision-making. This area should largely be based on the openness and accessibility of information within the SIIS “Electronic Budget”, however, without the formation of mechanisms for taking into account the opinions of society, this potential of the system may remain unrealized 5
Complementarity
Supplementing the systems of control and management of public finances on the part of the legislative and executive authorities in order to ensure an increase in the efficiency of all processes, and not waste time and money for the organization of conditional interaction
Modern approaches to public administration increasingly direct all participants to solve the problems of integrating the strategy with target benchmarks not only at the macro level, but also at the level of direct provision of public services. This task is entrusted to budgetary institutions or is implemented through an outsourcing system based on government orders, but the model of such interaction with society itself can be characterized as paternalistic. At the same time, satisfaction with the services offered in society in such conditions tends to decrease.
5 Conclusions The performed analysis of the available results of the creation of SIIS “Electronic Budget” allows us to conclude that the main goal of increasing the transparency of the budgetary process as a whole has been achieved. It is necessary to note the high speed of involvement of subjects of different levels in the electronic budgeting system. On the SIIS portal, 282,931 participants in the budgetary process are registered, as well as legal entities that are not participants in the budgetary process, there is data on 145,774 government agencies, information on assets and liabilities of budgets. However, it is necessary to focus on the difficulties that require a timely solution:
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– information on the main parameters of the federal budget is published quite quickly, however, analytical reporting is formed with an average delay of two years in the absence of data for the regions; – the integration of the processes of drawing up and executing budgets within SIIS has a number of technical difficulties associated primarily with low coordination of actions of various participants in the process, as well as the lack of the necessary functionality for servicing specific business processes; – the system of prompt submission of public reports on planned and achieved results in the public administration sector is not fully functioning. The publication of data is more than a year late, which does not allow public organizations to efficiently control the efficiency of the public finance system. The next important step in the development of the participation of budgetary institutions in the electronic budgeting system is to increase the role of their participation in the formation of the state assignment developed by the administrators of budgetary funds, and the operational management of resources within the planned limits based on participatory models of initiative budgeting. This will allow taking into account the opinions of various economic entities, including budgetary organizations that are consumers of public services for the creation and development of a constantly improving system for managing results in the financial field. Such systems are the next step to improve the integration of a centralized and decentralized approach to financial management, since it requires the development of interaction algorithms and the development of a single solution in the condition of multiple interests of consumers of public services.
References 1. Matveeva, N.S., Lebedeva, J.A., Petrina, O.A.: Application of digital technologies in public finance. In: Popkova, E.G., Ostrovskaya, V.N., Bogoviz, A.V. (eds.) Socio-economic Systems: Paradigms for the Future. SSDC, vol. 314, pp. 577–585. Springer, Cham (2021). https://doi. org/10.1007/978-3-030-56433-9_60 2. Chornovol, A., et al.: Public finance management system in modern conditions. Invest. Manag. Financ. Innov. 17(4), 402 (2020). https://doi.org/10.21511/imfi.17(4).2020.34 3. Shahbaz, M., Bhattacharya, M., Mahalik, M.K.: Financial development, industrialization, the role of institutions and government: a comparative analysis between India and China. Appl. Econ. 50(17), 1952–1977 (2018). https://doi.org/10.1080/00036846.2017.1383595 4. Fujii, E.: Government size, trade openness, and output volatility: a case of fully integrated economies. Open Econ. Rev. 28(4), 661–684 (2017). https://doi.org/10.1007/s11079-0179433-4 5. De Simone, E., et al.: The effect of fiscal transparency on government spending efficiency. J. Econ. Stud. (2019). https://doi.org/10.1108/JES-03-2019-0123 6. Steunenberg, B.: The politics within institutions for regulating public spending: conditional compliance within multi-year budgets. Const. Polit. Econ. 32(1), 31–51 (2020). https://doi. org/10.1007/s10602-020-09323-5 7. Oh, Y., Jeong, S., Shin, H.: A strategy for a sustainable local government: are participatory governments more efficient, effective, and equitable in the budget process? Sustainability 11(19), 5312 (2019). https://doi.org/10.3390/su11195312
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8. Zakharova, N.M.: The electronic budget integrated information system for public finance management: description and development trends. Econ. Taxes Law 11(2), 155–165 (2018). https://doi.org/10.26794/1999-849X-2018-11-2-155-165 9. Lacasandile, A.D., et al.: Development of an information-based dashboard: automation of barangay information profiling system (BIPS) for decision support towards e-governance. In: 2020 The 4th International Conference on E-Society, E-Education and E-Technology, pp. 68–75 (2020). https://doi.org/10.1145/3421682.3421691 10. Smith, R.: Electronic citizen participation in local government decision making; applications for public budgeting. In: European Conference on Digital Government (Academic Conferences International Limited), p. 274 (2015) 11. Malinovskaya, O.V., Skobeleva, I.P., Brovkina, A.V.: State and municipal finance (M.: KNORUS) (2010). https://doi.org/10.15216/978-5-406-04167-3 12. Joshi, A.S., Nandurkar, K.N., Pawar, P.J.: A novel approach for improving quality of learning environment in technical institutions. J. Eng. Educ. Transform. 34(1), 93–108 (2020). https:// doi.org/10.16920/jeet/2020/v34i1/151377 13. Murillo, F.J., Román, M.: School infrastructure and resources do matter: analysis of the incidence of school resources on the performance of Latin American students. School Effect. School Improv. 22(1), 29–50 (2021). https://doi.org/10.1080/09243453.2010.543538
Factors and Problems of Sustainable Development of Passenger Shipping Companies in the Inland Waterway Transport of St. Petersburg Nadezhda Legostaeva(B)
, Nadezhda Novozhilova , and Ilia Vvedenskii
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya str., 198035 Saint-Petersburg, Russia
Abstract. The paper deals with the concept, factors, problems and opportunities for sustainable development of shipping companies operating in the market of passenger transportation by inland waterways of St. Petersburg. The heterogeneity of shipping companies in terms of the state of the resource potential is revealed. Statistical data on the reasons for the low level of investment and innovation activity in this area of business, as one of the key elements of sustainable development, is considered and analyzed. The systemic nature of the reasons hindering the increase in the efficiency of the carrier companies and the dependence of the implementation of their sustainable development strategy on government support is noted. The key problem in the field of sustainable development is the high level of physical and moral deterioration of the transport fleet. Among the main factors influencing the sustainable development of ship-owning companies, there are: gaps in legal support for the development of green technologies, underdeveloped infrastructure for electric ships; insufficient state support measures for green shipping, insufficient public attention to environmental protection issues, low level of financial and investment potential of passenger shipping companies. Keywords: Sustainable development · Passenger shipping companies · Water transport · Sustainable development potential · Sustainable development factors
1 Introduction Achieving the goals of sustainable development by water transport companies, including in the field of passenger transportation, is of particular relevance, since a significant percentage of them are unprofitable and have systemic problems in the field of increasing the level of resource potential, management efficiency, and strategic planning. For the first time the term “sustainable development” as a general civilizational goal was introduced into the scientific and international political globalist turn in the report of the International Commission on Environment and Development (ICOSD) at the 42 Session of the UN General Assembly in 1986. Within the framework of this ambitious goal-setting, sustainable development implies development that meets the needs of the present, without a threat to future generations. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1380–1389, 2022. https://doi.org/10.1007/978-3-030-96380-4_153
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In the work of Russian authors Sakharov, A., Kolmar, O. [1], it is noted that the implementation of sustainable development goals is of particular interest not only in the international context, but also in accordance with the agenda of the socio-economic development of the Russian Federation. The results of their research indicate that there are opportunities to further improve the effectiveness of the implementation of the SDGs at all levels of the economy based on a conditional approach that ensures solidarity and balance of social, economic and environmental aspects of the implementation of sustainable development goals. Taking into account the research problems of this paper, the authors analyzed modern scientific works and the best domestic and world practice on the formation, classification of factors and mechanisms for implementing the concept of sustainable development at the corporate level. The purpose of this work is to study the key factors of sustainable development of shipping companies based on international experience, taking into account Russian specifics. For this it is necessary: 1) to analyze the development of theoretical approaches by reviewing scientific publications on the topic of sustainable development of shipping companies; 2) to consider the international experience of highlighting the key factors of sustainable development of shipping companies; 3) to study the selected factors of sustainable development of shipping companies using the example of the St. Petersburg passenger transportation market.
2 Materials and Methods The establishment of the concept of corporate sustainability is associated with the name of J. Elkington. In 1994, the scientist introduced the concept of “triple bottom line” (TBL or 3BL), which made it possible to move from the financial and environmental measurement of the organization’s activities to the analysis of socio-economic impact, which was almost not taken into account before. The model proposed by J. Elkington actually took into account three components of sustainable development - environmental, economic and social ones in relation to the company. At the same time, the idea of the corresponding strategy “Triple-Win Strategy” was formed, the implementation of which assumed not only the achievement of success by the organization itself, the satisfaction of consumers, but also the fulfillment of the requirements of various groups of interested parties [2]. In the course of the study, the controversial nature of the approaches to the interpretation of the category of sustainable development of the enterprise was revealed. Sustainable development of an enterprise in various scientific sources is associated with indicators of economic growth, growth in business value, return on innovation and investment, the level of resource potential and risks. Most foreign economists, relying on the fundamental work of R. Marris [3], consider the growth of the company’s value to be the strategic goal of any business and the key factor of sustainable development, which is primarily determined by the growth rate of sales. Domestic scientists share this opinion. Thus, in particular in [4], it was established that “sustainably rapid growth is achieved by firms that manage to achieve dynamic equilibrium, increasing the size of the market niche as it becomes saturated”.
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The work of T.A. Pantina is devoted to the methodology of planning passenger transportation by inland waterway transport [5]. The obtained results and conclusions of her research can serve as the basis for the formation of plans for the sustainable development of shipping companies based on increasing their investment activity and strengthening the role of the state. Sustainable business development is inseparable from its innovative activity. At the moment, domestic companies in the real sector, including passenger shipping companies, are not uniform in terms of this criterion, and as a result, they have different levels of competitiveness. Analysis of the level of innovative potential of industrial enterprises and its relationship with sustainable development are presented in the works of Komkov N.I., Lazarev A.A., Romantsov V.S., Sutyagin V.V. In particular, the source [6] notes the dependence of companies’ innovative activity on the level of government support. And among the main factors influencing innovation, the authors consider the need to reform the financial sector, the transition to targeted project management. The need to introduce innovations for sustainable development in such a segment as tourism, which includes inland water transport companies, organizing cruises and sightseeing tours, is mentioned in the works by A.G. Asmelash, S. Kumar [7], Mamraeva D.G., Tashenova L.V. [8]. The latter note that when assessing the attractiveness of a tourist product, according to their methodology, the block “means and conditions for the implementation of the tour” should include eco-technology modes of transport. Given that the sustainable development strategy of passenger shipping companies on inland waterways is closely linked to innovation potential, the use of new types of electricpowered vessels will contribute not only to the growth of the business performance itself, through cost savings, but also to improve the environmental component, as a key block of the concept of sustainable development. It should be noted that studies of the specifics and factors of sustainable development of companies in Russia in the sectoral context have recently intensified. Examples include the works of A.V. Kaplan, M.A. Tereshin, O.E. Astafiev in relation to the sustainable development of coal industry enterprises [9]. The authors identified general and specific factors of sustainable development of mining enterprises and proposed an integral sustainability index. The main factors influencing the sustainable development of companies in the “mechanical engineering and metalworking” industry are presented in [10], among them the fundamental ones are the lack of capital investments and low labor productivity due to technological lag. Analysis of foreign sources on the problems of sustainable development of transport [11–14] revealed the trend of updating the concept of sustainable development of companies based on the principles of green logistics. These studies present various approaches to finding a balance of economic, environmental and social aspects of sustainability, classify sustainability factors in accordance with these aspects, and propose tools for implementing sustainable development strategies for companies in the transport and logistics complex. The work [15] is of great practical interest. Here the key factors of sustainable development were identified on the basis of a survey of employees of 36 shipping companies, the answers were processed using the analytic hierarchy process (AHP) method. As a result, it was found that, in terms of the global ranking, the five most important sub-criteria influencing the success of SSM are:
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‘financial resource’, ‘shareholders’ focus’, ‘physical assets’, ‘vendors’ focus’, and ‘fit with competitive strategies’. As for the research methodology, the research was based on the methods of financial analysis and financial management, and statistical analysis of the state of the fleet of selected shipping companies. The study was carried out using official statistics and analytical reviews of the inland waterway transport industry, which made it possible to operate with reliable and up-todate information.
3 Research Results Analysis and systematization of scientific sources on the substantiation of the factors of sustainable development of enterprises in the real sector allows proposing for passenger shipping companies to consider these factors in the framework of the economic, environmental and social sustainability of the business, taking into account the industry specifics. The key factor in the economic stability of a company, from our point of view, is the state of resource potential, which is understood as a set of resources necessary or possible for use in the company’s activities, determined by quantity, quality, cost and terms of acquisition. The basis of the property potential in the field of river passenger transportation is the fleet, and it is advisable to include the age of ships, the rate of their deterioration, and the presence of an innovative, highly environmentally friendly fleet of the company among the indicators of its assessment. At the moment, the market for water transport is formed in St. Petersburg. About 18 companies operate in this segment of the transport industry. There are 110 small vessels in operation on the rivers and canals of the city. Passenger carriers on the waterways of St. Petersburg are part of the Association of Passenger Ship Owners of St. Petersburg, which was established in November 2003 and united more than 85% of the operating fleet for the coordinated solution of problems and issues arising both between shipping companies and in interaction with the City Administration. Table 1. Dynamics of the volume of traffic by inland water transport in St. Petersburg (million people) Transportation type
2016
2017
2018 2019
Transportation by high-speed vessels
0.89
0.52
1.0
Excursion tours with access to the Neva Bay of the Gulf of Finland
0.27
0.315 0.4
2020
0.864 0.312 0.607 0.2
Excursion tours passing along the rivers and canals of St. 0.549 0.83 Petersburg
1.6
1.26
0.78
Total
2.99
2.73
1.13
1.7
Source: Compiled by the author based on https://www.korabel.ru
1.67
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The analysis of the St. Petersburg water transport market for the period from 2016 to 2020, conducted within the framework of the study, revealed the following trends (Table 1). During navigation in 2020, passenger traffic on all waterways of St. Petersburg showed the worst value over the past 12 years. The navigation lasted 141 days, which is 75 days less than 2019. Due to the coronavirus, its beginning was dated June 28, and not April 12, as in the previous season. In total, 1.1 million people were transported in 2020, which is 41% of the 2019 level. High-speed vessels were used by 312 thousand passengers (36% of 2019), excursion tours along rivers and canals - 822 thousand (44% of 2019) (Table 2). Table 2. The structure of the traffic volume by inland water transport in St. Petersburg, (%) Transportation type
2016 2017 2018 2019 2020
Transportation by high-speed vessels
35
32.2
33
31
27.6
Excursion tours with access to the Neva Bay of the Gulf of Finland
15
18.8
13
22
17.6
Excursion tours passing along the rivers and canals of St. Petersburg
50
49
54
47
54.8
100
100
100
100
100
Total
Source: Compiled by the author based on https://www.korabel.ru
It is necessary to note the complete absence of foreign tourists during the pandemic. At the same time, there are no companies in the Association of Passenger Ship Owners that terminate their activities as a result of this navigation in 2020. Analyzing the structure of passenger traffic by water transport in St. Petersburg, it can be noted that the largest share belongs to excursion tours passing along the rivers and canals of St. Petersburg. Their share in different periods ranged from 47% to 54.8%. As it was already noted, 18 passenger water carriers operate in St. Petersburg. Table 3 shows the companies and the number of ships they own. As part of the work, based on the data from the information portal https://www.korabel.ru, the average age of the fleet was calculated. Table 3. Average age of ships of St. Petersburg passenger shipping companies Company name
Number of ships
Average age of ships
Astra Marine
8
28
Nevskaya classics
8
18
Nevsky fairway
6
13 (continued)
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Table 3. (continued) Company name
Number of ships
Average age of ships
Scarlet Sails
10
19
Smolninskoe Shipping Company
12
19
Water bus of St. Petersburg
12
15
St. Petersburg
2
15
Samson
3
13
Riva Line
3
7
Neptune
3
44
Neva-Kronverk
3
36
Nord thorn
4
6
Neva-Travel
17
39
Minhertz
6
31
Cruise
6
25
CORVETTE
6
19
Driver
8
23
Vita
6
Average age of all ships –
30 22.2
Source: Compiled by the author based on https://www.korabel.ru
The table shows that in St. Petersburg, the average age of passenger ships of shipping companies is 22 years, which is much higher than the same indicator in European countries, where the average age of the river fleet for passenger traffic does not exceed 13 years. And some carriers in St. Petersburg operate ships of 50–60 years old. The share of such a fleet is 5% of the total. The figure shows a graph of the distribution of passenger ships by age (Fig. 1).
25 20 15 10 5 0 1
2
3
4
5
6
7
8
9 10 11 12 13 14 15 16 17 18 19 20 30 40 50 60
Fig. 1. Schedule of distribution of St. Petersburg passenger ships by age
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The average level of the fleet depreciation rate for the analyzed shipowners of St. Petersburg is 65%. Thus, it can be summarized that the existing state of the transport fleet in the inland waterway transport of St. Petersburg is a factor inhibiting their sustainable development. In addition, as of 2020, none of the analyzed companies had a highly eco-friendly fleet. At the same time, the modern technological trend of “green shipping” in 2019 was the introduction of battery-powered passenger ships. The company NPK MSA LLC has developed a line of vessels intended for operation in urban agglomerations with waterways. The prototype of the Ecovolt vessel was presented at the 15th International Exhibition “Neva 2019” held in St. Petersburg. Among the advantages of these projects, the following can also be highlighted: increased passenger comfort by reducing noise and the absence of exhaust gases, environmental friendliness, attractive modern design. In addition to these three projects, Astra Marine LLC, which holds a leading position in the tourist passenger river transportation market, has announced a project for the construction of a battery-powered passenger ship based on a vessel of the Cuttlefish project. Neva Travel Company, another major player in the passenger water transport market, also plans to use battery-powered vessels with a passenger capacity of up to 80 people. The bottleneck for the development of this direction of green shipping in St. Petersburg is the lack of infrastructure for the operation of battery-powered vessels. However, the State Public Institution “Agency for Interurban Transport” (controlled by the city’s transport committee) is developing a program for equipping public berths with charging stations. As shown by the analysis carried out in the framework of this study, most operators of passenger transportation on the internal routes of St. Petersburg have an insufficient level of net profit as a source of reproduction of fixed assets, a number of them have low stability and profitability of operating activities. The table shows the performance indicators of 4 leading companies in the water transport market in St. Petersburg, which, with external support, are capable of making investments in fleet renewal. However, they do not have enough own funds, since the indicators of net profit are distinguished by a high level of volatility, and in some periods the enterprises suffered losses (Table 4). Table 4. Financial indicators of the activities of the leading passenger shipping companies of St. Petersburg Financial indicator
2019
2018
2017
2016
2015
2014
0.4
0.26
0.11
0.28
0.41
0.45
Return on sales
11.1%
22.1%
−70.1%
4.8%
−4.3%
22.3%
Net income (loss)
218
4226
−16814
465
2745
5197
Astra MARIN Autonomy ratio
(continued)
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Table 4. (continued) Financial indicator
2019
2018
2017
2016
2015
2014
Autonomy ratio
0.98
0.98
0.97
0.94
0.88
0.93
Return on sales
45.6%
36%
26.1%
15.1%
−28.7%
12.8%
Net income (loss)
1 700
23 936
15 381
8 373
3 799
−5 227
0.82
0.76
0.53
0.38
0.25
0.2
Astra MARIN Water bus
Neva-Travel Autonomy ratio Return on sales
18.4%
21.9%
14.2%
14.5%
11.5%
−0.5%
Net income (loss)
45 992
42 733
16 216
16 970
4 453
5 155
Autonomy ratio
0.71
0.55
0.36
0.4
0.4
0.38
Return on sales
23.5%
1.8%
7.3%
−2.9%
9.7%
21%
Net income (loss)
2 004
2125
−1 113
−1 072
540
3 732
Scarlet Sails
Taking into account the fact that the financial condition of enterprises is traditionally the basis of its investment potential, it can be concluded that its level is insufficient in the considered segment of the transport industry and there is the need for state support in this area. Taking into account the physical and moral deterioration of the main share of the passenger river fleet, innovative developments should be in demand, since the impact of environmental innovations on the efficiency of companies’ functioning has been proven by the best practice of foreign companies.
4 Discussion Among the main factors hindering the sustainable development of domestic shipping passenger companies in inland waterway transport, in its traditional concept of the trinity of economic, environmental and social aspects, one can single out: • • • • •
lack of a regulatory framework that meets the modern requirements of the industry; underdeveloped infrastructure both in the field of CNG and battery-powered vessels; lack of measures of state support for shipping companies introducing green shipping; insufficient public attention to environmental protection issues. low level of financial and investment potential of passenger shipping companies.
In this context, the high level of wear and obsolescence of the transport fleet is the main problem.
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In terms of determining the level of investment potential, it is advisable to focus on the analysis of the company’s financial condition for the adequacy of equity capital for investment and options for attracting financial resources from external sources. Further research in the field of possible state participation in the following areas seems to be necessary: • regulation and control of the workload of companies by government orders (relevant for river shipping companies of the North, which transport passengers on small rivers in hard-to-reach areas); • provision of subsidies to reimburse part of the cost of paying interest on loans from banks and lease payments; • provision of subsidies for the modernization of the existing fleet.
5 Conclusion The authors of the paper, based on the analysis of bibliographic sources, considered modern approaches to the selection of sustainable development factors in various spheres of the real sector of the economy and, based on the results of the analysis of the passenger transportation market in St. Petersburg, identified problems and trends, proposed to consider the resource potential of companies as key factors of sustainable development, which is based on the fleet and financial capacity that creates the basis for investment and innovation. Thus, a further increase in the efficiency of river passenger shipping companies, the formation of new competencies by them, and an increase in competitiveness are not possible without introducing the concept of sustainable development into the company’s strategy and improving the investment mechanism based on public-private partnerships.
References 1. Kolmar, O., Sakharov, A.: Prospects of implementation of the UN SDG in Russia. Intern. Organis. Res. J. 14–1, 189–206 (2019). https://doi.org/10.17323/19967845-2019-01-11 2. Elkington, J.: Towards the sustainable corporation: win-win-win business strategies for sustainable development. California Manag. Rev. 36(2), 90–100 (1994). https://doi.org/10.2307/ 41165746 3. Marris, R.: The Economic Theory of Managerial Capitalism. IL, Free Press of Glencoe, Glencoe (1964) 4. Polunin, Y., Yudanov, A.: Growth rates of companies and filling of a market niche. Stud. Russ. Econ. Dev. 31, 202–211 (2020). https://doi.org/10.1134/S1075700720020094 5. Pantina, T.A., Borodulina, S.A.: Methods for estimation of multiplier effect of investments in development of infrastructure of inland water transport in the Russian Federation in the frameworks of federal target programs. Rev. Eur. Stud. 7, 83 (2015). https://doi.org/10.5539/ res.v7n9p83 6. Komkov, N.I., et al.: State and perspectives of development of domestic industrial companies. Stud. Russ. Econ. Dev. 31, 212–222 (2020). https://doi.org/10.1134/S1075700720020045 7. Asmelash, A.G., Kumar, S.: Assessing progress of tourism sustainability: developing and validating sustainability indicators. Tour. Manag. 71, 67–83 (2019). https://doi.org/10.1016/ j.tourman.2018.09.020
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8. Mamraeva, D.G., Tashenova, L.V.: Methodological tools for assessing the region’s tourist and recreation potential. Econ. Reg. 16(1), 127–140 (2020). https://doi.org/10.17059/2020-1-10 9. Kaplan, A.V., Tereshina, M.A.: Mining enterprises social-economic sustainable development assessment (2018). https://doi.org/10.18796/0041-5790-2018-8-86-90 10. Islamutdinov, V.F.: Factors affecting the development of the machine-building and metalworking industry in the Khanty-Mansi autonomous Okrug – Yugra. Econ. Region 14(4), 1424–1437 (2018). https://doi.org/10.17059/2018-4-28 11. Comerio, N., Strozzi, F.: Tourism and its economic impact: a literature review using bibliometric tools. Tour. Econ. 25(1), 109–131 (2019). https://doi.org/10.1177/135481661879 3762 12. Bach, H., et al.: Blending new and old in sustainability transitions: technological alignment between fossil fuels and biofuels in Norwegian coastal shipping. Energy Res. Soc. Sci. 74, 101957 (2021). https://doi.org/10.1016/j.erss.2021.101957 13. Océane, B., et al.: Optimized selection of vessel air emission controls—moving beyond costefficiency. Marit. Pol. Man. 42(4), 362–376 (2015). https://doi.org/10.1080/03088839.2013. 872311 14. Calabrese, A., et al.: Integrating sustainability into strategic decision-making: a fuzzy AHP method for the selection of relevant sustainability issues. Technol. Forecast. Soc. Chang. 139, 155–168 (2019). https://doi.org/10.1016/j.techfore.2018.11.005 15. Tran, T., et al.: A theory-driven identification and ranking of the critical success factors of sustainable shipping management. J. Clean. Product. 243, 118401 (2020). https://doi.org/10. 1016/j.jclepro.2019.118559
The Impact of COVID-19 Phobia on Business Climate in the Transportation Sector: Evidence from Russia Hod Anyigba1
, Svetlana Borodulina2(B) , Tatiana Pantina3 and Liudmila Trofimova4
,
1 Nobel International Business School, Accra, Ghana and SBS Swiss Business School,
Zurich, Switzerland 2 St. Petersburg State University of Civil Aviation, Street Pilotov, 38,
196210 St. Petersburg, Russia [email protected] 3 Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 St. Petersburg, Russia 4 Siberian State Automobile and Highway University (SibADI), Mirastr., 5, Omsk 644080, Russia
Abstract. The paper presents the results of studies on the Covid-2019 pandemic influence on the transport business and the business climate in the industry in 2020–2021. The data were obtained on the basis of a study by the authors of statistical reports on the business climate in the transport industry in Russia. The research results are based on the results of mathematical processing of questionnaire data. The authors studied in detail the influence of various phobias of transport workers on the parameters of the transport services market, which forms the environment for the functioning of transport companies and determines the business climate in the industry, its market dynamics. To conduct their own research, the authors created a conceptual model for studying the business climate from the input parameters. Symptomatic, psychological and social phobia are taken as factors describing the inputs of the built structures. The business climate of the transport industry in Russia was chosen as the effective parameter of the model. The research results should be used in the development of special programs for managing the transport business in conditions of instability and crises. Keywords: Transport and logistics companies · Symptomatic phobia · Psychological phobia · Business climate · Social phobia
1 Introduction The COVID-19 pandemic has put the economies of many countries at risk. It has had a different impact on different areas of business. Some industries are showing severe performance failures. The dynamics of the development of others almost did not change, or their growth was outlined. The failure of economic indicators is demonstrated by © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1390–1398, 2022. https://doi.org/10.1007/978-3-030-96380-4_154
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various sectors of the economy. According to a survey of Russian entrepreneurs and information from the Bank of Russia, 17% of them noted transport as the most affected sector of the economy. So, in general, in the world, the coronavirus has significantly brought down the transportation of goods and passengers. However, the parameters of the business climate of enterprises of different modes of transport in Russia showed significantly different dynamics in different periods of 2020. Air transport enterprises have suffered the most, passenger traffic and revenues have decreased. Trucking has traditionally been considered one of the indicators of business activity in the economy. This area significantly determines the demand for logistics services. Analysts of the Russian market, despite the restrictions during the pandemic, note a trend towards increasing the efficiency of this business. The purpose of this study is to assess the changes taking place in the transport sector of the Russian economy and to determine the impact of the pandemic on the business climate in the industry.
2 Materials and Methods Studies of the state of the economy in a pandemic have been carried out by many scientists. Serious negative dynamics of road container traffic was typical for April 2020. As shown by the Platon index, which is formed on the basis of data from the state system of collecting tolls for heavy vehicles, in April 2020, container traffic on federal highways decreased by almost 20%. However, in the fall, this indicator showed stable trends of 2019. According to various estimates, the mileage of trucks during the pandemic has decreased by 6–7% compared to the previous year. The transportation of trade, groupage cargo, as well as industry has an upward trend. Nowadays, despite the impact of the coronavirus, transport and logistics companies in Russia predict an increase in the volume of cargo transportation and orders of private clients in the economy. A survey of industry studies from summer 2020 to spring 2021 pointed to the beginning of a recovery period. On the Moscow Exchange, the index of transport companies decreased by 31.3% (as of March 21, 2021), and since the beginning of March 2021 - by 24.2%. The negative factors that determine the nature of transport dynamics in the new conditions include the closure of borders, restrictions on the movement of people and goods, the rupture of logistics supply chains, a drop in demand for transportation, and bankruptcy of companies of all types. The market for the transportation of goods and passengers in a pandemic has the following distinctive characteristics: an increase in revenue during the pandemic was noted by 4% of representatives of transport companies; revenue decreased by 20% for 5% of companies; by 20–40% - for 13%; by 40–60% - for 25%; by 60–80% - for 21%; a decrease of more than 80% - for 14%; did not change in 18%. Companies in the transport sector note the following importance of problems during a pandemic: a drop in demand for services was noted by 45% of companies; impossibility of doing business due to restrictions - 30%; the need to pay liabilities (rent, wages) as a problem was noted by 25% of companies. In the study below, a conceptual model that reflects the impact of various aspects on the parameters of the business climate in the transport industry was studied, first of all, from the standpoint of assessing the impact of market dynamics in the context of a pandemic, environmental instability and its dynamics on the business
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climate in the industry. At the same time, it was taken as a basis that the instability of the environment is also created by people (employees of transport companies) who generate certain phobias of a psychological and social nature that affect the transport business. Data Collection. In total, 400 organizations were contacted. Initially, 6 experts in the transport and logistics industry were contacted to put together a list of prominent transport and logistics companies. After comparing, contrasting the 6 independent lists, we came up with the top 400 companies. Three enumerators were recruited and trained on data collection. They were asked to purposely target managers of these companies. They visited each organization at least twice during the period of October–November, 2020 for data collection. A total of 201 questionnaires were collected from the managers of the transport and logistics firms in St Petersburg. This represents a 50.25% of total response rate. Further examination of the 201 responses reveal the presence of missing data or errors in some of the questionnaires filled thereby, resulting in an effective response rate of 49.00% for the usable 196 outstanding questionnaires. The data set was then subjected to some data screening procedures, including checking for skewness and kurtosis to ascertain its normality and linearity. Having passed these tests, the data was ascertained to have met the requirements for further quantitative analysis.
3 Results and Analysis Subsequently, Structural Equation Modelling (SEM) was used in analyzing the relationship between the constructs identified in the research framework. This was done using the Maximum Likelihood Estimation (MLE) technique in Amos 24. SEM was selected as the preferred data analysis technique for this study due to its ability to simultaneously measure the unidimensionality, reliability and validity of each of the constructs in a given research framework Hox and Bechger and others [1–3]. Furthermore, it provides a comprehensive technique for testing hypothesized relationships within a given research model, as well as the modification of research models. Hence, its utilization in this study. The two-stage SEM approach postulated by Anderson and Gerbing in «Organizational environments and industry exit: the effects of uncertainty, munificence and complexity. Industrial and Corporate Changes» was used in conducting the SEM analysis for this study. It consists of two main stages, namely: Stage 1: Measurement stage - This stage involves the identification of a measurement model through the performance of a Confirmatory Factor Analysis (CFA). Here the data set is tested to ascertain if it is a good fit with the proffered research model. The constructs measured in the data set are subjected to reliability and validity tests to determine whether the items measuring each construct indeed measure what they are purported to measure [4]. Stage 2: Structural stage - At this stage, the structural model is specified through the conduct of a path analysis in order to test the individual hypotheses formulated for the study [5, 6]. The outcome of this stage shows those hypotheses that are supported by the data, as well as those that lack support. The various steps undertaken at each stage of the analysis towards addressing the research objectives postulated in this study are delineated and discussed in the subsequent sections.
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Exploratory Factor Analysis (EFA) and Confirmatory Factor Analysis (CFA). Table 1 shows the factor loadings for the variables of the study from the pattern matrix. The items that cluster on the same components suggest that factor 1 is symptomatic phobia, factor 2 - psychological phobia, factor 3 - business climate, and factor 4 - social phobia. A test of normality was conducted on the data spread for all the items in the questionnaire. The tests for Skewness and Kurtosis are shown in Table 2. As evidenced in Pallant [7], the value of skewness provides “an indication of the symmetry of the distribution”, whilst the Kurtosis value provides “information about the ‘peakedness’ of the distribution”. Once a certain value is closer to the zero, it is interpreted that such data presents a fairly normal distribution [7]. Table 1. Exploratory factor analysis of variables (rotated component matrixa ) Phobia
Component 1
2
Phobia 3
4
Component 1
2
3
4
Psychological phobia 1
.727
Social phobia 1
.604
Psychological phobia 2
.911
Social phobia 2
.879
Psychological phobia 3
.794
Social phobia 3
.649
Psychological phobia 4
.757
Symptomatic phobia 1
.863
Business climate 1
.868
Symptomatic phobia 2
.846
Business climate 2
.890
Symptomatic phobia 3
.878
Business climate 3
.881
Symptomatic phobia 4
.872
Symptomatic phobia 5
.782
Extraction Method: Principal Component Analysis. Rotation Method: Varimax with Kaiser Normalization. a Rotation converged in 5 iterations
A Confirmatory Factor Analysis (CFA) was conducted to confirm the number of measurement items for each construct identified in the research framework, as well as the pattern of the item-factor relationships using their factor loadings. At this stage, the model was tested to determine if it satisfies the requirements for reliability, convergent and discriminant validity. These are measured using the factor loadings of each of the measurement items for the constructs as well as the Cronbach’s Alpha (α), the Composite Reliability (CR) and the Average Variance Extracted (AVE) of each individual construct. Although factor loadings of at least 0.3 to 0.4 are acceptable, Hair [4] recommend values
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of 0.5 and above. Cronbach’s alpha (α) values should be 0.6 and above for each of the constructs, as recommended by Hair [4]. Furthermore, the CR and AVE must be ≥0.6 and ≥0.5, respectively, in order for them to be acceptable [1]. The CFA was further used to test whether the research model is a good fit with the data gathered. This is done by means of goodness-of-fit indices including the X2 (Chi-square)/df (degrees of freedom) ratio, Comparative Fit Index (CFI), Incremental Fit Index (IFI), Tucker Lewis Index (TLI), Root Mean Square Error of Approximation (RMSEA) and Standardized Root Mean Square Residual (SRMR). All model fit thresholds indicated were met (Tables 3 and 4). Table 2. Skewness and Kurtosis of variables N
Skewness
Kurtosis
Statistic
Statistic
Std. error
Statistic
Std. error
Psychological phobia
196
−.144
.174
−1.131
.346
Symptomatic phobia
196
1.200
.174
1.282
.346
Social phobia
196
.028
.174
−.955
.346
Business climate
196
.645
.174
−.644
.346
Market dynamism
196
.470
.174
−.154
.346
Technological dynamism
196
.424
.174
−.731
.346
Environmental dynamism
196
.054
.174
.021
.346
Firm size
196
−.297
.174
−.032
.346
Table 3. Model validity measures CR
AVE
MSV
MaxR (H)
1
1
0.936
0.747
0.527
0.948
0.864
2
0.88
0.648
0.439
0.888
0.621***
3
0.871
0.694
0.074
0.903
0.007
0.892
0.726***
4
0.852
0.661
0.527
2
3
4
0.805 −0.273** 0.662***
0.833 −0.172*
0.813
* p < .05, ** p < .01, *** p < .001. Note: Square root of the AVEs are on the diagonal; the off-
diagonal elements are the inter-construct correlations
Hu and Bentler in study “Cutoff Criteria for Fit Indexes in Covariance Structure Analysis: Conventional Criteria Versus New Alternatives” recommend combinations of measures. The authors prefer a combination of CFI > 0.95 and SRMR < 0.08. To further solidify evidence, add the RMSEA < 0.06.
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Table 4. Confirmatory Factor Analysis of measures Model 1 Model Fit Indexes: χ2 = 114.344; d.f. = 56; χ2 /d.f. λ = 2.042; CFI = 0.974; SRMR = 0.065; RMSEA = 0.078; PClose = 0.026
t-Value α
CR
Item labels 0.938 0.942 PS1
1. The fear of coming down with coronavirus makes 0.885 17.298 me very anxious
PS2
2. I am extremely afraid that someone in my family might become infected by the coronavirus
PS3
3. News about coronavirus-related deaths causes me 0.768 15.309 great anxiety
PS4
4. Uncertainties surrounding coronavirus cause me enormous anxiety
0.704 14.170
PS5
5. The pace that coronavirus has spread causes me great panic
0.653 12.677
PP1
1. I experience serious stomachaches out of the fear of coronavirus
0.704 13.616
PP2
2. I experience serious chest pain out of the fear of coronavirus
0.594 12.022
PP3
3. I experience tremors due to the fear of coronavirus 0.709 13.964
PP6
4. Coronavirus makes me so tense that I find myself 0.602 12.227 unable to do the thing I previously had no problem doing
0.809 16.086
0.885 0.882
0.859 0.869 BC7
1. Cost of funding
0.520 12.000
BC8
2. Macroeconomic stability
0.868 15.812
BC9
3. Tax rate
0.688 13.465
SP2
1. After the coronavirus pandemic, I actively avoid people I see sneezing
0.657 12.121
SP3
2. Following the coronavirus pandemic, I have noticed that I spend extensive periods of time cleaning my hands
0.667
SP4
3. The fear of coming down with coronavirus seriously impedes my social relationships
0.851 12.170
0.805 0.851
9.939
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Subsequently, reliability and convergent validity tests were conducted using the Cronbach’s alpha (α) values as well as the CR and AVE values of each of the resulting constructs. Initial tests for these parameters showed that the Cronbach’s alpha (α) value for each construct was above 0.6, whereas the CR values were all 0.6 and above. The AVE values for all the constructs were above the required levels of acceptance. Correlation among variables and validity is indicated in Table 5. Table 5. Correlation among variables and validity (N = 196) Main variables
1
2
3
1. Business climate
1.000
2. Market dynamism
.334
1.000
3. Technological dynamism
.448
.564
4
5
6
7
8
1.000
4. Environmental dynamism −.243 −.029 −.257 1.000 5. Firm size
.013 −.067 −.178
.128 1.000
6. Psychological phobia
−.175 −.023 −.099
.278
.053 1.000
7. Symptomatic phobia
−.009
.021 −.082
.246
.241
.516 1.000
8. Social phobia
−.148 −.075 −.285
.479
.367
.563
Mean
2.115
2.506
Standard deviation
1.040
.883
.617 1.000
2.203 3.221 2.970 2.806 1.555 2.579 .537
.764
.764 1.062
.633 1.001
** p < .01, *** p < .001 (two-tailed), AVE = Average Variance Extracted
Table 6 presents the results of the relationship between the phobia variables and business climate. The control variables explained 24.2% of the variance in business climate in Model 1. The addition of the independent variables (components of psychological phobia, symptomatic phobia and social phobia) to the control variables in Model 2 increased R2 by .020% (F = 15.283, p < .001) over the explained variance in business climate in Model 1. The results show that active psychological phobia (β = −0.176, t = −2.184, p < .05). Table 6. Multiple hierarchical regression Variables
Business climate Model 1
Model 2
Beta (t-values)
Beta (t-values)
Market dynamism
.142 (1.840)+
.135 (1.759)+
Technological dynamism
.344(4.275)***
.348(4.281)***
Environmental dynamism
−.164( −2.475)*
−.157( -2.154)**
Control variables
(continued)
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Table 6. (continued) Variables
Business climate
Firm size
Model 1
Model 2
Beta (t-values)
Beta (t-values)
.105 (1.630)
.072 (1.041)
Independent variable Psychological phobia
−.176 (−2.184)*
Symptomatic phobia
.099 (1.190)
Social phobia
.047 (.471)
Adjusted R2
0.242***
.263
F value
15.283***
1.724
R2
.020
Degrees of freedom
4/191
Durbin Watson test
.892
3/188
Finally, as evidenced from Table 7, hypothesis 1 is supported, while hypothesis 2 and 3 are not supported, although positively related to business climate. Table 7. Hypothesized path Hypothesized path
Result
H1 : Psychological phobia → Business climate
Supported
H2 : Symptomatic phobia → Innovative turnaround strategies
Not Supported
H3 : Social phobia → Innovative turnaround strategies
Not Supported
4 Discussion of Results Thus, we have obtained a significant relationship between the business climate and the psychological state of employees of transport and logistics enterprises, which significantly affect the state and parameters of the business climate in the transport industry in Russia. Taking into account the influence of this factor reflects the corresponding tasks of management development in the activities of transport enterprises. The problems revealed by the results of the questionnaire survey of employees in the conditions of instability require from the managers of enterprises serious social and psychological work with the personnel of the companies. To eliminate the negative impact of psychological states of personnel on the functioning of companies, top management will have to solve the problem of developing a reasonable plan for stabilization in the event of
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emergencies. Such a plan should take into account the characteristics of the team of employees that need to be studied at the stage of hiring employees, and include this task in the personnel policy of transport companies. A clear plan for organizing work with personnel in conditions of instability and crisis of the market will contribute to the development of reasonable forecasts of the influence of the human factor on market dynamics and the business climate, and will also allow developing tools for influencing the personnel of transport companies based on anti-crisis programs, monitoring the situation and the reaction of personnel to it, adjusting the personnel development program, taking into account changes in the external environment.
References 1. Arpaci, I., Karata¸s, K., Balo˘glu, M.: The development and initial tests for the psychometric properties of the COVID-19 Phobia Scale (C19P-S). Personal. Individ. Diff. 164, 110108 (2020) 2. Bagozzi, R.P., Yi, Y.: Specification, evaluation, and interpretation of structural equation models. J. Acad. Market. Sci. 40(1), 8–34 (2012) 3. Bitan, D.T., Grossman-Giron, A., Bloch, Y., Mayer, Y., Shiffman, N., Mendlovic, S.: Fear of COVID-19 scale: psychometric characteristics, reliability and validity in the Israeli population. Psychiatry Res. 289, 113100 (2020) 4. Hair, J.F., Black, W.C., Babin, B.J., Anderson, R.E., Tatham, R.L.: Multivariate Data Analysis, 6th edn. Prentice Hall, Upper Saddle River (2006) 5. Kline, R.B.: Principles and Practice of Structural Equation Modelling, 3rd edn. Guilford Press, New York (2011) 6. Manning, R.L.: Development of the psychological climate scale for small business. J. New Bus. Ideas Trends 8(1), 50–65 (2010) 7. Pallant, J.: SPSS Survival Manual: A Step by Step Guide to Data Analysis Using SPSS for Windows, 4th edn. McGraw Hill, Open University Press, Berkshire (2011)
River Transportation in the Sphere of Passenger Transportation: Problems and Modern Ways of Their Solutions (Case Study of St. Petersburg, Russia, and Foreign Countries) Anton Smirnov(B)
, Evgeniy Smolokurov , and Larisa Smirnova
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 St. Petersburg, Russia [email protected]
Abstract. River transport plays an important role in many cities around the world as part of the overall urban passenger transport system. It allows increasing communication between city districts, reduce traffic congestion and other types of public transport. With proper architectural and economic planning, competent operation and logistics, urban passenger water transport can be economically beneficial for city residents, as well as increase the attractiveness of the city for tourists. There are a number of problems in the field of river passenger transportation in St. Petersburg, Russia. This paper describes the key problems of river passenger transport in St. Petersburg and suggests ways to solve them, taking into account the experience of St. Petersburg and foreign countries. Keywords: Water transport · St. Petersburg · River passenger transport · Urban public transport · Neva
1 Introduction In many cities around the world, which are located on the river banks, water transport plays an important role in regular transport. Being part of the general system of urban passenger transport, it allows increasing communication between city districts, reduce the congestion of the road network and other types of public transport. The advantage of water transport is that the travel time is reduced due to the shorter route and the absence of traffic congestion. The total length of the rivers and canals of St. Petersburg reaches almost 300 km, and the area of the water surface is about 8% of the total area of the city. According to this indicator, it occupies one of the first places among the largest urban agglomerations in the world. The main waterway of the city is only 74 km long, but it “pulls on its shoulders” much more water than the largest rivers of Russia. The Neva, in fact, is not a river at all, it is a strait connecting the Baltic Sea and Lake Ladoga. A.B. Smirnov writes in his work that the division of St. Petersburg by the delta of the Neva River, rivers and canals into separate parts leaves an imprint on the development © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1399–1407, 2022. https://doi.org/10.1007/978-3-030-96380-4_155
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of its transport complex: on the one hand, rivers and canals break the logistical unity of the land transport system, on the other, they themselves act as communication routes, which creates the preconditions for the development of passenger water transport in St. Petersburg and excursion and pleasure shipping. Water excursions by themselves increase interest in the objects of tourist attraction of St. Petersburg [1]. For the first time on the territory of Russia, water buses were launched in St. Petersburg. It happened back in 1873. Despite the external attractiveness of this type of transport, passenger traffic within St. Petersburg along the Neva and Fontanka rivers showed a number of significant shortcomings, namely: • navigation and operation are possible only in summer; • unhurried, slow-moving traffic from point A to point B; • attachment of boat routes to the direction of waterways, including currents, and not to the required directions of passenger traffic. Subsequently, the combination of these factors led to the complete elimination of waterborne intercity passenger transport.
2 Methods and Materials For this study, materials from various sources corresponding to the topic were selected [2, 3]. Based on them, an analysis of the problem was carried out, solutions were identified and conclusions were drawn. Empirical and theoretical research methods were used, in particular, the method of analysis, the method of analogy, the method of comparison and induction. On the basis of empirical and theoretical research methods, in particular the analogy method, we will consider the main problems of water transport in the field of river passenger transportation in St. Petersburg.
3 Insufficient Attention of the Government of St. Petersburg to the Issues of River Passenger Transportation At the moment, the Government of St. Petersburg pays insufficient attention to the development of river transport in St. Petersburg. Projects that at first glance seem promising are being closed, primarily due to the fact that St. Petersburg does not have a developed infrastructure and sufficient funding. In September 2020, the Gett taxi order and delivery service, in partnership with the international water transport rental service AnyShips, launched the Water Taxi project. The company’s task was to offer the city not just an ambling attraction, but a full-fledged alternative to land transport, so that residents of St. Petersburg could get from one point to another without traffic jams during rush hour. But this project, like the previous ones, was closed. J. Wang characterizes the water bus in his article: “The waterbus along the coast becomes a new direction of the urban public transport development” [4]. Water transport
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is efficient and in demand due to the fact that it operates from early morning until late evening, which allows passengers to make daily work trips. Driving intervals range from a few minutes to half an hour. Labor trips make up a much larger share of the number of trips than cultural and domestic ones. In addition, water transport is well integrated into the public transport system; a passenger can pay for the trip with a transport card or receive a discount when transferring. The relative position of the berths and stops of land transport and the metro station facilitates the implementation of transfers from one type of transport to another. Thus, water transport is part of the overall urban public transport system. All that has been done in recent years in the direction of the development of river passenger transport is to implement the “Berths of St. Petersburg” project and build 18 facilities that private tourist carriers and individuals use for money. In 2009, Lukoil commissioned Russia’s first “water-shore” double-purpose fuelling station. The facility is located on Vyborg Embankment and can fuel both motor vehicles and small vessels during the navigation season on the Neva River. The “Smart berth” concept allows, due to autonomous energy sources, increasing the protection of city berths from acts of unlawful interference without being connected to power grids and ensuring the safe stay of passengers on the berth. The smart berth allows: – automatization of control and recording of approach and departure of ships; – transmitting and displaying in the central dispatching office information about the mooring of vessels at the berths; – video detection of any vessels at the berths, as well as video verification of passing people – controlling the access of citizens to the berths, including using smart cards – remote control of the passage and exit of passengers – providing loudspeaker two-way communication between the dispatcher and the berth; – illuminating the berths. To date, the potential of the waterways of St. Petersburg has been revealed and is not used in full. The lack of a legal framework governing the industry of passenger transportation by inland waterway transport in St. Petersburg is a radical problem for the development and successful functioning of water transportation within such a subject of the state as a city of federal significance. The unregulated niche of relations in the field of water transport in the part of small passenger vessels does not allow for state regulation of this area in the form prescribed by law. The limited use of berths for commercial purposes is dictated by the need to comply with the requirements of the Architectural and Artistic Regulations “Placement and architectural and artistic design of berth structures and large-sized floating objects within the boundaries of the unified security zone of the central districts of St. Petersburg” in a complex with a high level of rent.
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To fix this problem, it is necessary: 1. To focus the attention of the Government on the need to streamline and update the legal framework governing legal relations in the development of river passenger transport. 2. To attract qualified specialists for the development of technical, economic, logistic components of projects for the development of river passenger transport. 3. To direct technical and economic funds for the modernization of the old and construction of new infrastructure for river passenger transport. 4. To develop a new project of water buses, taking into account the previous experience and experience of foreign countries in this area. 5. To renew the fleet of river passenger ships. Now the average age of river passenger ships operated on excursion routes is 33 years. 6. To carry out the integration of the infrastructure of the berths into the public transport system, to provide for the location of the berths near the metro and bus stops. 7. To involve a wide range of stakeholders (private companies, investors) in the implementation of projects.
4 Poor Navigation System for Small Vessels The main difficulty is the section in the waters of the Bolshaya Neva, where ships with tourists on board congregate at night in order to demonstrate one of the main attractions of St. Petersburg - the opening of bridges. In the period from 01:00 to 02:00, boats and ships fill the entire water space, which entails a complication of the transport situation on the water, specifically, the problematic maneuvering on the section of the route between the Palace Bridge and the Troitsky Bridge. Also, in addition to tourist boats, in the specified time interval, private yachts and jet skis run on the water, which, in turn, do not maintain communication with the rest of the ships on the accepted radio frequency, thereby the owners of private vehicles contribute to the creation of a potential threat in the process of navigating the water area of the Neva river. According to the law, small vessels must be registered with the State Inspection for Small Vessels of the Ministry of Emergencies of Russia in St. Petersburg (SISV SPb). Nowadays, about 50 thousand small vessels are registered in the SISV SPb. On the basis of empirical and theoretical research methods, in particular the induction method, we will analyze the accident rate associated with small vessels in St. Petersburg and also reflect the dynamics of events (Table 1). Table 1 shows that the number of accidents with small boats from year to year is 1–2. The number of initiated cases of administrative offenses is also approximately the same. However, taking into account the fact that every year there are more and more citizens certified for the right to operate small boats and registered in the state register of small boats, it can be assumed that the number of accidents and initiated cases will increase from year to year. Order of the Ministry of Transport of Russia No. 19 of January 19, 2018 established the “Rules for the Navigation of Vessels on Inland Waterways”. There it is clearly written how to overtake, how to disperse, what and where the signs are, how fast to go, and so
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Table 1. Dynamics of events related to small boats (compiled by the author based on the analysis of the official activities of the Ministry of Emergency Situations of Russia in St. Petersburg for 2016–2020) 2016
2017
2018
2019
2020
Accidents
1
2
1
2
1
Number of fatalities in accidents
0
1
0
2
0
Number of initiated cases of administrative offenses 682
524
550
612
568
Number of citizens certified for the right to operate 1627 small boats
1972
3466
4164
3361
Number of small boats registered in the state register per year
3325
2860
2600
3335
3635
The amount of fines imposed (thousand rubles)
247.1 178.4 195.3 1096.6 2766.5
on. Decree of the St. Petersburg government dated September 18, 2007 No. 1165 “On approval of the Rules for the use of water bodies for navigation on small boats in St. Petersburg” established certain restrictions based on the characteristics of the city. A boat can move along rivers and canals at a speed of no more than 8 km/h, and when passing floating berths at anchor and (or) moored vessels and vessels of the technical fleet - 5 km/h. These water bodies are controlled by the Water Transport Agency (WTA). It can draw up protocols, fine, send ships to the impound. There is also the water police. It has the right to detain the violator, demand documents, and find out the identity. SISV controls traffic on all water bodies of the city, but since this is a federal structure, it only supervises the implementation of the laws of the Russian Federation. To fix this problem, the following is necessary: All powers to control traffic on water should have one state body. Subordinate units should have clearly defined functions. To ensure the required number of inspections, it is necessary to strengthen the material and technical base of the units, to recruit staff.
5 Contamination of Small Rivers and Canals with Objects Hazardous to Ships Trikoz E. N., Osina D. M., Malinovskaya V. M. raise the issue of ecology in their article: “In the twenty-first century, the environmental needs of society and the demands for an environmentally friendly approach approach are becoming an integral part of the successful and sustainable economic growth of the transport sector around the world. Modern states have two main ways to achieve eco-friendly behavior of legal entities, companies and enterprises in the transport sector: through coercion or using encouraging measures. Coercion as a method of influence is used in many countries and is expressed, first of all, in legal liability for harmful effects on the environment” [5]. According to Vasilenko M. A., in the Russian Federation, as in most countries with developing economies, environmental protection belongs to the administrative methods of regulation. The main function of the country is environmental supervision [6].
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On the territory of the Russian Federation, a gradation of pollution of water bodies is adopted, consisting of five classes. The Neva River belongs to the third class. Scientists estimate the pollution of the river as 10,000,000 m3 of sediments covering the bottom of the Neva. In the accumulated remnants of silt and household pollution, harmful compounds “accumulate”, which are almost not decomposing under the influence of naturally occurring processes and factors. In St. Petersburg, the situation with the pollution of water bodies is further complicated by natural features - in a city built on swamps, rivers flow slowly, and silt is brought in quickly. This pattern was noticed immediately, so that work on cleaning the bottom in St. Petersburg has been carried out since the time of Peter I. Nowadays, there are only two specialized berths in St. Petersburg for receiving household waste, ballast and fecal waters. In addition, Lakshmi E., Priya M., Achari V. S. indicate in their article that different combination of treatment systems have to be implemented for varied species of organisms present in the ballast tank [7]. These reception points are located far from the historical part of St. Petersburg, where the main traffic of water excursion transport is concentrated (the first is near the River Station, the second is on the Makarov embankment behind the Tuchkov bridge). The lack of the necessary infrastructure of this type is pushing unscrupulous navigators to dispose of unauthorized waste into the Neva and the Gulf of Finland, which undoubtedly has an adverse effect on the environment and sanitary conditions on rivers and canals. Today, the committee for nature management and environmental protection is engaged in cleaning up the St. Petersburg water bodies. Its tasks include both cleaning floating debris and oil spill response, mowing aquatic plants and ecological restoration of water bodies, part of which is the cleaning of the bottom. This is usually done with the help of dredgers, pontoon excavators, washing complexes, KS-100 boats, tugs and diving stations. Sweden is the leader in environmental development. Pettersson F., Stjernborg V., Curtis C. looked at Gothenburg from the perspective of a smart city. In 2019, Gothenburg was ranked second place, and Stockholm sixth place, in the world on The Future Today Institute (2019) smart cities list (with criteria including public transport systems and the availability of ride sharing services) [8, 9]. The Swedes consider ecology and environmental pollution to be one of their most exciting issues. Sweden introduces and uses innovative environmental solutions every year. The Swedish government has already invested over 400 million kronas in research and development in the field of ecology and environmental protection. To eliminate the problem of pollution of small rivers and canals with objects dangerous for ships in St. Petersburg, it is necessary to: • • • • •
Inform the public about the consequences of hazardous materials in water resources. Promote the culture of proper disposal of household and industrial waste. Promote the minimization of the use of household plastic among the population. Develop a system for receiving household waste. Improve coastal infrastructure.
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6 Deterioration of the Economic Situation in the Country Due to the Pandemic, Resulting in a Decrease in Funding Kar S. cites in his research data on COVID-19: “The outbreak of novel coronavirus (COVID-19) pandemic forced affected countries to implement strict lockdown to contain the spread of this disease before the advent of the vaccine” [10]. Caballero-Morales S. O. also continued the question of the impact of the pandemic on the world: “The quarantine and disruption of non-essential activities as measure to contain the COVID-19 pandemic has negatively affected all economies around the World” [10]. In 2020, due to the COVID-19 pandemic, navigation in St. Petersburg began 3 months later and lasted 141 days. During this time, 16.5 trips were performed, which is 15% less than in 2019. The cruise ships performed about 800 trips and carried 81 thousand passengers. For comparison, in 2019, 2 million 700 thousand people travelled along the rivers and canals of St. Petersburg. There has not been such a fall in the city since 2008. Due to the impact of the pandemic, the average cost of a trip along the Neva is expected to increase by 4–7% in 2021. The industry will not yet be able to recover from the losses of the previous year, since the borders of many countries have not yet been opened, which means that the flow of tourists will be significantly less than in 2019. Tanko M. and Burke M. I. examined transport innovations in world practice: “As congestion in cities worldwide grows public transport expansion is seen as a necessary step to relieve pressure and provide opportunities for future travel demand. Many river and coastal cities are increasingly looking toward urban water transit solutions to facilitate this change. Regular, scheduled ferry services running linear routes stopping at multiple destinations (Thompson et al., 2006) using high speed vessels are becoming a popular configuration. Whilst that creates public transport opportunity in the city, these systems also offer other benefits such as activating waterfront land for urban revitalisation and creating tourism opportunities” [11, 12].
7 Results and Discussion The obtained results of the analysis of the problems of river transport in the field of passenger transportation can be interpreted as relevant at the present stage of urban infrastructure development. The problems we have considered were also considered in the scientific works by other authors, in particular, in the article “The role of water transport in the formation of the brand of the coastal regions: the example of St. Petersburg” by A.B. Smirnov and M.A. Zenkin. This article notes the leading position of St. Petersburg among other constituent entities of the Russian Federation in the integrated development of water tourism, along with this, the problems in this area are analyzed, solutions and measures for the popularization and development of water transport and tourism in St. Petersburg are proposed.
8 Conclusion Some of the main problems of water transport in the field of river passenger transportation in St. Petersburg are:
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– Insufficient attention of the Government of St. Petersburg to the issues of river passenger transportation. – Poor navigation system for small vessels. – Pollution of small rivers and canals with objects dangerous for ships. – Deterioration of the economic situation in the country due to the pandemic, which led to a decrease in funding. The northern capital was nominated for the World Travel Awards as a leading global cultural destination. The popularity of the city on the Neva among travelers is undoubtedly a potential for the development of water transport and can help the city find investors for this area. The modernization of the industry should become one of the necessary conditions for its introduction into the general urban transport system, improving the quality of services, the level of traffic safety, etc. Combining efforts and competently organizing systematic work on the integration of river passenger transport into the city transport network of St. Petersburg will undoubtedly bring success.
References 1. Smirnov, A., Zenkin, M.: The role of water transport in the formation of the brand of the coastal regions: the example of St. Petersburg. In: Murgul, V., Pukhkal, V. (eds.) EMMFT 2019. AISC, vol. 1258, pp. 399–408. Springer, Cham (2021). https://doi.org/10.1007/978-3030-57450-5_34 2. Pecorari, E., et al.: WATERBUS: a model to estimate boats’ emissions in “water cities.” Transp. Res. Part D Transp. Environ. 23, 73–80 (2013). https://doi.org/10.1016/j.trd.2013. 04.003 3. Leung, A., et al.: Bridges, tunnels, and ferries: connectivity, transport, and the future of Hong Kong’s outlying islands. Island Stud. J. 12(2), 61–82 (2017). https://doi.org/10.24043/isj.24 4. Wang, J., et al.: Optimization of the waterbus operation plan considering carbon emissions: the case of Zhoushan City. Sustainability 7(8), 10976–10993 (2015). https://doi.org/10.3390/ su70810976 5. Trikoz, E.N., Osina, D.M., Malinovskaya, V.M.: Legal aspects of encouraging and enforcing eco-friendly behavior in the transport sector. IOP Conf. Ser. Mater. Sci. Eng. 918(1), 012249 (2020). https://doi.org/10.1088/1757-899X/918/1/012249 6. Vasilenko, M.A., Kuzina, E.L., Galkin, V.A., Drozdov, N.A.: Managing the development of the environmental protection system in transport companies. IOP Conf. Ser. Earth Environ. Sci. 666(6), 062079 (2021). https://doi.org/10.1088/1755-1315/666/6/062079 7. Lakshmi, E., Priya, M., Achari, V.S.: An overview on the treatment of ballast water in ships. Ocean Coastal Manag. 199, 105296 (2021). https://doi.org/10.1016/j.ocecoaman.2020. 105296 8. Pettersson, F., Stjernborg, V., Curtis, C.: Critical challenges in implementing sustainable transport policy in Stockholm and Gothenburg. Cities 113, 103153 (2021). https://doi.org/10. 1016/j.cities.2021.103153 9. Kar, S., et al.: Impact of coronavirus (COVID-19) outbreak on society, air quality, and economy in India: a study of three “P” s of sustainability in India. Sustainability 13(5), 2873 (2021). https://doi.org/10.3390/su13052873 10. Caballero-Morales, S.O.: Innovation as recovery strategy for SMEs in emerging economies during the COVID-19 pandemic. Res. Int. Bus. Financ. 57, 101396 (2021). https://doi.org/ 10.1016/j.ribaf.2021.101396
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11. Tanko, M., Burke, M.I.: Transport innovations and their effect on cities: the emergence of urban linear ferries worldwide. Transp. Res. Proc. 25, 3957–3970 (2017). https://doi.org/10. 1016/j.trpro.2017.05.483 12. Makeev, I.V.: St. Petersburg as one of the centers for the development of river transport in Russia. In: Natural and Cultural Heritage: Interdisciplinary Research, Conservation and Development (SPb: Publishing House of RSPU named after A.I. Herzen), pp. 519–521 (2016)
Analysis of the Energy Efficiency of the Port’s Activities Alecsandr Saushev(B)
and Olga Toloknova
Admiral Makarov State University of Maritime and Inland Shipping, Dvinskaya Str., 5/7, Saint Petersburg 198035, Russia
Abstract. The following indicators are analyzed and proposed to assess the energy efficiency of sea and river ports: specific energy consumption, maximum load usage time, specific costs for cargo transportation by waterways. To solve the problem of energy saving, it is proposed to use the indicator of specific energy consumption, which can be calculated according to the technology standards for any given operating conditions of port transshipment equipment. The analysis of unit costs was performed, which showed that the rational use of portal cranes when performing cargo operations also provides energy savings. An approach is proposed to assess the qualification of crane operators for the parameters of power consumption. The information obtained as a result of a statistical study on the assessment of the dependence of the crane performance on the individual indicators of the operator, such as work experience, age, qualification, was considered as a priori. The connection between energy and production processes was established in relation to berths, individual areas of the port and the port as a whole, at the same time, the daily cargo turnover was chosen as a technological indicator, and the daily power consumption was chosen as an energy indicator. Based on the conducted analysis of energy intensity, research and modeling, real ways to reduce electricity costs and increase the energy efficiency of ports are identified. Further ways of developing research in the field of assessing the forecasting of energy efficiency of port activities, which are based on the transition from purely statistical methods to computational and experimental methods, are considered. Keywords: Energy efficiency · Energy saving · Specific energy consumption · Power consumption · Portal crane
1 Introduction Every activity requires energy expenditure. These costs can be used to evaluate the efficiency of production systems that use electric energy for their needs. This idea arose, firstly, when studying the objective demand for electricity and its connection with production factors, and, secondly, when getting acquainted with the methods of accounting and analysis of the production activities of ports [1]. It should be noted that in the scientific and technical literature devoted to the issues of electrification of production, it has been repeatedly noted that any technology can be expressed by some energy function © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1408–1416, 2022. https://doi.org/10.1007/978-3-030-96380-4_156
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[2, 3]. It has not yet been possible to obtain such functions that have an analytical representation and allow successfully solving the task. The well-known solutions [4] and the assessment of the production activity of the enterprise based on them do not meet modern requirements in terms of accuracy and objective information. This is especially noticeable in the context of the development of Port 4.0 technology within the framework of the fourth industrial revolution (Industrial 4.0), which involves a new approach to production based on the mass introduction of information technologies into industry, large-scale automation of business processes and the spread of artificial intelligence [5, 6]. Therefore, the task is urgent, based on the study of modes and parameters of power consumption, obtaining more accurate estimates of the operational activity of ports [7].
2 Materials and Methods When solving energy saving problems in sea and river ports, the issues of assessing the actual operating modes of electric drives of mechanisms involved in cargo movement, their technical condition and operational efficiency are relevant. Until recently, the energy efficiency of the port operation was usually meant to reduce losses during power consumption by working machines and mechanisms of the port. At the same time, the main attention was paid to the modernization of the port’s power supply systems and the replacement of morally and physically outdated transshipment equipment with new ones. At present, on the basis of new opportunities and requirements, it is necessary to analyze more deeply the electrical processes and phenomena occurring during the operation of electrical equipment, to establish on a systematic basis the main patterns of the occurrence of electricity demand, to determine the factors affecting power consumption, to establish parameters by which the energy efficiency of port machines and mechanisms can be assessed. The objective demand for electricity in solving this problem is proposed to be considered as a function of three groups of factors: • physical and technical, determining the physical laws of the conversion of electricity into other types of energy in a specific technical structure of an electrical installation; • technological, taking into account the change in energy intensity depending on the adopted technology of using the machine or mechanism and their electrical installation; • organizational factors that affect power consumption, depending on the accepted organization of production. During field studies of electrical loads of ports, studies were conducted to assess the impact of the operator’s (crane operator’s) qualification on the parameters of power consumption. The information obtained as a result of a statistical study on the assessment of the dependence of the crane performance on the individual indicators of the operator, such as work experience, age, qualification, was considered as a priori. As a result of the study, the values of the specific energy consumption during operation for five different operators were obtained (Table 1).
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Table 1. Comparative analysis of the influence of the operator’s qualification on the specific energy consumption of the crane Indicators
Crane operators 1
2
3
4
5
Cycle time, s
55.9
77.8
73.5
74.6
60.3
Average current, A
215
203
217
220
256
Specific consumption kWh/t
0.179
0.236
0.238
0.245
0.231
Productivity t/h
464
333
353
347
430
Wi /Wn = 0.227
0.79
1.04
1.05
1.08
1.02
Hg /Hnorm = 380 t/h
0.23
0.88
0.93
0.92
1.14
As can be seen from Table 1, the values of specific energy consumption are quite closely related to productivity and, therefore, to a certain extent they can serve as a characteristic of the operator’s labor efficiency. Another objective of the study was to establish a generalized relationship between energy and production processes in relation to berths, individual areas of the port and the port as a whole. The daily cargo turnover was chosen as a technological indicator, and the daily power consumption was chosen as an energy indicator. The choice of these indicators is due to the following circumstances. Information about power consumption is continuous (with automated accounting) or discrete for small periods of time (if there are only electric meters) [8]. As a rule, there is no such information about production activities, and it is objectively difficult to obtain it [7]. The most reliable and practically achievable is the dependence of the percentage of the operator’s hourly norms (y) as a function of his average work experience (x). It has been experimentally established that such a relationship can be described by a correlation dependence y = 1.26x + 0.025 with a correlation coefficient equal to 0.51. The relatively small value of the correlation coefficient is noteworthy. Although the dependence itself confirms the obvious fact that with more experience, the employee’s labor productivity is higher. The paper [9] notes that the cycle time of the crane depends on both the number of employees and their qualifications. At the same time, the analysis shows that employees of the same qualifications achieve the same load of different productivity with the same overload option. In other words, the indicators of the crane operation mode are also determined by the personality of the operator and his individual abilities. Thus, we can conclude that the quantitative analysis of the studied factor is quite a difficult task. To solve this problem, it is proposed to use the indicator of specific energy consumption, which can be calculated according to the standards of technological operations for any given conditions [10]. A comparison of the standard specific flow rate with the actual flow rate will allow to determine the efficiency of the operators of reloading machines. In order to test this hypothesis, an experiment was conducted to analyze the work of five operators of “Kirovets” cranes with a lifting capacity of 16 tons in the Cherepovets river port. Thus, the ore concentrate was overloaded according to the ship – warehouse option. The standard capacity of the crane is the value of Hn = 380 t/h. The standard
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(calculated) specific energy consumption is equal to Wn = 0,227 kWh/t. The results of the experiment and comparative data are presented in Table 1. To reduce the impact of errors associated with imperfect technological accounting, the volumes of cargo processing and the corresponding electricity costs for the next day were summed up and averaged. The analysis of the statistical material showed that the considered values are random. The statistical relationship between these values was studied using correlation analysis [6]. The studied sample populations were represented by correlation tables (Table 2). Table 2. Correlation table for analyzing the relationship between daily cargo turnover and power consumption P thous. t-op W. thous. kWh 3.4 4.6 5.8 7.0 8.2 9.2 10.6 11.8 13.0 14.2 15.4–16.6 Total 8.2
4
1
5
11.8
2
1
3
15.4
1
1
2
19.0
1
1
22.6
1
26.2
2 2 1
2
29.8 33.4
1
1
5
2
2
3
3
3
7
2
4
4
2
1
13
3
1
17
7
7
4
1
1
23
37
3
4
4
1
1
13
40.6
2
2
3
1
44.2
1
2
3
1
47.8–51.4 Total
8 7
1 8
3
2
4
7
10
22
22
18
1 6
2
104
The analysis made it possible to establish that the relationship between the daily cargo turnover and power consumption can be described by a first-order correlation equation of the following form: W =W +r·
σw ( − ) σ
(1)
where W , Π - the average values of the distribution series, respectively, of power consumption and cargo turnover; σw , σn - the standard deviations of the distribution series, respectively, of power consumption and cargo turnover; r – the correlation coefficient between cargo turnover and power consumption. After calculating all the necessary characteristics of these distributions and their relationship with respect to “Seaport of St. Petersburg” JSC, the results presented in Table 3 were obtained.
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Table 3. Average values of energy consumption and cargo turnover and their corresponding standard deviations Year
Π, thous. t-op
W thous. kWh
σw , thous. kWh
2010 yr
32
10.96
2.98
σn , thous. t-op 9.04
Correlation coefficient – 0.765 Constraint equation W = 2.9 + 0.252 Π , thous. kWh with basic error ±0.78 thous. kWh 2018 yr
29.4
9.38
3.47
12.1
Correlation coefficient – 0.88 Constraint equation W = 1.96 + 0.252 Π with basic error ±0.59 thous. kWh
Based on the results obtained, the following conclusions can be drawn: – the studied relationship is characterized by a sufficiently high correlation coefficient and a small error; – it is quite simple to allocate a component of power consumption that is not related to the main production activity; – the coefficient before cargo turnover is a generalized specific energy consumption in the whole port, its constancy is explained by the unchanged structure of cargo turnover. To confirm the conclusions, a similar analysis was carried out in the Murmansk port. As a result of the experiment, the following dependence was obtained: W = 12.25 + 0.408 · thous. kWh. The correlation coefficient turned out to be 0.774.
3 Results A comparison of the results obtained for different ports shows that the correlation dependencies really reflect the specifics of the power consumption mode. So, for example, the value of the constant component of power consumption in the Murmansk port can be explained by a large number of sub-subscribers and consumers who are not involved in the transshipment process. A significant specific energy consumption is due to the large volume of tare-piece cargo, compared with the port of St. Petersburg. The above equations of the relationship between the variables under study allow to solve problems that usually occur when planning power consumption according to planned tasks for cargo processing. Such tasks include, for example, the task of drawing up a promising energy balance. We also note that the presence of such a connection with a sufficiently high correlation coefficient makes it legitimate to formulate the problem of analyzing production activity as a function of the power consumption mode. This task was solved on the basis of operational data of the section of the St. Petersburg port. The power consumption mode was determined by the active power schedules taken at the port, and the
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corresponding cargo processing schedule was determined by calculation. Equation (1) was solved with respect to the variable P (cargo turnover in thous. t-op). The sample data of the analysis are given in Table 4. After summing up the hourly processing of the cargo, the received daily volume of processing was compared with the reporting period according to the reports of the work of the port’s transshipment equipment. As the analysis of the calculations shows, the discrepancy between the calculated and experimental data varies from −5.3% to +9.5%, which can be considered a completely satisfactory result. Table 4. Daily dependences between the specific consumption of electricity and cargo turnover in the seaport of St. Petersburg Time intervals
For 1 shift
Twenty-four hours 26 of May
August 15
October 21
W thous. kWh
P thous.t-op
W thous. kWh
P thous.t-op
W thous. kWh
5.49
18.0
4.22
12.88
3.23
P thous.t-op 8.96
8–9
0.21
0.34
0.6
1.9
0.41
1.14
9–10
0.14
0.06
0.5
1.52
0.16
0.15
10–11
1.18
4.22
0.59
1.87
0.54
1.68
11–12
1.24
4.44
0.45
1.29
0.36
0.95
12–13
0.78
2.63
0.54
1.68
0.45
1.3
13–14
0.45
1.33
0.5
1.52
0.4
1.11
14–15
1.02
3.58
0.49
1.49
0.39
1.07
15–16
0.98
3.2
0.55
1.71
0.41
1.14
For 2 shift
6.02
20.02
4.24
13.39
3.12
8.54
16–17
0.5
1.52
0.35
0.92
0.61
1.93
17–18
0.4
1.11
0.5
1.52
0.71
2.34
18–19
0.46
1.36
0.49
1.49
0.68
2.22
19–20
0.59
1.87
0.5
1.52
0.58
1.8
20–21
0.1
0
0.49
1.49
1.05
3.68
21–22
0.26
0.53
0.5
1.52
1.0
3.49
22–23
0.1
0
0.59
1.87
1.12
3.96
23–24
0.26
0.53
0.59
1.87
0.82
2.76
For 3 shift
2.68
6.92
4.04
12.2
6.56
22.18
Total per day
14.19
44.94
12.5
38.47
12.91
39.68
P according to the report thous.t-op
–
42.95
–
40.6
–
35.9
Divergence
+5.5
−5.3
+9.5
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If the relevant statistical information is available, the work of individual production sites can be evaluated in the same way. It should be noted that the results obtained are the first attempt to analyze the production activity of the port by energy indicators. Further accumulation of material, generalization and research should allow the transition from purely statistical methods to computational and experimental methods [11]. In [4], it was found that the mechanical strength of ports and their throughput, and, consequently, the power consumption mode, is determined by system-wide calculations of the transport process. In addition, as shown in [12, 13], one of the criteria for its effectiveness is the unit costs of transporting goods by waterways, i.e. for transporting and transshipment of goods from water transport to other types of transport. The total reduced costs for the fleet and ports can be written as the following equation: Clc = kwt (a − b) +
b + c(1 + γw ), τ
where kwt – working time coefficient; C a = CΠwtth ; b = Πptth – specific reduced costs attributed to a ton of throughput Πth accordingly, when working and idle. Cm – specific reduced costs for the fleet; c= Π th τ – berth capacity utilization factor; γw = ttwg – the relative waiting time for cargo operations by ships. The optimal solution for the mechanical strength of the berths of the port will be characterized by the condition: C lc = min. We can distinguish two zones of states of the port structure: redundant and insufficient (the number of berths, their mechanical strength, capacity reserve, etc.). If we denote by C lco -the optimal solution, and by C lc1 and C lc2 - respectively the redundant and insufficient state, then we can write the following inequalities: C lco < C lc1 ; C lco < C lc2 . At the same time, it is very difficult to write down such an inequality for the relations C lc1 and C lc2 . Based on the above, an attempt was made to identify the current state of the port’s efficiency with a known optimal solution for energy indicators. The calculations of the power consumption parameters showed the energy difference between different states of the port intended for processing the same volume of cargo. The search for a state meter showed that the most effective indicator is the one that characterizes the time of using the maximum load: Tm =
Wg . Pmax
This indicator is widely used in electrical calculations for various purposes. It was found that the considered states are characterized by an inequality of the form T m < T mo < T m2 , i.e. the value Tm can serve as an indicator of the state of the production system and its efficiency. It is possible to judge the development of the system by this indicator. This process will occur in the following way. The design state for a given cargo turnover is optimal and is characterized by a value T mo . After commissioning, the port will have some redundancy (Tm1 ) until the cargo turnover reaches the design level. With a further increase in cargo turnover, the optimal capacity will be exhausted and the annual power consumption will have a value Tm2 , i.e. with the value Tm it is possible to plan measures
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for the development of the port’s transshipment base. This method can compensate for the shortcomings of the statistical model and at the same time facilitate the assessment of the efficiency of production systems.
4 Conclusion To solve the problem of energy saving, it is proposed to use the indicator of specific energy consumption, which can be calculated according to the technology standards for any given operating conditions of port transshipment equipment. Based on the analysis of energy intensity, research and modeling, real ways to reduce electricity costs and improve the energy efficiency of ports can be identified. Such possible ways for the main technological equipment of ports-transshipment machines are: improvement of electrical equipment of machines and, first of all, electric drives of the main working mechanisms; rational use of reloading equipment and improvement of the technology of cargo operations; forecasting of active and reactive electric loads of lifting machines [14, 15]; advanced training of operators of reloading machines. The improvement of energy calculations should take into account three groups of factors: technical, technological and organizational. Technical factors determine the physical laws of converting electricity into other types of energy. Their influence on the amount of power consumption can and should be evaluated analytically according to the established dependencies. This group of factors also determines the dependence of the consumption value on the technical perfection of the installation. Technological factors take into account the change in the indicators of the consumption process from the technological use of the electrical installation. They express the dependence of power consumption indicators on technological indicators. Organizational factors affect the indicators of the consumption regime, depending on the accepted labor organization. As a rule, these values are the temporary use of machines and mechanisms. The relationship between the need for electricity and the reasons that cause it is quite complex. Therefore, real and reliable results can be obtained only on the basis of reasonable computer modeling of power consumption processes.
References 1. Weinert, N., Chiotellis, S., Seliger, G.: Methodology for planning and operating energyefficient production systems. CIRP Ann. Manuf. Technol. 60(1), 41–44 (2011). https://doi. org/10.1016/j.cirp.2011.03.015 2. Anas, S., Dallini, F., Ölçer, A.I.: Ports’ technical and operational measures to reduce greenhouse gas emission and improve energy efficiency: a review. Marin. Pollut. Bull. (2020). https://doi.org/10.1016/j.marpolbul.2020.111508 3. Blanco-Davis, E., Zhou, P.: Life cycle assessment as a complementary utility to regulatory measures of shipping energy efficiency. Ocean Eng. 128, 94–104 (2016). https://doi.org/10. 1016/j.oceaneng.2016.10.015
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4. Iris, C., Lam, J.C.L.: A review of energy efficiency in ports: operational strategies, technologies and energy management systems. Renew. Sustain. Energy Rev. 112, 170–182 (2019). https://doi.org/10.1016/j.rser.2019.04.069 5. Feng, X., Zhang, Y., Li, Y., Wang, W.: A location-allocation model for seaport-dry port system optimization. Discrete Dyn. Nat. Soc. (2013). https://doi.org/10.1155/2013/309585 6. Menghi, R., Papetti, A., Germani, M., Marconi, M.: Energy efficiency of manufacturing systems: a review of energy assessment methods and tools. J. Clean. Prod. 240, 118276 (2019). https://doi.org/10.1016/j.jclepro.2019.118276 7. Yeo, G.-T., Pak, J.-Y., Yang, Z.: Analysis of dynamic effects on seaports adopting port security policy. Transport. Res. Part A Policy Pract. 49, 285–301 (2013). https://doi.org/10.1016/j.tra. 2013.01.039 8. Tang, R., Li, X., Lai, J.: A novel optimal energy-management strategy for a maritime hybrid energy system based on large-scale global optimization. Appl. Energy 228, 254–264 (2018). https://doi.org/10.1016/j.apenergy.2018.06.092 9. Papaioanno, V., Pietrosanti, S., Mayer, R.: Analysis of energy usage for RTG cranes. Energy 125, 337–344 (2017). https://doi.org/10.1016/j.energy.2017.02.122 10. Tsao, Y.-C., Thanh, V.-V.: A multi-objective mixed robust possibilistic flexible programming approach for sustainable seaport-dry port network design under an uncertain environment. Transp. Res. Part E Log. Transp. Rev. 124, 13–39 (2019). https://doi.org/10.1016/j.tre.2019. 02.006 11. Colarossi, D., Principi, P.: Technical analysis and economic evaluation of a complex shore-toship power supply system. Appl. Thermal Eng. 181, 115988 (2020). https://doi.org/10.1016/ j.applthermaleng.2020.115988 12. Michele, F., Gordon, W.: Energy efficiency in maritime logistics chains. Res. Transp. Bus. Manag. 17, 1–7 (2015). https://doi.org/10.1016/j.rtbm.2015.11.002 13. Tseng, P.-H., Pilcher, N.: A study of the potential of shore power for the port of Kaohsiung, Taiwan: to introduce or not to introduce? Res. Transp. Bus. Manag. 17, 83–91 (2015). https:// doi.org/10.1016/j.rtbm.2015.09.001 14. Wen, X., Cao, H., Hon, B., Chen, E., Li, H.: Energy value mapping: a novel lean method to integrate energy efficiency into production management. Energy 217, 119353 (2021). https:// doi.org/10.1016/j.energy.2020.119353 15. Toloknova, O.M., Saushev, A.V., Shoshmin, V.A.: Communication analysis and forecasting of active and reactive electric loads of lifting machines. Bull. Admiral Makarov State Univ. Maritime Inland Ship. 9(6), 1310–1319 (2017). https://doi.org/10.21821/2309-5180-2017-96-1310-1319
Determination of Parameters and Limiting Characteristics of a Synchronous Reluctance Motor Igor Belousov(B)
and Fedor Gelver
Admiral Makarov State University of Maritime and Inland Shipping, Dvinskaya str, 198035 Saint-Petersburg, Russia
Abstract. This paper presents a method for identifying the parameters of a Synchronous Reluctance Motor (SynRM) with anisotropic magnetic conductivity of the rotor for the implementation of optimal control algorithms. An algorithm is given for selecting the operating supply voltage, operating magnetization currents and load for optimal control of an electric machine according to the criterion of ensuring the maximum value of the electromagnetic moment (power). In this case, the restrictions imposed on the parameters of the electric machine are used - the current and the maximum permissible supply voltage. A method for constructing the limiting characteristics of a SynRM with anisotropic magnetic conductivity of the rotor is presented. The proposed method has been tested on prototypes of SynRM of a wide power range from 1.5 kW to 1.7 MW and the results of testing this technique on a prototype of an electric machine with an anisotropic magnetic conductivity of a 500 kW rotor are presented. The possibility of increasing the value of the rated power of a SynRM with anisotropic magnetic conductivity of the rotor and expanding the areas of its limiting characteristics by identifying the parameters of the electric machine, determining its operating supply voltage, operating magnetization currents and load, as well as using an optimal control algorithm is shown. Keywords: Synchronous Reluctance Motor (SynRM) · Identification · Optimal control · Robust control · Electromagnetic moment · Supply voltage · Magnetization current · Load current
1 Introduction Currently, almost all major manufacturers of electrical products (ABB, SIEMENS, SEWEURODRIVE, RUSELPROM, etc.) offer consumers mass-produced complete electric drives based on various types of electric machines. At the same time, such an electric drive contains a universal electric converter and an electric machine. The universal electric converter is able to control different types of electric machines, according to various criteria, which can be quickly changed using numerous settings. Such complete electric drives are universal, are available for a wide power range and can be used for almost any mechanism. However, there are needs for the design and development of special-purpose © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1417–1425, 2022. https://doi.org/10.1007/978-3-030-96380-4_157
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electric drives that meet more stringent customer requirements and allow implementing algorithms that are not provided for in mass-produced products. For example, for the electric drive of the electric propulsion system of icebreakers, submarines, tugs, etc. When designing and developing special-purpose electric drives, a number of difficulties and problems arise due to the fact that different manufacturers are engaged in the design and manufacture of elements (electric machines and electric converters) of the electric drive, which, as a rule, do not fully agree on many operating parameters, characteristics, control algorithms, etc. At the same time, there is an underutilization of the electric machine in terms of power, and the technical capabilities of such an electric drive are limited by many factors. As a rule, mass-produced electric machines are designed for direct start-up from the supply network. At the same time, the manufacturer of electric machines specifies only the basic parameters necessary for direct start-up and operation of the electric drive at the rated frequency. These parameters include the nominal ones: current; voltage; electromagnetic moment; power and power factor. The use of an electric converter with a vector control algorithm, when controlling such an electric machine, allows to independently change the voltage values along the longitudinal and transverse axes, and, consequently, the corresponding current values. At the same time, it becomes possible to apply algorithms for optimal control of an electric machine and thereby significantly increase its energy and operational characteristics, as well as the energy and operational characteristics of an electric drive based on it. Thus, when designing special-purpose electric drives, a special role is played by the design of electric machines for hardware and algorithmic control capabilities of an electric machine, on which its maximum operating characteristics depend to a greater extent. For optimal control of an electric machine according to any of the criteria, it is necessary to identify its parameters and build maximum performance characteristics, with restrictions imposed on the voltage and current parameters. In the class of SynRM, there are electric machines whose principle of operation is based on pulsations, both of their own and mutual inductances of the stator windings, which are becoming increasingly widespread and arouse great interest among specialists. Such electric machines are called SynRM with anisotropic magnetic conductivity of the rotor (Fig. 1). These electric machines with anisotropic magnetic conductivity of the rotor have high energy, weight, size and performance indicators that exceed similar indicators of classical electric machines [1–10]. Despite the use of analytical calculations and their verification using various mathematical modeling programs, the calculated characteristics obtained during the design of an electric machine often differ from the characteristics obtained during the subsequent testing of an electric machine. The reasons for this are: an imperfect method of designing the machine, the difference in the real characteristics of materials and their calculated values. Using the identification of the parameters of an electric machine and the implementation of optimal control algorithms allows to obtain the maximum moment for the entire range of permissible rotor speeds under restrictions imposed on the parameters of the current and voltage of the stator.
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Fig. 1. Designs of rotors of a SynRM with anisotropic magnetic conductivity of the rotor: Transversally Laminated Anisotropic (TLA) rotor (left) and Axially Laminated Anisotropic (ALA) rotor (right)
Table 1. Tested prototypes of SynRM. Power 1.5 kW Speed 1000 rpm
Power of 1.63 MW Speed 300 rpm
Based on an asynchronous electric motor with a shortcircuited rotor of the AIR90L6U3 type. “SHEMOTEHNIKA” LLC
DSRG-1630-0.66-300 M4. “Elektrotyazhmash-Privod” LLC
Power 500 kW Speed 1000 rpm
Power of 1.7 MW Speed 1000 rpm
SRD 540/6- OM5. Vladimir Electric Motor Plant concern “RUSELPROM”
DSRG-1700-0.66-1000 M4. “Elektrotyazhmash-Privod” LLC
The experience of testing and research of SynRM by the authors shows that the operating values of currents found as a result of identification and optimization at the rated speed will differ from the nominal values set by the manufacturer. For optimal control of the electric machine, it is necessary to determine the stator resistance, the longitudinal and transverse inductance, as well as their dependence on the load currents and magnetization. Also, for optimal control, it is necessary to know the maximum permissible values of currents and voltages. Unfortunately, in most cases, the manufacturer does not specify them, although for self-design and construction of an electric drive, these values are the starting points for the synthesis of control algorithms for an electric
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machine. With appropriate optimal control, exceeding the voltage by 20–30% of the nominal value set by the manufacturer is quite acceptable in most electric machines. As for the value of the maximum permissible current, in practice it is usually limited by the capabilities of the keys of the electric converter. Verification of the identification of parameters and methods for determining restrictive characteristics proposed in the paper was carried out using testing and research of SynRM of a wide power range from 1.5 kW to 1.7 MW. Table 1 shows the tested prototypes of SynRM with anisotropic magnetic conductivity of the rotor. This paper presents the results of the identification of parameters and methods for determining the limiting characteristics on the example of a SynRM with an anisotropic magnetic conductivity of the rotor with an installed power of 500 kW. A frequency converter was designed and manufactured to control the prototype.
2 Identification of the Parameters of the Electric Machine When identifying the parameters of an electric machine, it is necessary to take into account the saturation of the steel of the magnetic circuit and the dependence of the flow couplings on the currents [1]. In a number of works [2, 3], the dependences of the components of flow couplings on the currents of an electric machine are not fully taken into account. In [4], such dependencies are found using mathematical packages for modeling electromagnetic fields by the finite element method. In some works [5, 6], the identification of the parameters of electric machines is carried out using complex special stands. For SynRM, the dependence of the longitudinal component of the flow coupling on the load current and the dependence of the transverse component of the flow coupling on the magnetization current have a significant impact on optimal control and should be taken into account [7, 8]. Often, the parameters are identified in a static mode at a constant speed [9, 10]. However, with this method, it is necessary to be able to change the load on the shaft in a given way, including with a significant excess of the nominal one. With such identification, it is necessary to be able to accurately measure the currents and voltages of the stator. The authors of the paper propose a method by which a number of starts of an electric machine are made with different values of the magnetization current and the load current. Since the parameter values have not yet been determined, these launches are carried out using a robust control algorithm. During acceleration, at steady-state current values, the current values of the rotor rotation speed and stator voltage are measured. Then the values of the flow couplings from the equations of the machine are found at steady-state values of the currents: u −R ·i ψd = q ω s q (1) ψq = Rs ·idω−ud Where ψd - is the longitudinal component of the flow coupling; ψq - is the transverse component of the flow coupling; id - is the magnetization current; iq - is the load current; ud - is the longitudinal component of the stator voltage; uq - is the transverse component
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of the stator voltage; ω - is the rotor rotation speed; Rs - is the stator resistance. Here and further, all physical quantities are expressed in relative units. The proposed method makes it possible to identify the parameters of the machine at idle during initial tests at the manufacturer’s factory, as well as after installation on the object, both before and after connecting the workload. As a result of the measurements, a table of flow coupling values is obtained for different values of currents. Next, it is necessary to make an approximation of the obtained data.
3 Approximation of Dependencies A piecewise linear function is used to approximate flow coupling in [3, 7]. It is refined using the inverse proportionality function in [2]. These dependencies are easy to identify and control, but they do not allow optimal control due to the low accuracy of the approximation. The polynomial dependences of the flow couplings on the magnetization currents and the load are used in [6, 8]. Due to the fact that the behavior of the flow coupling dependencies on currents is very different from the polynomial one, such approximations also do not have the required accuracy. The authors of the paper used bicubic splines to approximate the dependence of flow couplings on currents. They have the required accuracy, and identification and control when using them have a fairly high speed and can be implemented on most microcontrollers. 1.4 1.2
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Fig. 2. Dependence of flow couplings ψd and ψq on currents id and iq
As a result of identifying the parameters of the machine and its approximation, graphs were obtained (Fig. 2).
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4 Operating and Restrictive Characteristics Based on the values obtained during the identification process, the operating parameters and limiting characteristics of the electric drive are determined. For each value of the rotor rotation speed, it is necessary to find the maximum value of the moment and the corresponding magnetization and load currents, taking into account the restriction imposed on the stator voltage. It should be noted that not the nominal, but maximum permissible value of the supply winding of the electric machine is used, directly related with the insulation class of the electric machine by voltage. Thus, the solution of the following optimization problem is required: ψd · iq − ψq · id → max 2 2 { (2) 2 Rs · id − ω · ψq + Rs · iq + ω · ψd ≤ Usm where Usm—maximum permissible stator voltage. As a result of solving this optimization problem, limiting mechanical characteristics were constructed for a number of values of the maximum permissible voltage on the stator windings of the electric machine under consideration (Fig. 3). The dependences of the magnetization currents and the load required to create the maximum electromagnetic moment on the speed were also determined. 5
Usm=1.0 Usm=1.2 Usm=1.4
4.5 4 3.5
M
3 2.5 2 1.5 1 0.5 0 0
0.2
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0.8
1
1.2
1.4
1.6
1.8
2
2.2
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ω
Fig. 3. Limiting mechanical characteristics
As can be seen from Fig. 3, the moment and current of the stator of the machine grow indefinitely when approaching low speeds. This is due to the fact that there was no limit on the stator current in the optimization problem discussed above. The maximum permissible current of the stator winding of an electric machine is several times higher than the nominal one. It is usually not indicated in the characteristics of the machine. However, its value should be taken into account when constructing limit characteristics at low speeds. To start and control a SynRM with anisotropic magnetic conductivity of the rotor, a frequency converter is needed. The converter keys have a maximum instantaneous current, when exceeded, the key burns out within a few milliseconds. It is this current that acts as the maximum permissible stator current, which limits the maximum moment. To find the dependence of the maximum moment value on the maximum permissible stator current at the nominal speed of rotation of the electric drive, as well as the
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corresponding magnetization and load currents, it is necessary to solve the following optimization problem: ⎧ ⎪ ψd · iq − ψq · id → max ⎨ 2 2 2 { (3) Rs · id − ψq + Rs · iq + ψd ≤ Usm ⎪ ⎩ 2 2 2 i +i ≤I d
q
sm
where Ism—the maximum permissible stator current. As a result of solving this optimization problem, the dependencies of the maximum moment on the maximum permissible stator current were constructed for a number of values of the maximum permissible voltage on the stator windings (Fig. 4, left). In addition to the requirement for the nominal moment value, the electric drive often has requirements for the maximum moment. In many systems, it is required that the maximum moment is more than twice the nominal one. At the same time, it must be borne in mind that the electric converter must have an appropriate current reserve to obtain a given maximum moment of the electric drive. Using the resulting graph in Fig. 4 (left), it is possible to determine the stator current required for the formation of a given maximum moment. It is by this current that the keys should be selected. In addition to constructing the limit characteristics, it is necessary to determine the parameters and characteristics of the electric drive for long-term operation. Usually, the manufacturer specifies the nominal values of current and voltage. Using them, it is possible to determine the values of the magnetization currents and the load, and therefore other parameters. However, due to errors in the design and manufacture of an electric machine, the values found in this way will differ from the optimal ones. We will call the machine parameters found below working, as opposed to the nominal ones specified by the manufacturer. To determine the operating voltage, the optimization problem (3) with the current Ism = 1 is solved. The unit value corresponds to the nominal value of the current in relative units. As a result, the dependence of the maximum moment on the maximum permissible stator voltage is found. A graph of this dependence for the electric machine under consideration is shown in Fig. 4 (on the right). The graph shows that when the voltage increases above 1.12 of the nominal value, the moment does not increase. Therefore, we will take the value of 1.12 of the nominal value, for the operating voltage. Using this operating voltage, it is possible to determine the operating currents of magnetization and load, as well as other operating parameters. In this case, the operating voltage was higher than the nominal one. A prolonged excess of the voltage over the nominal leads to an increase in eddy current losses and re-magnetization of steel. This also leads to additional heating of the stator windings caused by an increase in the temperature of the steel. If the operating voltage significantly exceeds the rated voltage, it is recommended to perform thermal tests of the machine. The tests should be performed at the rated speed at the operating value of the voltage, magnetization current and load. For other electrical machines, after identification, the operating voltage may be lower than the nominal one. The value of the moment in this case will be the same as at the nominal voltage. Using the operating voltage value instead of the nominal one will reduce
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3 2.8
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M
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Fig. 4. Dependence of the maximum moment on the maximum permissible stator current (left) and the maximum permissible stator voltage (right)
losses on eddy currents and re-magnetization of steel, reduce the heating temperature of steel. In addition, this will reduce the voltage in the DC link and, consequently, increase the capacity resource and reduce the probability of a breakdown of the keys from overvoltages. However, if an increased voltage value is necessary in dynamic operating modes, it will not be possible to reduce the voltage in the DC link.
5 Conclusion In a modern controlled electric drive, when designing an electric machine, the algorithms for controlling it must be taken into account, and their optimization according to the required criterion is also performed. Otherwise, the design capabilities of the electric machine will diverge from the capabilities obtained after its manufacture and control optimization. The paper proposes a method for identifying and approximating the dependencies of flow couplings on currents. The identification results can be used to increase the speed and accuracy of the electric drive control system, as well as to accurately simulate the operation of the machine and build its operating and limit characteristics. The considered methods make it possible to increase the values of the moment and power of a SynRM with anisotropic magnetic conductivity of the rotor by identifying the parameters, determining the operating parameters, as well as using optimal control. The experience gained during testing of SynRM of a wide power range from 1.5 kW to 1.7 MW confirmed the possibility of increasing the moment and power, both for the limit and for long-term operation. It should be noted that this approach can be used to determine the operating parameters of electric drives based on any electric machines.
References 1. Ruba, M., Jurca, F., Martis, C., Martis, R., Piglesan, P.F.: Analysis of maximum torque per ampere control strategy for variable reluctance synchronous machines for traction applications. In: 2014 International Conference and Exposition on Electrical and Power Engineering (EPE) IASI 2014, pp. 322-326 (2014). https://doi.org/10.1109/ICEPE.2014.6969921
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2. Bedetti, N., Calligaro, S., Petrella, R.: Stand-still self-identification of flux characteristics for synchronous reluctance machines using novel saturation approximating function and multiple linear regression. IEEE Trans. Ind. Appl. 52(4), 3083–3092 (2016). https://doi.org/10.1109/ TIA.2016.2535413 3. Truong, P.H., Flieller, D., Nguyen, N.K., Bao, A.N., Hung, N.D.: Inductance identification of synchronous reluctance motors using capacitor discharge method. In: 2019 International Symposium on Electrical and Electronics Engineering (ISEE), Ho Chi Minh, Vietnam, pp. 1–4 (2019). https://doi.org/10.1109/ISEE2.2019.8920947 4. Jeong, I., Gu, B., Kim, J., Nam, K., Kim, Y.: Inductance estimation of electrically excited synchronous motor via polynomial approximations by least square method. IEEE Trans. Ind. Appl. 51(2), 1526–1537 (2015). https://doi.org/10.1109/TIA.2014.2339634 5. Yamamoto, S., Ara, T., Matsuse, K.: A Method to calculate transient characteristics of synchronous reluctance motors considering iron loss and cross-magnetic saturation. IEEE Trans. Ind. Appl. 43(1), 47–56 (2007). https://doi.org/10.1109/TIA.2006.887234 6. Combes, P., Malrait, F., Martin, P., Rouchon, P.: Modeling and identification of synchronous reluctance motors. In: 2017 IEEE International Electric Machines and Drives Conference (IEMDC), Miami, FL, pp. 1–6 (2017). https://doi.org/10.1109/IEMDC.2017.8002195 7. Tuovinen, T., Hinkkanen, M., Luomi, J.: Analysis and design of a position observer with resistance adaptation for synchronous reluctance motor drives. In: IEEE Energy Conversion Congress and Exposition, Phoenix, AZ, pp. 88–95 (2011). https://doi.org/10.1109/ECCE. 2011.6063753 8. Goncalves, A.P., Cruz, S.M.A., Ferreira, F.J.T.E., Mendes, A.M.S., De Almeida, A.T.: Synchronous reluctance motor drive for electric vehicles including cross-magnetic saturation. In: 2014 IEEE Vehicle Power and Propulsion Conference (VPPC), Coimbra, pp. 1–6 (2014). https://doi.org/10.1109/VPPC.2014.7007140 9. Pellegrino, G., Boazzo, B., Jahns, T.M.: Magnetic model self-identification for PM synchronous machine drives. IEEE Trans. Ind. Appl. 51(3), 2246–2254 (2015). https://doi.org/ 10.1109/TIA.2014.2365627 10. Armando, E., Bojoi, R.I., Guglielmi, P., Pellegrino, G., Pastorelli, M.: Experimental identification of the magnetic model of synchronous machines. IEEE Trans. Ind. Appl. 49(5), 2116–2125 (2013). https://doi.org/10.1109/TIA.2013.2258876
Analyzing Scientific Publications on Costa Concordia Accident: Towards an Integrative Understanding Oleg Chulkov(B)
, Andrey Danilenko , and Anna Sirgiya
Admiral Makarov State University of Maritime and Inland Shipping, 5/7 Dvinskaya Avenue, St. Petersburg 198035, Russia [email protected]
Abstract. In the ten years that have passed since the Costa Concordia accident off the coast of the island of Gilia, many scientific papers have been published devoted to finding the causes and considering the consequences of the incident. In this article, we tried to summarize the preliminary results of this scientific work in order to identify its general orientation towards gaining an integrative understanding of the meaning of this event. Statistical data served us as an empirical basis for philosophical generalizations regarding a specific combination of subjective factors and objective circumstances, which is denoted by the term organizational zemblanity, which we have interrupted from one of the publications. We hope that the negative experience of organizational zemblanity will eventually be replaced by a positive practice of professional serendipity, when the navigator’s mission will be restored to its former dignity and respect. Keywords: Accident theory · Causal factors · Costa Concordia · Impression management · Organizational zemblanity · Risk management · Maritime accidents · Rescue operation · Salvaging process
1 Introduction On January 13, 2012, the Italian vessel Costa Concordia wrecked offshore along the coast of Tuscany (Italy). The ship partially sunk, lying on the starboard side on a steep rocky seabed of Punta Gabbianara, in the North-Western coast of Giglio Island. There were 3216 passengers 1023 crew members on board; 32 human lives were lost in an accident. Subsequent investigations revealed the following facts. – The voyage plan included a way point with a course alteration of more than 60° (from 278° to 334°) at a distance of 0.9 nautical miles (nm) off Punta della Torricella (Island of Giglio). – The master was on the bridge and took command to carry out the course alteration. He did not reduce the speed of the ship of 15–16 knots when he approached the island. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1426–1435, 2022. https://doi.org/10.1007/978-3-030-96380-4_158
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– In order to change the course, the autopilot was switched off and manual steering was done. The course alteration manoeuvre resulted in a position off the track to pass the island, just about 0.3 nm south of Le Scole reef, right in front of the ship. Attempts to change the course of the ship further in order to avoid the charted eastern rock of Le Scole reef with a hard to starboard—hard to port rudder manoeuvre combination failed and the ship hit the eastern rock of Le Scole reef. – All electronic equipment on the bridge that could indicate risk of grounding was working. – Evidence from Automatic Identification System records show that a similar close passing of the island was at least made once before, in August 2011 [1]. The ship was built at the Italian shipyard Fincantieri in Sestri Ponente in 2006 for Costa Crociere shiping company. At that time in the world rankings, it was the 10th largest passenger ship and the largest for the Costa company. Costa Concordia became the lead vessel in a series of six units. After the evacuation of passengers, the Costa Concordia was plundered. The looters stole the ship’s bell, paintings, furniture, ornaments, and clocks in the liner’s shops. Costa Concordia damage was officially reported as “total loss”. The Costa Concordia remained at the crash site for two years and turned into a tourist attraction. Shipwreck removal operation is the largest big ship salvage operation ever carried out. On July 7, 2017, the ship was completely dismantled for scrap. Captain Francesco Schettino was the sole person accused for the incident and after a 19-month trial sentenced to sixteen years in prison and five years of interdiction from navigating. The investigation into the Costa Concordia accident resulted in changes in the instructions and regulations of the International Maritime Organization for organizing cruises and rescuing passengers in emergency situations. In the scientific community, a discussion began about the prerequisites for the accident and the necessary measures to prevent such events. In this article, we have analyzed the main positions in this discussion over the past decade.
2 Methods and Materials Soon after the accident, scientific papers were published, the authors of which considered its technological and organizational prerequisites, as well as its environmental\ and judicial consequences. We have analyzed those of them that are currently indexed in the Scopus bibliographic database. In some cases, the scientific works mentioned in the citation lists of indexed publications were also considered [2]. The analysis was carried out according to the following parameters: the total number of publications indexed per year, the total number of citations of these publications during the year, the type of publications and areas of research reflected in the publications (environments, economics and management, safety, and conceptual framework).
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3 Results An analysis of recent scientific publications on this topic indicates that the greatest attention was paid to the environmental, technological, and economic consequences of the Costa Concordia accident, while insufficient attention was paid to its fundamental causes. Table 1 represents the distribution of scientific papers on the Costa Concordia incident by year of publication, with the corresponding number of citations. It should be noted that most of the publications are in 2014, when the wreckage of the ship was towed to the port of Genoa for subsequent disposal. The largest number of citations falls on the same year. Table 1. Publications and citations indexed in SCOPUS concerning “Costa Concordia” accident throughout the decade Year
Number of publications indexed in SCOPUS
Total number of citations in SCOPUS
2012
6
68
2013
12
25
2014
18
205
2015
6
103
2016
14
113
2017
16
143
2018
9
38
2019
6
13
2020
6
11
The data presented in Table 2 indicate that scientific research throughout the decade was presented mainly in the form of journal articles. Table 2. Forms of publications indexed in SCOPUS concerning “Costa Concordia” accident throughout the decade Year
Books chapters
Articles
2012
–
2013
–
9
3
2014
1
11
6
2015
–
5
1
5
Conference roceedings 1
(continued)
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Table 2. (continued) Year
Books chapters
Articles
Conference roceedings
2016
2
10
2
2017
1
13
2
2018
–
8
1
2019
–
6
–
2020
–
6
–
In Table 3 scientific publications indexed in Scopus are divided into the following sections: Environments. Since the environmental disaster was largely avoided, publications on this topic were devoted to particular issues: re-colonization of reefs by microorganisms [3]; spread of non-indigenous macroalgae [4]; influence of the Concordia accident on a Posidonia oceanica meadow [5, 6]; tracing rare earth elements and inorganic arsenic in seaweeds from Giglio Island after the Costa Concordia shipwreck and removal [7–10]. Economics and Management. The commercial and reputational consequences of the Concordia accident were so sad not only for the shipowner, but also for the cruise tourism industry, that they required a revision of the previous economic and organizational strategies [11, 12]. Safety. Another topic of scientific publications was safety of navigation. Since human factor have been the main cause and a major contributing factor of numerous maritime accidents [12, 13], it was proposed to make appropriate adjustments to the rules of maritime passenger transportation [13, 14]. Equipment and Software. The largest number of publications is devoted to the development and use of new equipment and software for carrying out rescue and salvaging operations, and preventing such accidents [15–17]. Conceptual Framework. The technical, commercial and environmental aspects of the Concordia accident suggest a conceptual framework for an integrative understanding of it’s causes [18–20]. To paraphrase the title of one of the articles in this section, it should be said that the lessons must now be learned. We shell discuss this issue in more detail in the next part of our analytics.
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Table 3. Thematic focuses of publications indexed in SCOPUS concerning “Costa Concordia” accident throughout the decade Year Environments Economics Safety Equipment Conceptual and and framework management software 2012 –
–
–
2
4
2013 1
2
1
3
5
2014 2
–
4
12
–
2015 –
1
–
4
1
2016 3
1
1
4
5
2017 4
2
1
7
2
2018 5
–
–
3
1
2019 1
–
–
5
–
2020 2
1
1
1
1
4 Discussion The clear analogy between the crash of the Titanic and the accident of the Concordia, given that there was exactly a century between them, promptly attracted the attention of researchers [2]. In this respect very indicative was the article “From Titanic to Costa Concordia-a century of lessons not learned” published in Journal of Maritime Affairs [1]. The authors found the two incidents similar in the following points: – Both masters were very experienced and had immaculate service records prior to the accidents. They had spent their entire professional life at sea without larger accidents. – Both masters were aware of the potential dangers, but felt that the risks were so small that they could easily be controlled. – In case of the Titanic, no officer on the bridge objected to the navigation of the ship. So far, no information has been published to show that officers on the Costa Concordia disagreed with the manoeuvres of the master. – In both cases, the shipping companies (White Star Line and Costa Crociere, respectively) either tacitly approved or even encouraged the masters’ decisions to prioritize performance over safety. – Both accidents resulted into emergency situations for which the ships were not built (beyond design-base accidents). Both scenarios were also considered as being highly unlikely. – In both accident scenarios, difficulties during the evacuation occurred. Authors pointed out, that the public discussion following the Costa Concordia accident has mainly focused on the master of the Costa Concordia, but it was to be hoped that the discussions about this accident may become more systematically oriented once the accident investigation report is available. It was time for a fundamental change to
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the way we look at maritime accidents and to the understanding of how we can improve maritime safety by addressing human and organizational factors [1]. Shortly after the Concordia disaster in “Proceedings of the 13th Annual General Assembly of the International Association of Maritime Universities (Expanding Frontiers: Challenges and Opportunities in Maritime Education and Training)” was represented the project of “A code of conduct for shipmasters” (some kind of “Code of Honour” or “Code of Conduct”). Following questions were posed within: – – – –
Is there a need for a code of conduct for shipmasters? What are the useful elements of such a code? Can codes of conduct be trained? What are the appropriate training methods? [21].
In many scientific publications immediately after the Costa Concordia accident indicated the need to take into account the human factor and shifting in international maritime safety from reactive response to a “safety culture”-oriented philosophy currently imposed through the International Safety Management Code [11]. On the other hand, the recognition of the Concordia captain as the sole culprit of the accident is clearly not enough [22]. The incident was the result of a systemic error in the organization of cruise tourism not only in the Mediterranean, but on a global scale. The article published in European Management Journal [23] introduced the concept of zemblanity (opposite to serendipity) to organization studies to refer to the enactment of disaster when, in systems designed to impede risk, key actors nonetheless construct their own misfortune. The case of the Costa Concordia was a typical example organizational zemblanity (or ill-fated “organizational improvisation”). The term zemblanity was coined by William Boyd in his 1998 novel “Armadillo” as designation of the faculty of making unhappy incidents, in opposite to serendipity (one of Horace Walpole neologisms) as an art to discover happy and unexpected ones. The use of the terms serendipity and zemblanity makes it possible to abandon the classical vocabulary of the humanities in an effort to express new meanings of interaction between man and technology, “coming into play” in the post-industrial era. The Costa Concordia accident displays zemblanity as an combination of managerial excesses that ended up producing an unusual destiny. In this regard, two aspects of the problem under discussion seem significant. On the one hand, similar to innovative methods in the post-nonclassical paradigm of natural science, when managing modern complex technological systems, it becomes permissible to use, in addition to strict instructions, rules and regulations, “soft” recommendations related to the ratio of uncertainties in various situations. On the other hand, we should take into account the fact that only those unfortunate incidents that belong to the sphere of zemblanity become subject to investigation while there are no official reports on the happy coincidence of circumstances, thanks to which the accident was avoided. The zemblanity process on Costa Concordia was triggered by Captain Schettino, who gave the order to move dangerously close to the coast and he admitted that he had already performed such “show boating” in the past. He assured the crew on past occasions, that he was constantly in control of the situation. Nonetheless, he left the
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vessel before many of the passengers. During the trial he constantly blamed somebody else (e. g. the officers, the helmsman, the company) or something else (e. g. the charts – presence of uncharted rocks). In executing his total discretion, Captain Schettino showed a lack of doubt in what he was doing, before the collision as well as after the collision. In both cases he exploited an excess of discretion and acted in violation of maritime norms and safety regulations. The Captain’s exercise of discretion as well as the crew’s unreflective obedience reinforces the general absence of generative doubt. According to Luca Giustiniano and his colleagues: “Managerial zemblanity can be conceptualized by confronting the case of the Costa Concordia with the formal organization “expected by design” that takes into consideration the frame of laws, rules and organizational roles. Organizational systems (companies and their surrounding environments) try to prevent the occurrence of untoward events via both human factors (e.g. prudence, interpretation of rules in favour of major goals like safety) and organizational controls (e.g. supportive technology, possibilities to mutiny in face of illogical orders)” [23]. We cannot but agree with the statement that “No formal system is sufficient to substitute for good judgment and professionalism, even in cases in which the importance of values (e.g. safety of human lives) is evident. Comfort with imperatively commanded but informal routines, coupled with unbridled optimism and a desire to stand out and show off, may precipitate processes that are impossible to contain” [23]. Active as well as passive behaviors by the Costa Concordia’s captain created a vicious circle of inappropriate decision-making with traumatic effects. These were complemented by structural elements to be found both in the individual behaviours of others (mainly, the vessel’s first line of command) and the lack of other effective organizational controls, both in terms of structures and routines. Despite the high level of formalization and the absolute priority of safety in the sector, the organizations involved did not have any inter- or extra-organizational mechanisms (routines) able to tackle irregular conduct; the crew did not mutiny by questioning the imperative command, to which they were accustomed. Thus, there were two overarching elements in play: an excess of individual discretion and a lack of proper organizational controls. The disaster of the Costa Concordia cruise ship is neither just an unfortunate event, nor just a case of bad leadership. Leadership requires structured constraint and in this case there was none that was effective; leadership without constraint creates a tyranny of judgment; in this case, in a context of designed zemblanity, a lack of generative doubt combined with an unnecessary and unfortunate [23]. Digital reconstruction of the events preceding the catastrophe, carried out on the basis of information stored in the Voyage Data Recorder, the so called Black Box, made it possible to assert that, on one side, the helmsman’s error appears to have been determinant in the accident; on other side, the emergency procedure, which started automatically after blackout of the main power source, does not appear to have performed correctly [24]. Thus, the version was confirmed, according to which there was a combination of subjective errors and unfavorable objective circumstances. At the same time, a thorough analysis of the economic and reputational consequences of the accident was carried out. Costa Crociere paid e 11,000 to all the passengers on that ill-fated cruise. Higher amounts of compensation being discussed, in particular, in court
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proceedings for some of the victims. The amount of compensation paid to the families of 32 victims was not reported. Compensation was demanded by the population of Giglio (1,418 people) suffered environmental and psychological damage during 920 days of staying at the coast of the sunken ship and working to eliminate the consequences of the disaster. In addition, the ship owner and parent company Carnival International, which acquired Costa Crociere in 1997, covered all the costs of the shipwreck, including the towing and disposal of the ship. The cost of these works is estimated at over e 1.2 billion, while Costa Concordia was insured for e 500,000. Finally, the environmental damage caused by the accident needs to be considered. A human-made environmental disaster due to the shipwrecked of Costa Concordia on the island coast and the possible pollutants release was feared, so requiring the activation of removal operations and the monitoring of the marine environment [25, 26]. The immediate threat of pollution of the coastal water area was eliminated in the first weeks after the accident after it was possible to pump out 2,3 thousand tons of diesel fuel from the liner’s tanks. Nevertheless, a complex framework of chemical, biological and oceanographic activities was immediately activated after the Costa Concordia shipwreck, to assess possible contamination events and the environmental impact during both emergency and wreck removal operations.
5 Conclusion The case of the Costa Concordia was highlighted that, despite technological advances, casualties will continue to happen, and also, they can happen to mega ships [27]. Human factors (this term today covers a multidisciplinary set of topics and perspectives, ranging from the design of equipment, interfaces, and tasks to selection, training, and organization of teamwork perspectives, ranging from the design of equipment, interfaces, and tasks to selection, training, and organization of teamwork) have been the main cause and a major contributing factor of numerous maritime accidents. Safety standards and technological developments in maritime industry have been increased, nevertheless accidents are still occurring since the limitations of the human being is underestimated. It remains to be hoped that the negative experience of organizational zemblanity will eventually be replaced by a positive practice of professional serendipity, when the navigator’s mission will be restored to its former dignity and respect. The failure to notice a changed situation can be explained in terms of individual factors such as complacency, in terms of factors relating to the social nature of the work such as authority gradient, or in terms of organizational influences. The focus of maritime accident investigations has in recent years moved from individual human factors to organizational influences, based on experience and inspired by common sense [1]. Thus, in our analytical note, we tend to agree with the assessment of the catastrophe of the authors we have already cited: “The disaster of the Costa Concordia cruise ship is neither just an unfortunate event, nor just a case of bad leadership. Leadership requires structured constraint and in this case there was none that was effective; leadership without constraint creates a tyranny of judgment; in this case, in a context of designed zemblanity, a lack of generative doubt combined with an unnecessary and unfortunate event to dialectically amplify negativity. Zemblanity, occasioning negative dialectics, created a fatal combination” [23].
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Tragic incidents like the crashes of the Titanic or the Costa Concordia indicate not so much the built-in shortcomings of transport and information technologies, but rather an inherent human inability to operate them safely.
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16. Ruponen, P., Pennanen, P., Manderbacka, T.: On the alternative approaches to stability analysis in decision support for damaged passenger ships. WMU J. Marit. Aff. 18(3), 477–494 (2019). https://doi.org/10.1007/s13437-019-00186-8 17. Neri, P.: Time-domain simulator for short-term ship manoeuvring prediction: development and applications. Sh. and Offsh. Str. 14(3), 249–264 (2019). https://doi.org/10.1080/174 45302.2018.1496567 18. Casareale, C., Bernardini, G., Bartolucci, A., Marincioni, F., D’Orazio, M.: Cruise ships like buildings: wayfinding solutions to improve emergency evacuation. Build. Simul. 10(6), 989–1003 (2017). https://doi.org/10.1007/s12273-017-0381-0 19. Cantelli-Forti, A.: Forensic analysis of industrial critical systems: the Costa Concordia’s voyage data recorder case. In: 2018 IEEE International Conference on Smart Computing (SMARTCOMP), pp. 458–463 (2018). https://doi.org/10.1109/SMARTCOMP.2018.00046 20. Ghosh, A.: Developing performance-based classification rules/regulatory guidelines to improve effectiveness of incident management and outcome of disasters. Am. Soc. of Mech. Eng. 99410, 51–56 (2017). (Marine Technology and Standards). https://doi.org/10.1115/MTS 2017-0407 21. Awal, Z.I., Hasegawa, K.: A study on accident theories and application to maritime accidents. Procedia Eng. 194, 298–306 (2017). https://doi.org/10.1016/j.proeng.2017.08.149 22. Pawlik, T., Wittig, W.: A code of conduct for shipmasters. In: 13th Annual General Assembly of the IAMU-Expanding Frontiers-Challenges and Opportunities in Maritime Education and Training, Fisheries and Marine Institute of Memorial University of Newfoundland (2012) 23. Pellegrino, G.: Is blaming for the captain enough? STS-oriented mobilities as boundary framework and the Costa Concordia accident. Sociologica 8(1), 1–26 (2014). https://doi.org/10. 2383/77049 24. Giustiniano, L., Cunha, M.P., Clegg, S.: Organizational zemblanity. Eur. Manage. J. 34(1), 7–21 (2016). https://doi.org/10.1016/j.emj.2015.12.001 25. Gubian, P., et al.: The disaster of Costa Concordia cruise ship: an accurate reconstruction based on Black Box and automation system data. In: 2nd International Conference on Information and Communication Technology for Disaster Management (ICT-DM), pp. 178–185 (2015) 26. Toniolo, C., et al.: Seagrass Posidonia oceanica (L.) Delile as a marine biomarker: a metabolomic and toxicological analysis. Ecosphere 9(3), e02054 (2018). https://doi.org/10. 1002/ecs2.2054 27. Penna, M., et al.: Multiple environmental descriptors to assess ecological status of sensitive habitats in the area affected by the Costa Concordia shipwreck (Giglio Island, Italy). J. Marine Biol. Assoc. UK 98(1), 51–59 (2018). https://doi.org/10.1017/S0025315417001485
Evaluation of the Effectiveness of Transport Projects from the Position of the Region Martin Grigoryan1(B)
and Lyudmila Bujanova2
1 Admiral Makarov State University of Maritime and Inland Shipping,
5/7 Dvinskaya Avenue, St. Petersburg 198035, Russia 2 Central Marine Research and Design Institute (CNIIMF),
6, Kavalergardskaya, St. Petersburg 191015, Russia
Abstract. The article defines and reveals the key positions of the process of evaluating the effectiveness of transport projects from the perspective of the region. The problem of evaluation is linked to the diversity of the orientation of transport projects, which determines a set of fundamentally different methods and indicators for conducting such an assessment. Based on the fact that the assessment of the effectiveness of transport projects from the position of the region is radically different depending on their scale and the area of implementation, the authors expand the existing classification of projects, highlighting two new signs of division. The groups of projects proposed in the article are disclosed and accompanied by specific examples. Regional changes arising during the implementation of transport projects are structured. A system of indicators for assessing the regional efficiency of transport projects based on the prospects of regional changes has been formed. On the example of generalization of the results of the study carried out by the authors, the thesis is confirmed that the assessment of regional changes occurring during the implementation of the transport project is the basis for making decisions on the need and amount of financial, territorial and personnel regional support for the project. Keywords: Transport · Industry features · Project · Regional changes · Efficiency from the position of the region
1 Introduction By discussing the evaluation of the effectiveness of transport projects, it is necessary, first of all, to pay attention to the diversity of the orientation of these projects, which, in turn, determines the fundamental diversity of methods and evaluation indicators. There are quite a large number of types of projects, in particular transport, which is clearly reflected in the classifications of projects presented in numerous scientific publications. For example, in [1], the authors give a detailed classification of projects by the scale of implementation, complexity and fame. A rather original classification of projects by the level of technology is presented in [2]. Another feature of the classification of projects according to the degree of their implementation is proposed by the authors © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1436–1444, 2022. https://doi.org/10.1007/978-3-030-96380-4_159
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of the article [3]. Rachel L. Yim, Jason Castaneda, Toni L. Doolen, Irem Y. [4] proposed to distinguish projects by the type of taken decisions. The original feature of grouping projects is justified and disclosed by Aleksander Kozlov, Elizaveta Pavlova and Pawel Królas in a research article [5], the authors divide projects into groups depending on their parameters. As the assessment of the effectiveness of transport projects from the perspective of the region is radically different depending on their scale and region of implementation, it is methodologically important to expand the classification of projects. So, it is necessary to distinguish the following two signs of division: by economic entities initiating the project, and by the financial participation of economic entities in the implementation of the project. In addition, the choice of methods and indicators for evaluating the effectiveness of transport projects significantly depends on the position of which of the parties whose interests are affected by the project is evaluated [6–10]. Under interested party or stakeholder, according to [11], is understood as a person or organization that can influence, who can be influenced or they believe that they can be influenced by decisions or actions. This definition assumes that stakeholders should include all persons or organizations that have the right to expect certain results from transport projects. These may be completely different interests, and therefore, determining the effectiveness of the project, an assessment should be carried out for each of the groups of stakeholders. As stakeholders are: – federal government, focusing on the metrics that are associated with regional changes that occur as a result of improving the transportation system, as well as the indicators cited in manifesto (for example, “Safe and qualitative roads”, “Comprehensive plan for the modernization and expansion of trunk infrastructure,” “Transportation development strategy of the Russian Federation for the period till 2030”, the “Strategy for development of Maritime activities of the Russian Federation until 2030”, etc.) – regional management bodies that assess the investment payback of the project and its social significance for this region; – owners and shareholders of transport organizations, for whom the value and dynamics of the main financial indicators are of the greatest importance (income from transportation and other activities of the organization, profit, profitability of production, etc.) obtained as a result of the project; – the labor collective of transport organizations, which first of all is interested in the value of the average salary, special types of encourages and normal working conditions; – investors for whom the investment attractiveness of the project (projects)is important; – consumers who pay attention primarily to such indicators as the transport tariff and the quality of transport services; – creditors for whom the financial performance of the transport organizations is particularly important that is involved in the project implementation; – society as a whole, interested in ensuring that environmental pollution does not exceed the limits of regulatory indicators during the implementation of the project, saving public time is ensured, etc.
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By choosing methods and indicators for evaluating the effectiveness of transport projects from the position of each of the parties, both their internal and external interests are taken into account, and the concept of efficiency itself is considered in a broader sense. Often, the interests of individual parties take on a contradictory character, which is expressed in competing goals. Here we can give an example of the contradictions that arise between a society that is in awe of an increase in the level of environmental pollution, and regional authorities that alienate the territories of settlements for the construction of highways. Therefore, it is important to discuss transport projects openly and adjust them taking into account the opinions of interested parties. This requirement will lead to the complementarity of the goals of the stakeholders and the choice of the most effective transport project. Assessing the effectiveness of transport projects from the view of regional interests (regional management bodies), the key point is that the activity of transport organizations, involved in the project, are an instrument of regional integration, on the rational use of which both the socio-economic integrity of the region and the reliability of its interactions in the external environment depend in a certain extent. The evaluation criterion in this case is to improve the life quality of the population of the region. Therefore, during the assessment, it is necessary to use those indicators that directly reflect the degree and nature of the impact of the activities of transport organizations on the safety and comfort of living in the region.
2 Methods and Materials The article offers some methodological approaches to assessing the effectiveness of transport projects from the perspective of the interests of the region. Such an assessment, in our opinion, is of particular importance, as the region, being part of a single socioeconomic space, is at the same time a separate subject of economic relations, and, accordingly, brings forward its own criteria for evaluating the effectiveness of transport projects. At the same time, there is a need to harmonize industry, federal and regional interests. The purpose of the study is to identify and disclose analytical approaches to assessing the effectiveness of transport projects from the perspective of the interests of the region. During the work on the article, the authors used such research methods as comparative analysis, process structuring, grouping, expert analysis of publications on the topic of project evaluation, logical analysis of cause-and-effect relationships. Special attention was paid to the content analysis of methodological materials on the problems of measuring the effectiveness of projects at various levels, in particular regional projects. The synthesis of theoretical research and practical experience in the use of various measurement techniques allowed us to critically rethink the possibilities of the procedure for assessing the regional efficiency of transport projects, as well as to justify proposals for the formation of a system of evaluation indicators that take into account regional changes and the economic positions of stakeholders that occur as a result of the implementation of the transport project.
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3 Results and Discussion The assessment of the effectiveness of transport projects from the perspective of the region is fundamentally different depending on the scale and region of their implementation. Here we can distinguish those transport projects that are initiated, and to some extent are financed by the region itself, and projects, whose implementation is decided by other economic entities or at the state level. In the first case, the effectiveness of transport projects is evaluated by fairly wellknown generalizing indicators that characterize the prospects for the payback period. At the same time, the social significance of the project is often taken into account. Examples include the transport project “Smart St. Petersburg”, the project of autonomous unmanned transport within the framework of Moscow: “Smart City - 2030”, the project of the intelligent transport system of Kazan, etc. If we summarize these projects, they are all aimed at: – – – – – – – –
providing conditions for maximum mobility of residents of a city or region; for the creation of transport infrastructure for the launch of unmanned transport; for the use of environmentally friendly (“green”) fuels; to improve the safety, comfort and environmental friendliness of the transport system of the city (region) with the help of digital technologies; to reduce the average travel time of a passenger due to an intelligent transport system and digital services; to improve the efficiency of traffic flow management and reduce the number of vehicle accidents through Big Data analytics and other digital technologies; to harmonize the development of the transport infrastructure of an individual city and region; for the development of transport rental sharing services (various types of sharing), etc.
By evaluating the effectiveness of these projects, the budget component of financing is taken into account. In Russian practice, there are a number of methods for evaluating the effectiveness of projects, in particular, those that take into account the specifics of transport [7, 8]. All of them are consistent with the methodology for evaluating the effectiveness of investment projects proposed by the United Nations Industrial Development Organization (UNIDO) [6]. As the evaluation indicators contained in this methodology are widely known, the task of listing and discussing them has not been set within the framework of this article. In the second case, when transport projects are developed and implemented not on the initiative of the region, the assessment of their regional effectiveness is carried out on the basis of the prospects for regional changes resulting from the improvement of the transport system [9, 10]. This case can be illustrated by the example of the Federal project “Development of Seaports”, which is part of a comprehensive plan for the modernization and expansion of the main infrastructure for the period up to 2030. The project includes 15 measures for the development of port infrastructure, which will increase the production capacity
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of the port by 142 million tons per year in the horizon until 2030. The most large-scale among these events should include: – construction of a coal terminal and reconstruction of the facilities of the Murmansk bulk terminal; – construction of a specialized terminal for transshipment of bulk cargo in the port of Murmansk; – construction of a sea transshipment complex of liquefied natural gas in the Murmansk region; – construction of a terminal for transshipment of mineral fertilizers and a universal trade terminal in the port of Ust-Luga; – construction of the Primorsky universal transshipment complex in the Leningrad region; – expansion of the terminals of the ports of Korsakovo and Vanino; – construction of a specialized coal transshipment complex in the Muchke Bay of the Khabarovsk Territory, etc. The implementation of the project activities affects various regions of the Russian Federation: the Leningrad Region, the Murmansk Region, the Far Eastern Region, the Krasnodar region, etc. Regional changes that occur during the implementation of transport projects are of a different nature, and therefore it makes sense to group them. 1. Changes in the socio-economic potential of the region, among which, first of all, we can name such as: – development of interregional and international economic relations as a result of transport accessibility of the region; – principal structural changes in the economy of the region (the emergence of new sectors of the economy, the priority development of existing industries, etc.); – labor productivity growth due to reduced transport fatigue; – increase in the level of employment of the population of the region; – increasing the level of economic viability of regional business organizations by reducing transport costs, etc.; 2. Changes in the technosphere of the living environment in the region, for example: – improvement of environmental parameters of the environment; – increasing the accessibility of movement of various groups of the population by transport; – increase the speed of passenger movement, increase the level of safety of passenger movement by transport; – increased free time due to reduced travel time; – reduction of transport costs; – the emergence of new employment opportunities, etc.
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The proposed grouping allows, respectively, to separate both the evaluation methods and the indicators used in the evaluation process (see the Fig. 1).
Estimated indicators for two groups of regional changes Allowing to determine
Characterizing the influence of the
how the improvement of the transport
transport system on the comfort of the tech-
system affects the economic potential of the region
nosphere of the living environment in the region
Examples of indicators
Examples of indicators the intensity and nature of pollution of the natural environment of the region resulting from transport activities; the number of road accidents, compared with the population of the region; waiting time for transport when making work, household and cultural trips; quality of suburban, intercity, and international transport services; timely execution of applications for the removal of household and industrial waste; quality of cleaning of residential areas; the adaptability of vehicles to service people with disabilities, etc.
- timeliness and speed of cargo delivery to enterprises of other industries (regional and located in other territories); - cargo safety; - ensuring the regular functioning of transport corridors; - reliability of regional logistics systems; - achieving the competitiveness of regional transport organizations in the interregional and international transport markets; - average speed of the trip; - regularity of public transport movement; - the level of reliability of transport services in crisis situations (the need for urgent medical care, accidents in the urban economy system, natural disasters, etc.), etc.
Fig. 1. Grouping of indicators for evaluating the effectiveness of transport projects based on the prospects for regional changes
The variety of methods for evaluating the effectiveness of transport projects that can be used determines the need to choose the most priority methods, taking into account the socio-economic situation in the region and the key vectors of its development strategy. Limitations in the choice of priority assessment methods are the financial capabilities of the region and the level of professional competence of employees making managerial decisions.
4 Conclusion The assessment of regional changes occurring as a result of the implementation of the transport project is the basis for making decisions on the need and amount of financial,
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territorial and personnel regional support for the project. The success of actions aimed at the full and timely implementation of regional transport projects implies a high level of professional competence of performers of tactical tasks, the solution of which ensures the achievement of key goals of the development of the transport system. It fully determines the need to expand the field of additional vocational education and permanent adjustment of curricula, both in this area and in the field of basic vocational education. It is known that the introduction of the basics of the Bologna training system into the professional education system has led to the emergence of a large number of bachelors acting as candidates for managerial jobs. Bachelor’s degree training has a general nature and only to a small extent meets the rather diverse professional requirements imposed on the teams of managers who are engaged in project management. In this connection, there is no doubt that there is a need for additional professional training of managerial employees. It should be particularly noted that the specifics of the work of transport imposes additional requirements on the level of qualification of employees. Firstly, this is due to the peculiarities of civil legislation, in which vehicles are classified as sources of increased danger. Secondly, the long-term development of the industry and the solution of the strategic tasks set by the state requires endowing employees with new competencies that meet the modern needs of society. In this connection, independent organizations are being created in the Russian Federation to assess the qualifications of transport workers. For example, in 2018, the Council for Professional Qualifications in Maritime and Inland Water Transport was established. Among the numerous goals of the council is the organization of an independent assessment of the qualifications of employees or persons applying for a certain type of work. Based on this goal, it can be seen that the Council for Professional Qualifications in Maritime and Inland Water Transport deals with organizational issues, and the independent assessment procedure itself is carried out by the qualification assessment center. The requirements for the qualification assessment center and the procedure for selecting organizations to grant them the authority to conduct an independent assessment of qualifications and the termination of these powers are determined by an Order of the Ministry of Labor and Social Protection of the Russian Federation. In turn, the Council for Professional Qualifications selects organizations and gives them with the authority of the qualification assessment center. The list of qualifications for the qualification assessment center is determined by the Council if there are approved professional standards for specific specialties in maritime and inland water transport. It is also important to note that regional support may consist in the implementation of targeted regional programs for additional training of employees, and in the participation of the region in financing individual forms of training of managers. Concluding the consideration of the methods of organizational and financial support that the region can provide during solving the problem of improving the level of professionalism of employees engaged in business, we note the following. Regional authorities can use the foreign experience described in the literature quite fully to promote career preparation programs and industrial internships for employees of organizations within the boundaries of dual education, carried out with the active support of local authorities.
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The priority of the transport project is primarily determined by the State Program for the Development of the Transport System. However, for each region, the rank of significance of the project significantly depends on the economic situation that has developed in this region, on the degree of development of the regional transport system, on the location of the region, as well as on the terrain and climatic conditions. We should also mention such a factor as the natural conditions for the development of certain types of transport. As the natural and geographical conditions in Russia are diverse, it is possible to identify priority projects for the development of transport modes in a number of regions. For example, due to the geographical features of the Arctic, sea transport occupies a leading place in the cargo delivery system. Sea transport in the Arctic, in most cases, has no alternative in the development and supply of its vast territories. In the process of development of the region, projects were formed for the construction of port infrastructure that provides all types of economic activities and protection of territories and water areas. Accordingly, new settlements were formed around already created infrastructure facilities or existing settlements were integrated, which provided for the ports activities, industrial facilities, meteorological and research stations, military bases, border outposts and other facilities. Another example can be given. For access to the regional minerals of Eastern Siberia and the Far East, it is impossible to be without railway transport. This, along with other reasons, caused the need to implement such a project as the construction of the BaikalAmur trunk. The railway line passes through the territories of the Irkutsk, Chita, Amur regions, Buryatia and Yakutia, and the Khabarovsk Territory. The Baikal-Amur trunk has given an impetus to the development of a number of regional industries, and also plays a significant geopolitical role. When monitoring the performance indicators of transport projects from the standpoint of regional interests, there is no need to analyze the magnitude and dynamics of the entire set of indicators in each of the evaluation cases. Firstly, the impact of the activities of transport organizations on the quality of life in the region varies in the strength of the impact, and, secondly, the impact of different types of transport activities is associated with the emergence or solution of problems in the region that are fundamentally different in nature and relevance. Therefore, it is advisable to justify the selection of the analyzed indicators from the standpoint of the relevance of the problems of the region and taking into account the degree of information openness of all project participants.
References 1. Entekhabi, M., Arabshahi, G.H.A.: Classification of innovation projects. Indian J. Innov. Dev. 1(8), 612–625 (2012). https://www.researchgate.net/publication/331977260 2. Crawford, L., Hobbs, J.B., Turner, J.R.: Investigation of potential classification systems for projects. In: PMI® Research Conference 2002: Frontiers of Project Management Research and Applications, Seattle, Washington. Newtown Square, PA: Project Management Institute (2002). https://www.pmi.org/learning/library/investigation-potential-classification-systemsprojects-8967 3. Attarzadeh, I., Ow, S.H.: Project Management Practices: The Criteria for Success or Failure Communications of the IBIMA, vol. 1, pp. 234–240 (2008). https://ibimapublishing.com/art icles/CIBIMA/2008/149039/149039.pdf
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4. Yim, R., Castaneda, J., Doolen, T., Tumer, I., Malak, R.: A study of the impact of project classification on project risk indicators. Int. J. Project Manage. 33(4), 863–876 (2015). https:// doi.org/10.1016/j.ijproman.2014.10.005 5. Kozlov, A., Pavlova, E., Królas, P.: Classification of parameters of innovative projects in the framework of digital transformation programs for sustainable development of industrial enterprises. E3S Web. Conf. 258, 02021 (2021). https://doi.org/10.1051/e3sconf/202125 802021 6. Manual for evaluation of industrial projects. Prepared jointly by the United Nations Industrial Development Organization and the Industrial Development Centre for Arab States. United Nations Industrial Development Organization, Vienna (1986). https://open.unido.org/api/doc uments/4788156/download/MANUAL%20FOR%20EVA 7. Pantina, T., Borodulina, S.: Assessment of regional transport accessibility indices for inland water transport services. E3S Web. Conf. 244, 11016 (2021). https://doi.org/10.1051/e3sconf/ 202124411016 8. Borodulina, S., Pantina, T.: Model of sustainable economic development in the context of inland water transport management. In: Murgul, V., Pukhkal, V. (eds.) EMMFT 2019. AISC, vol. 1258, pp. 806–819. Springer, Cham (2021). https://doi.org/10.1007/978-3-030-574505_68 9. Smirnov, A., Zenkin, M.: The role of water transport in the formation of the brand of the coastal regions: the example of St. Petersburg. In: Murgul, V., Pukhkal, V. (eds.) EMMFT 2019. AISC, vol. 1258, pp. 399–408. Springer, Cham (2021). https://doi.org/10.1007/978-3030-57450-5_34 10. Koroleva, E., Sokolov, S., Makashina, I., Filatova, E.: Digital maritime container terminal an element of digitalization of container transportation systems. Ecol. Biol. Well-Being Flora Fauna, EBWFF 203, 05004 (2020). https://doi.org/10.1051/e3sconf/202020305004 11. ISO 9000:2015 Quality management systems — Fundamentals and vocabulary (IDT). https:// www.iso.org/obp/ui/#iso:std:iso:9000:ed-4:v1:en
Approaches to Chatbot Design for Teaching English to Maritime Students: Needs Analysis and Content Planning Svetlana Strinyuk1(B)
and Viacheslav Lanin2
1 Admiral Makarov State University of Maritime and Inland Shipping, 5/7 Dvinskaya Street,
198035 Saint Petersburg, Russia [email protected] 2 Perm State University, 15 Bukireva Street, 614990 Perm, Russia
Abstract. The article focuses on the research and technical requirement stage of collaborative inter-university project on design and development of a chatbot for learning Maritime English and integrating it into a comprehensive Maritime English ESP course. The paper aims to describe major approaches to designing a chatbot and provides a literature review on the approaches to selecting content of “Maritime English” ESP course based on the qualitative analysis of maritime student/cadet needs. An analytical review of existing mobile applications for learning Maritime English is provided; the criteria for the selection of content components and determining basic functionality of chatbots for learning maritime English are formulated. Keywords: Chatbot · Mobile learning (m-learning) · Professionally oriented English · ESP · NLP · MALL technology · Smartphone application · Maritime English · Comprehensive ESP course · Needs analysis · Language recycling · Mobile-assisted language learning (MALL)
1 Introduction English is Lingua Franca in all spheres of maritime communication. Fluency in English provides safety at sea and helps make successful career in all sea industries [1]. A good command of the language accepted in professional maritime communication is a basic competence for both specialists working directly on board of a vessel and in international shipping, maritime law, port management, etc., - competent users of various aspects of maritime English are required by all sea industries. Safety of maritime transport depends on the level of English proficiency of crews and specialists serving the ship in ports. A corpus study of Marine Accident Investigation Branch reports, conducted in 2017 by ˇ c-Viskota found that a query on the three keywords ‘language’, Monigmann and Culi´ ‘communication’, and ‘English’ turned up several dozen reports of serious incidents in British waters (regardless of nationality) from 1989 to 2017, which were directly caused by poor oral English language proficiency of crew members [2]. Thus, the knowledge © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1445–1453, 2022. https://doi.org/10.1007/978-3-030-96380-4_160
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of English at least at B2 level (CEFR) is one of the key competencies of a maritime graduate in almost any sphere of study. English is recognised as the language of professional communication by the International Maritime Organisation (IMO) in International Convention on Standards of Training, Certification and Watch keeping for Seafarers (STCW); serious efforts are being made to systematise and standardise the language material required for seafarers to master English at a level that enables them to deal not only with standard routine tasks but also to interact quickly and effectively in non-routine situations. STCW define the topics and specific skills required for seafarers to perform their duties. Obviously, these recommendations make a core of the Maritime English course for crews, but they do not cover all real life practices at sea, therefore, a course in maritime English cannot be reduced only to drilling standard phrases and drilling grammar. Moreover, different tasks performed by crewmembers require using different language units, which makes the idea of creating a universal Maritime English course meeting the needs of all seafarers next to impossible. Thorough corpus informed selection of language units (vocabulary, grammar patterns, syntactic structures) together with needs analysis based on detailed job description would provide an adequate approach to selecting training materials. Also, insufficient recycling of the language should be tackled. A possible solution is “reducing, reusing, recycling” - a widespread environmental concept being implemented to ESP will limit the target language units to a necessary minimum but still acquire the language properly through recycling the language. Even a cursory holistic analysis of Russian textbooks shows that they mainly implement grammar and translation approach to teaching and not providing enough training for all speech activities which significantly reduces the efficiency of training [3, 4]. A communicative approach to teaching English as a means and the goal is not adopted either. Moreover, these course books also usually fail to provide a sufficient corpus of exercises for recycling and the automation of productive skills in speaking and writing. The educational paradigm is changing significantly and rapidly - the popularity of messengers as sources of reliable information is growing, which cannot be ignored when developing teaching and learning materials. The change in the cognitive strategies of the students brings internet messengers to the forefront, now unfortunately underused in traditional pedagogy. Internet messengers or software services for real-time messaging over the Internet (Instant messaging, IM) are used to transmit text, audio, graphic or video messages and other collaborative activities between users. Examples of messengers are Facebook Messenger, VK Messenger, Viber, WhatsApp, Skype, Kik, Discord, Telegram, WeChat, Line, Slack, Microsoft Teams, ICQ, Google Hangouts, etc. Messengers are also quite successfully adopted for educational and humanitarian projects and are actively used to organize interaction in the educational process in different shperes of life [5–8]. Under these conditions providing students/cadets with a tool for intensive autonomous training seems most obvious. Advantages of integrating chatbot technology in English language teaching and learning are numerous: creates enjoyable relaxed atmosphere, provides additional intensive language training and targeted learning materials, give quick error correction, save classroom time, can be adopted to assess skills, can provide authentic materials from video hosting or news portals, etc.
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In general, chatbot can assist a major comprehensive course in Maritime English as ESP allowing students acquire, train, drill and automate skills in different aspects of English. The chatbot cannot replace a comprehensive ESP course, but it can be integrated into the course as a convenient application capable of incorporating authentic materials into the learning process, increasing the amount of training material and offering extended exercises for automating skills in all four types of speech activities.
2 Methods and Materials The research at pilot stage is carried out using qualitative methods. Through literature review we aim to address the research question: Which approaches should be adopted to chatbot development? The Practical objectives to be considered: • needs analysis of a potential chatbot user, in our case - a maritime student/cadet studying English; • conducting an analytical review of software tools for learning English; • formulating functional requirements for a chatbot for learning Maritime English; • identifying types of multifunctional training tasks supported by a chatbot; • defining an approach to automated training task generation; • conducting a comparative analysis of the principles of language learning application development; • choosing a technological platform and an Internet messenger to implement the project. 2.1 Analysis of the Needs of a Potential Chatbot User The scope of maritime English is extremely large; specialists in different fields need different language material to improve their English language skills in a specific maritime field: it is obvious that a future logistician, a maritime law specialist or a future navigator needs to learn different aspects of maritime English (Pritchard). Since the chatbot is targeted at navigation cadets, the selection of training material must comply with the competence requirements of SMCP and IMO 3.17 Model Course. Research of students’ and cadets’ needs of maritime universities clearly demonstrate the necessity of educational material orientation on professional needs of future seafarers and application of communicative approach to maritime English teaching methodology [1, 9]. Chatbot targets primarily learning objectives, therefore, it needs the function of assessment and recording of learning progress. Numerous studies on the needs of maritime cadets (international crews of sea vessels) show that the most demanded skills are speaking at the level not lower than Intermediate (CEFR) [10]. As an example, data from a survey of maritime school cadets ranked the following skills as most important: “Radio Communication: communicating to port authority via VHF; calling upon Vessel Traffic Service (VTS); responding to Vessel Traffic. Traffic Service (VTS); taking and delivering navigational messages accurately via VHF radio; Routine Works and Operations: describing procedures at international ports; giving directions on board; Shipping Manuals: understanding Standard Helm
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Order; Cargo Operations: checking cargo condition” and others also requiring sound communication skills [11]. It should be, however, taken into consideration that chatbot as an artificial intelligent learning tool has some major restrictions – in grammar and in meaning. Coniam reports approximately 60% accuracy of conversation with five chatbots (Dave, Elbot, Eugene, George, Julie). Chatbots can produce acceptable conversation, but erroneous utterances contain mistakes in word level (vocabulary range, spelling, upper/lower case) and grammar level (nouns and countability, pronouns and verbs and word order) (Coniam). Also, research shows some obvious limitations in the ability of chatbots to produce meaningful content may seriously demotivate students/cadets with higher language fluency although A1–A2 students/cadets may enjoy using chatbots since they provide anxiety-free learning environment (Satar). Limitations mentioned above may be removed by watching at the situation at a different angle. A major objective of the chatbot in question is providing learning environment for crew members, whose major professional performance in English is using rigid formulaic SMCP expressions correctly which leads to producing input and responses typically limited to one-utterance questions and answers (Coniam). 2.2 Approaches to Training Material Selection As practice and incident reports at sea show, knowledge of SMCP phrases alone is not sufficient for successful communication and successful performance of professional duties due to non-standard situations that arise, where crewmembers are required to have a deeper knowledge of the language in order to perform their duties. In addition, due to the nature of working on long voyages in multinational crews, the ability to communicate on topics not directly related to duties is also an important prerequisite for creating friendly atmosphere. The Pritchard study proposes a model of a complete ESP course aimed at the acquisition of all speech skills: reading, listening, speaking and writing (Pritchard). According to this approach, the content components of the teaching material should be authentic materials that allow students to acquire receptive skills, and tasks for practicing productive speaking and writing skills. Literature review also show the minimum operational requirement to the command of English at B2 level (CEFR).
3 Results and Discussion Thus, learning material in a chatbot should include the following types of materials: Reading - different types of authentic texts of adequate level of complexity, in combination with prereading lexical and grammar exercises, helps learners acquire target language in context rather than in isolation. Listening - short voice messages from the chatbot with a voiceover, which makes useful implementing the chatbot into a comprehensive ESP course for learning standard IMO phrases [10–15]. Writing - written texts of any genre and any degree of complexity, provide detailed study of genre, register or length.
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Speaking - structured messaging based on a pre-defined script, is useful, for example, for learning IMO standard phrases. A detailed elaboration of dialogue scenarios is required, possibly based on a corpus of real ship to ship or ship to shore communication. According to the terminology of chatbot development, chatbots are classified as intent and entities. Intent refers to the “intention” of the user, i.e. the need to solve some task. While the entities are the characteristics of the intent or its metadata. Thus, the handling of the above-mentioned types of learning tasks and materials needs to be formulated in terms of intents and entities. 3.1 Chatbot: Definition According to the definition, a chatbot is a computer program that processes information submitted to it by a user and generates a response [16]. In other words, it is a program that simulates a conversation between a user and a real person. The dialogue can be carried out by means of text or audio messages [17]. Chatbots can be divided into two types by the way the dialogue is organised: those using artificial intelligence and those based on predefined scenarios. Artificial intelligence solutions are based on identifying communication patterns using machine learning techniques - analysing a corpus of real conversations between an operator and users. Predefined scenario-based solutions contain a limited number of options for developing a dialogue, with each successive step determined by previous responses. One of the defining features of chatbots is the possibility to conduct free dialogue in natural language, which in turn causes the necessity of solving artificial intelligence tasks with the application of such technologies as machine learning and automatic processing of natural language. Special tools, frameworks and libraries are used in practice to solve such tasks Dialogflow, Rasa, Wit.ai, Microsoft Bot Framework, IBM Watson and Botkit. In practice, chat bots perform four major tasks: • automating routine operations, the execution of which can be described algorithmically; • searching for help information and accessing question and answer systems; • providing advice; • filling records and forms. In terms of software implementation, a chatbot is a client-server application the main components of which are: • • • • •
knowledge base; a dialogue management component; a component for processing messages from the user; a component of response generation; user interface.
4 Analysis of Existing Applications for Learning Marine English Defining a niche and a messenger for prospective chatbot development was started by searching for mobile solutions and chatbots for learning Marine English. Maritime
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English as one of the segments of ESP, as mentioned above, is a complex multidimensional system, selecting the language material requires a systematic approach based on a thorough analysis of the needs of the future professional. However, even an initial search of mobile applications, which have already been developed for the needs of learners of different age, English proficiency level and for different purposes, using the keywords “Maritime English” shows that existing applications are either designed to teach the basics of Maritime English: Seabook Maritime, Seagull Training, Sea Sector Maritime Courses, Maritime Test, Seabook +, Maritime Knowledge, or for some functions necessary for navigation: Maritime Traffic, Ship Tracking, TrackaShip Live Marine Traffic (reflecting the location of all vessels in a certain radius), are a general maritime information resource: Maritime Global News, provide information on job vacancies, on specific companies etc. We could not find any mobile applications to learn maritime English. Chatbots for learning maritime English, unlike apps for learning General English, are not presented either, although there are descriptions of attempts to develop Standard Marine Communication Phrases (SMCP). Since, as already mentioned, chatbots for learning Marine English do not currently exist, the most popular chatbots for learning General English were chosen as the material for analysis (see Table 1). Several popular chatbots based on independent apps, Facebook Messenger and Telegram were chosen to compare existing apps. The criteria for comparison were: • whether the chatbot was built on top of a messenger or was an independent app; • whether there is artificial intelligence (can the bot have a meaningful conversation to some degree); • whether text messaging is possible; • whether voice messaging is possible; • whether buttons or menus can be used to communicate; • if there are vocabulary exercises; • if the phrases or words can be pronounced; • whether there are learning statistics (progress). Table 1. Comparison of chatbots for learning general English Mondly
Cleverbot
Wordsworth
DeutschEffekt
Lenny
Messenger/independent application
Application
Application
Facebook Messenger
Telegram
Telegram
Text messages
+
+
−
−
−
Voice messages
+
+
−
−
−
Menus or buttons
=
+
+
+
+
Learning vocabulary
+
−
+
+
+
Pronouncing words to be + learnt
−
−
+
+
Artificial intelligence
−
+
−
−
−
Progress assessment
+
−
−
+
+
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5 Functional Requirements for a Chatbot Based on an analysis of existing solutions and literature review, the following functional requirements are formulated as follows: • selecting a topic to practice through exercises; • selecting the type of exercises for practising English through a menu; • the chatbot should respond to the user’s messages with phrases appropriate to the context of the dialogue and evaluate the correctness of the user’s response; • recommendations of content on a particular topic (the content should vary and be a subject-oriented article from a news source (Marine Insight etc.), a video from a youtube video hosting site, a grammar guide, etc.); • the chatbot should be controlled by commands in natural language and duplicated by embedded menu commands to speed up operation; • the possibility of extending the content of the exercises in automatic and semiautomatic mode by using the natural language analysis tools through a specialised interface; • the possibility of tracking and analysing the results of the user training.
6 Approach to the Implementation of a Chatbot The analysis of the requirements and the existing chatbots development tools has shown that implementation requires the development of a specialized software solution based on corpus text analysis tools, natural language processing and machine learning with the provision of an API interface for the Telegram-bot operation [18–21]. Considering the popularity of messengers among a wide range of target users it was decided to develop a chat bot based on the Telegram messenger. The choice of this messenger was also based on the open access to its service features and highquality documentation. On the other hand, the architectural principles underlying the development will make it possible to transfer the chatbot to other platforms if necessary.
7 Conclusion There are currently many applications based on various messengers for learning foreign languages, but a review of existing applications shows that the available developments are not of interest for learning professionally oriented English. The development of chatbots for learning Maritime English, despite the extensive target audience, is at the design stage. The popularity of the Telegram messenger with young people suggests that a chatbot developed on the basis of this messenger has numerous advantages. Firstly, the chatbot provides sufficient flexibility and adaptability of learning material, approaches and methods for assessing progress. Secondly, with a systematic approach to the selection of learning material, teaching and assessment methods, it allows a diverse, multi-level quality content and a variety of learning and practical activities to be offered to the maritime student and cadet. The chatbot also provides generated material with a variety of tasks and, through repetition, helps to achieve high learning outcomes. The use
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of chatbot technology is not an end in itself, its functionality allows cadets and students to use it to improve their language proficiency, removes a psychological barrier, and forms skills for independent work with a foreign language.
References 1. Fan, L., Fei, J., Schrievera, U., Fan, S.: The communicative competence of Chinese seafarers and their employability in the international maritime labour market. Mar. Policy 83, 137–145 (2017) ˇ c-Viskota, A.: Standardised english language proficiency testing for 2. Mönnigmann, B., Culi´ seafarers. Trans. Marit. Sci. 02, 147–154 (2017) 3. Common European Framework of Reference for Languages (CEFR). https://www.coe.int/ en/web/common-european-framework-reference-languages/table-1-cefr-3.3-common-refere nce-levels-global-scale. Accessed 10 June 2021 4. International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW). https://www.imo.org/en/OurWork/HumanElement/Pages/STCW-Conv-LINK. aspx. Accessed 10 June 2021 5. Kitaevich, B.E., Sergeeva, M.N., Kaminskaja, L.I., Vohmjanin, S.N.: Uchebnik anglijskogo jazyka dlja morjakov (Lan’.10th ed) (2020) 6. Isaenko, E.D., et al.: Uchebnik anglijskogo jazyka dlja vysshih morskih uchebnyh zavedenij (I i II god obuchenija Kronverk-Print Sain Petersburg) (1993) 7. Elekaei, A.: A study into the impact of the choice of cognitive and meta-cognitive strategies and podcasts on vocabulary gain and retention levels in the telegram-based e-learning context. Teach. English Technol. 20(2), 98–117 (2020) 8. Ghaffari, M., Rakhshanderou, S., Mehrabi, Y., Tizvir, A.: Using social network of TELEGRAM for education on continued breastfeeding and complementary feeding of children among mothers: a successful experience from Iran. Int. J. Pediat. 5(7), 5275–5286 (2017) 9. Aligholipour, M., Feizollahzadeh, H., Ghaffari, M., Jabbarzadeh, F.: Comparison of in-person and MMS -based education in telegram on self-care and fasting blood sugar of patients with diabetes mellitus: a randomized clinical trial. J. Caring Sci. 8(3), 157–164 (2019). https://doi. org/10.15171/jcs.2019.023 10. Faraji, S., Valizadeh, S., Sharifi, A., Shahbazi, S., Ghojazadeh, M.: The effectiveness of telegram-based virtual education versus in-person education on the quality of life in adolescents with moderate-to-severe asthma: a pilot randomized controlled trial. Nurs. Open 7(6), 1691–1697 (2020) 11. Aladsani, H.K.: University students’ use and perceptions of telegram to promote effective educational interac-tions: a qualitative study. Int. J. Emerg. Techn. Learn. (iJET) 16(09), 182–197 (2021) 12. Pritchard, B.: Maritime English syllabus for the modern seafarer: safety-related or comprehensive courses? WMU J. Marit. Aff. 2(2), 149–166 (2003) 13. Fan, L., Fei, J., Schriever, U., Fan, S.: A review of maritime English education and training in China in comparison with other top suppliers of seafarers. Asia-Pacific. J. Marine. Sci. Educ. 5(2), 22–38 (2016) 14. Dirgeyasa, I.W.: The need analysis of maritime english learning materials for nautical students of maritime academy in indonesia based on STCW’2010 curriculum. Engl. Lang. Teach. 11(9), 41 (2018) 15. Ever, N., Endah, F.: Need analysis of teaching and learning maritime English in nautical class of STIMART “AMNI” Semarang. J. Edulingua. 5(2), 1–8 (2018)
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16. Raju Sinha, A., et al.: A needs analysis of maritime English language skills for Bangladeshi seafarers to work on-board ships. Marine Policy 119, 104041 (2020) 17. Coniam, D.: The linguistic accuracy of chatbots: usability from an ESL perspective. Text. Talk. Interdiscipl. J. Lang. Discourse. Commun. Stud. 34(5), 545–567 (2014) 18. Qinghua, Y., Satar, M.: English as a foreign language learner interaction with chatbots: negotiation for meaning. Int. Online. J. Educ. Teach. (IOJET) 7(2), 390–410 (2020) 19. Takagi, N., John, P., Björkroth, P., Noble, A., Brooks, B.: VTS-Bot: Using ChatBots in SMCPbased Maritime Communication Maritime Conference At University Of Kobe. University of Kobe, Kobe, Japan (2016) 20. Khan, R., Das, A.: Build Better Chatbots. A Complete Guide to Getting Started with Chatbots. Apress, Berkeley (2018). https://doi.org/10.1007/978-1-4842-3111-1 21. IMO Standard Marine Communication Phrases. https://www.imo.org/en/OurWork/Safety/ Pages/StandardMarineCommunicationPhrases.aspx. Accessed 10 June 2021
Participating in Scientific Conferences and Research Reports Contests as a Form of Organizing Cadets’ Independent Work Irina Shcherbakova(B)
and Tatiana Mahmudova
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya str, Saint-Petersburg 198035, Russian Federation [email protected]
Abstract. The article is devoted to the problems of arrangement, significance and necessity of students’ research report contests and scientific conferences in English in Maritime universities. The role of cadets’ independent work in preparation for presentation at the research report contests and scientific conferences, and the use of professional (maritime) English is focused. The possibility of competence approach realization due to such forms as the cadets’ research report contests and scientific conferences is discussed by the authors. In the given paper the authors describe the latest experience at Admiral Makarov State University of Maritime and Inland Shipping. A particular focus is placed on the evaluation criteria for the cadets’ oral research reports and PowerPoint presentations submitted to the contest, as well as the evaluation criteria for answering the questions after the report and presentation. The authors also present the feedback from the participants to show the results and make the conclusions. Keywords: Student scientific conference · Contest of research reports of Maritime cadets · Independent work · Oral presentation criteria · Professional maritime foreign language · English for specific purposes
1 Introduction In the development of higher education institutions, innovative teaching methods are progressively introduced. These methods successfully interact with traditional practices [1, 2]. There is a definite trend of students’ independent work growth and a displacement from teaching focus to learning process. It becomes clear and obvious that with the changeover to the competency-based approach in education it is necessary to start forming a system of independent work abilities and skills, to bring up the cadets’ culture of independent activity. Thus, currently independent work of students and cadets is an obligatory component of any educational process [3]. Independent work is a set of academic and extracurricular tasks and work, which ensure the successful acquisition of the higher professional education program in accordance with the requirements of Federal educational standard to mastering the educational program and mastering general-professional and professional competencies. In addition, © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1454–1464, 2022. https://doi.org/10.1007/978-3-030-96380-4_161
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this type of work develops cadets’ concentration and discipline, stimulates activity, independence, responsibility, critical thinking, organization and intellectual interest of cadets, their personal and, perhaps, unordinary approach to solve various situational problems [4]. Being involved in such a work cadets are more aware of their own strengths and weaknesses [5]. This type of work is multifaceted, it includes preparation for diverse practical and seminar classes, work with a variety of terms while reading new texts, abstracting/reviewing and annotating articles, processing different types of data, writing letters and essays, preparation of oral reports and presentations for practical classes, project development, Olympiad assignments and exercises, reports and presentations preparation for participation in competitions and scientific-and-practical students’ conferences [6]. It should be noted that one of the most effective forms of students’ independent work is participating in research reports contests, as well as scientific conferences. These types of work contribute to the development not only foreign language competence in cadets, but also professional competences. It gives them an opportunity to get acquainted with foreign experience in the sphere of their chosen specialty. This provides successful mastering of ESP vocabulary, development of special literature reading skills, abstracting and reviewing foreign articles to prepare for oral public reports and presentations, ability formation to express their thoughts in English regarding the topic of specialty [7, 8]. Also specialists note that research report contests and conferences can fulfill the function of early foreign-language professionalization of cadets, can integrate tasks of creative and research character, can model professional activity, develop speaking skills and critical thinking, contribute to development of organizational abilities and capability to use modern information technologies both for information retrieval and for presentation preparation [9]. The main factors for successful students’ performance in a research paper (report) contest or scientific-practical conference are the following: – carefully considered and independently chosen topic of the paper (report) for the presentation, – selection and analysis of the information relevant to the paper (report), – anticipation of the kind of questions that might be received at the contest [10, 11]. To achieve the final result and success the role of a teacher is important especially for the 1st and 2nd year students. At the same time, a professor should not fully supervise the process of a cadet’s report preparation. Basically, his/her job is to guide and correct the student’s activities and actions [12]. After the research report drafting is completed, it is necessary to prepare the conference report, as well as a video presentation or PowerPoint presentation on the chosen report topic highlighting all the significant points. The culture of any public speech should be based on the following skills: – to attract the attention of the audience and members of the jury to the main idea of the speech/project/report and the concept of its development, – to capture the interest of the audience in the report,
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– to convince the audience and members of the jury in the validity and reliability of the obtained results, – to arouse approval and sympathy of the audience [13]. Scientific work of Makarov State University of Maritime and Inland Shipping cadets, as one of the forms of organizing independent activity, is done by cadets every year. The Department of English for Navigation and Communication organizes presentation and research report contests, scientific-practical conferences in English, involving cadets with different level of English. Years of experience in teaching show that students, as a rule, respond enthusiastically to the announcement of an upcoming research paper contest or scientific conference. Such information is, of course, provided to cadets in advance, and usually occurs at the beginning of the academic year. The professor may inform students of the extra points/grades for participation in the contest/conference and include them in the course plan as an additional assignment. Here it is worth noting that the grade for the course, put in the credit book and examination sheet, reflects both the final results of the examination/credit and the overall results of the cadet’s academic and independent work during the entire semester. To determining some extra points for this independent work, the teacher should clearly define what criteria the student should pay attention to during the preparation for the conference or contest presentation: first, the relevance of the topic, knowledge of the material, logical and expressive speech, clarity and literacy of the presentation in English. Secondly, it is important to have a presentation prepared according to the given (by a teacher) criteria [12]: – the usage of the material (diagrams, tables, schemes, drawings and illustrations), – the presentation design (the design of the presentation corresponds to the stated purpose; the illustrations in the presentation are made in one style; the use of animation). Next, after all the necessary information has been conveyed to cadets, they have time to think it over, to analyze and study various literature sources, and to choose a research report topic within the stated theme of the contest/conference. Exactly at this stage, the role of the instructor/teacher/professor is important and necessary to accompany and supervise the cadet’s individual activity during the entire period of preparation for the report and presentation.
2 Methods and Materials To conduct this study, we analyzed theoretical material on the organization of scientific work of students and the experience of student scientific activities. We have studied the forms of organizing independent work of students of non-language universities. The experience of organizing student scientific conferences in English by the Department of English for Navigation and Communication in Makarov State University of Maritime and Inland Shipping (Saint Petersburg, Russia) has been examined.
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We analyzed cadets’ impressions of participation in scholarly work (based on a survey of cadets participating in student scientific conferences and research reports contests) and highlighted the main points to be made in organizing this type of work.
3 Results and Discussion Analyzing the practices of recent years, we can illustrate students independent scientific activities with the case of a last-year contest of scientific reports among cadets of all specialties of Makarov State University of Maritime and Inland Shipping which was based on the idea of interdisciplinary interaction, i.e. professional English (ESP) and specialized disciplines and specialties of cadets (“Navigation”, “Radio communications and electric radio navigation”, “Information and telecommunication systems on transport and their information protection”, “Security of automated systems on transport (water transport)”, “Logistics” and others). Here it is important to note that the past academic year has given teachers a unique opportunity to apply a variety of learning models in their work, using various platforms to conduct online classes, seminars, videoconferences, consultations, etc. [14, 15]. Some professors consider that case as an unexpected and at the same time invaluable experience that the forced transition to distance learning in the face of the pandemic has given us new opportunities [16]. This statement of our colleagues is fully consistent with the fact that the pandemic and the need to adapt to it lead to a transformation of models, stereotypes, behavioral orientations and attitudes. Thus, on the one hand, the situation of the modern world has set new urgent tasks for all teachers, and, on the other hand, it has opened up new opportunities [17–19]. So the contest, scheduled for November 2020, was decided to be held distantly using Makarov State University of Maritime and Inland Shipping platform “Farvater”. Students and cadets of different courses and different specialties were invited to participate in a scientific report contest with the topic "New technologies in the Maritime industry", where they were supposed to discuss the latest and newest inventions in the maritime industry. Among the topics submitted by cadets for the participation in the contest were the following: “Fire Fighting Robots”, “Artificial intelligence onboard merchant vessels”, “Augmented reality for the maritime sector”, “Smart Ports for Smart Ships”, “Autonomous shipping: advantages and disadvantages of pilotless vessels”, “Drones in maritime industry”, “Robots and new electronic devices in maritime industry”, “Solar powered ship”, “3D technology in modern shipbuilding”, “Hydrogen power plants on ships”, “Marine Scrubber Technology to Make Shipping Greener” and so on. As can be seen from the above topics, the preparation for these research reports implied the correlation of several disciplines at once, the involvement of knowledge from various scientific fields and long-term, but no less fascinating work. As a result, highly cognitive reports in English were presented, accompanied with the most interesting material of presentations. It is important that in the cadets’ research reports presented in a foreign language there is a professional vocabulary, there are nautical terms that appear in a correct scientific interpretation. While preparing an oral report, cadets are advised to adhere to a clear structure of their speech construction and to answer a number of questions such as:
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1) What is the scientific problem of the report and how well is it researched? 2) What is the importance of studying the problem? 3) How do you interpret, sort and analyze the selected facts on the topic? 4) Do you have any relevant examples that illustrate the essence of the report? 5) What are the results? and many other questions that reveal the cadets’ chosen topic [6]. The following criteria were considered in evaluating the cadets’ reports and presentations (Table 1): In addition to the basic 10-point scale criteria for evaluating an oral answer, cadets are given the requirements for preparing answers to questions after an oral presentation which is also evaluated on a 10-point scale (Table 2). The final stage of the conference/contest involves the publication of the Conference Materials that includes the texts of cadets’ reports. Such a completion of a scientific conference/contest gives cadets an opportunity to see the final result of the work they have done. We asked our students to share their impressions of this work, they gave us the feedback after participating in the contest of research reports and the scientific conferences they had taken part. Here are some main points and ideas they shared with us to consider. – Preparation of the scientific report involves a lot of work. It is necessary to determine the interesting and relevant topic, designate the problem, select articles reflecting the problems of the declared topic, analyze and select the necessary material. – When defining the topic, problems of the report one should be well-versed in his professional sphere – The conferences were organized remotely, using modern technology platforms. The process of registration of applications for participation in the conference was not difficult, all the conditions of participation were clear and simple. – When selecting articles in English we had to work through a lot of material, read a lot of articles, analyze a lot of information. When you read in English you have to immobilize all your knowledge and skills to work with professional texts. Here you need not only a knowledge of terminology, but also the ability to work with a text to read effectively - choose the main information, see and understand the structure of the text. – The report in English also implies public speaking skills, knowledge of the rules for preparing an academic presentation, understanding its structure and language. – To participate in conferences you also need to be able to write a scientific text, know the structure, style, understand and follow scientific ethics, not to allow plagiarism in the text. Among the difficulties in preparing for conferences the cadets mentioned: searching for the necessary information, because the technologies which they focused on in their report appeared relatively recently and are currently used only in some of the most advanced companies. What was interesting and challenging at the same time was recording the video of the report for the conference. “We had to re-record the presentation several times because of technical problems and, more of course, our excitement”. The cadets believe that it is necessary to hold conferences more often inside and outside the university, because during participation in them, they try to work better, find
The content, structure, and style of the monologue speech fully correspond to the communicative task of the project presentation. The cadet shows full understanding of the material. Norms of etiquette and speech culture appropriate to the genre are followed. Slides are logical, easy to understand, and competently composed (i.e. fully reflect content and logic, not overloaded with information, no factual errors) No cases of reading material from the written sources
Communicative task Maximum 3 points
The Speech logic Maximum 2 points The cadet uses a variety of speech clichés and lexico-grammatical means in accordance with the communicative task. The norms of pronunciation are observed. Only occasional errors are allowed that do not entail violations of the lexico-grammatical and semantic integrity of the material. The use of terms is correct. No language errors in the slides
Language arrangement Maximum 3 points
Table 1. Report/presentation criteria Speech expression Maximum 2 points
(continued)
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The Speech logic Maximum 2 points
The logical correlation of all parts of the presentation, a clear connection between the oral speech and the presentation slides, the correct usage of logical links, so that the information is easily perceived. A good time measurement for the introduction of each part of the presentation
There are logical errors in the presentation, as well as in the correlation between the text of the oral presentation and the text of the slides, which gives the audience some difficulty in perceiving the information. The timingofthepresentationisnotsufficientlybalanced
Communicative task Maximum 3 points
There are some errors in the content disclosure of the prepared project and its structure. The cadet demonstrates good (enough) knowledge and understanding of the material. There are some minor deviations from the scientific style and norms of etiquette. Slides are logical, correctly composed, there are some shortcomings in text visualization (choice of background colors, fonts, etc.) The cadet should not read the material from the written sources
The speech does not reflect the content that indicates the failure to achieve its main goal and objectives. The cadet demonstrates poor knowledge of the material and has frequent deviations from the style and norms of etiquette. Slides are illogical, overloaded with text or insufficiently informative, not appropriate to the genre There are cases of reading material from the written sources
Lexical and grammatical content does not always correspond to the communicative task, speech cliches are almost completely absent, some errors in pronunciation, the use of lexical units and grammatical structures sometimes complicate the understanding of the speech. There is incorrect use of terms (no more than 3 cases). The slides contain errors (more than 3 spelling errors and more than 2 lexical and grammatical errors)
Lexical and grammatical content corresponds to the communicative task, there are some phonetic and phonological inaccuracies, errors in the use of lexical units and grammatical structures that do not hinder the speech understanding. The use of speech clichés. As a rule, terms are used correctly. There are 1–3 spelling errors and 1–2 lexical and grammatical errors on the slides
Language arrangement Maximum 3 points
Table 1. (continued)
(continued)
Insufficiently fluent and coherent speech, insufficiently emotional and expressive communication. There are some cases of incorrect intonation of sentences and phrases, the arrangement of pauses, the use of semantic and phrase emphasis
Speech is fluent, coherent. The cadet uses (effectively) various means of expression, including pauses, loudness, gestures, visual contact with the audience, etc
Speech expression Maximum 2 points
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The Speech logic Maximum 2 points
The presentation is illogical and incomprehensible to the audience. The oral text of the presentation and the text of the slides are completely duplicated, or have little in common. Time is not allocated to all parts of the presentation
Communicative task Maximum 3 points
The content, structure and style of the monologue speech do not correspond to the communicative task of the project. The cadet demonstrates ignorance and poor understanding of the material. The norms of etiquette and culture are not observed. Slides are illogical and incorrect, or not presented at all. There are cases of reading material from the written sources
Speech expression Maximum 2 points
Numerous lexical, grammatical and Speech is slowed down, pronunciation errors that interfere monotonous and inexpressive. No with comprehension of the speech. contact with the audience Absence or incorrect use of speech clichés. Incorrect use of terms (more than 3 cases). There are a large number of linguistic errors in the slides
Language arrangement Maximum 3 points
Table 1. (continued)
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The cadet fully understands the questions asked, answers them fluently, confidently and comprehensively, and uses an extended response structure to do so
10
The cadet fully understands the questions asked, answers them fluently and confidently, and uses an extended response structure to do so
9
The cadet fully understands the questions, answers them fluently and confidently, but does 8 not always use an extended response structure of the answer The cadet fully understands the questions asked, answers them, but does not always use an 7 extended response structure of the answer The cadet understands the questions asked, answers them, but does not always use an extended response structure of the answer
6
The cadet understands the questions asked, but has some problems in answering them, 5 does not use an extended response structure of the answer, the cadet gives a monosyllable answer, leading questions are required The cadet has problems understanding the questions asked, has some difficulty answering 4 them, the cadet answers in monosyllables, leading questions are required The cadet hardly understands the questions asked and has considerable difficulty answering them
3
The cadet barely understands the questions asked and is hardly able to answer them
2
The cadet does not understand the questions asked and is unable to respond to them
1
The cadet refuses to respond
0
more information and study data more thoroughly. Participation helped them not only in terms of learning English, but also in the direction of their specialty. The knowledge they gained from conferences came in handy in other subjects later on. Thanks to participation in conferences they will be able to develop the topics in their upcoming final research projects.
4 Conclusion and Further Discussion Considering the facts above, we can conclude that the organization of cadets’ independent work in the form of a scientific-practical conference or a research report contest, is quite effective form of organization of independent work especially in the course of English for specific purposes. Its implementation leads to an intensive cadets’ independent educational activity, increasing the level of their intellectual development and possession of communicative and verbal skills. The described form of cadets’ activity makes a great contribution to the process of cadets’ creative work activation in the field of their future profession, promotes further development of general-cultural and general-professional competences, forms a positive dynamic in foreign languages study and motivates them for the further progress in ESP. For the further discussion we can summarize the following issues:
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– What is the role of the EL instructor (teacher/professor) in this type of students’ activity? – How to organize the collaboration with the teachers/professors of special “maritime” disciplines to make the students/cadets work more effective? – How to motivate students/cadets for participating in this kind of work? All these questions are just a part of the issues that are worth considering and being a focus for the further research.
References 1. Kaplina, S.E.: Innovative methods in teaching English to adults. J. Sib. Federal. Univ. Human. Soc. Sci. 8(11), 2437–2447 (2015). https://doi.org/10.17516/1997-1370-2015-8-11-24372447 2. Namitha, C.: Modern methods of teaching. J. Appl. Adv. Res. 3(S1), 39 (2018). https://doi. org/10.21839/jaar.2018.v3iS1.167 3. Ospanova, B.R., Kasenova, N.A., Baideldinova, G.M., Ospanov, G.M., Kabanova, A.B.: Organization of students’ independent work in the language learning process at technical university. Education 39(21), 21 (2018) 4. Kaplan, S., Gould, B.: Independent Study. Educator to Educator, Calabasas (2002) 5. Powers, E.A.: The use of independent study as a viable differentiation technique for gifted learners in the regular classroom. Gift. Child Today 31(3), 57–65 (2008) 6. Stoller, F.L.: Project Work: A Means to Promote Language and Content. Cambridge University Press, Cambridge, 107–120 (2002) 7. Wei, X., Liu, Y.: Ways to improve the students communicative competence. In: Proceedings of the 2nd International Conference on Green Communications and Networks vol. 1, pp. 497–503 (2012) 8. Stern, H.H.: Issues and options in language teaching. Shanghai Foreign Lang. Educ. Press, Shanghai 28(5), 48–52 (2000) 9. Soliman, S., Anchor, J., Taylor, D.: The international strategies of universities: deliberate or emergent? Stud. High. Educ. (2018). https://doi.org/10.1080/03075079.2018.1445985 10. Savinova, Y., Akhmetzyanova, T., Pozdnyakova, S., Dvorak, E., Zarutskaya, Z.: Scientific conferences as way to develop students’ foreign language communicative competence. SHS Web. Conf. 50, 01155 (2018). https://doi.org/10.1051/shsconf/20185001155 11. Barthel, A.: Presenting a Conference Paper (ELSSA Centre, University of Technology Sydney), pp. 10–17 (2010) 12. Djumanova, B., Makhmudov, K.: Roles of teachers in education of the 21st century. Sci. Educ. 1(3), 554–557 (2020) 13. Lightfoot, A.: Public Speaking Skills. Teaching English British Council, India (2010) 14. Eskin, D.L.: About some distance learning tools. Mod. Probl. Sci. Educ. 6, 1–13 (2020). https://doi.org/10.17513/spno.30443 15. Caruth, G.D., Caruth, D.L.: The impact of distance education on higher education: a case study of the United States. Turkish Online J. Dist. Educ. 14(4), 121–131 (2013) 16. Ghazali, F.M.: Online and Distance Learning (ODL) and hybrid learning in COVID-19 era: the effects of pandemic to undergraduate students. Int. J. Learn. Develop. 11(2), 175 (2021). https://doi.org/10.5296/ijld.v11i2.18666 17. Taylor, J.C.: Distance education technologies: The fourth generation. Austr. J. Educ. Technol. 11(2), 1–7 (1995)
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18. Dolence, M.G., Norris, D.M.: Transforming Higher Education: A Vision for Learning in the 21st Century. Society for College and University Planning, p. 100 (1995) 19. Milliron, M.D., Miles, C.L.: Education in a digital democracy: leading the change for learning about, with, and beyond technology. Educ. Rev. 35(6), 50–62 (2000)
Method for Assessing the Sustainability Potential of a Transport Company Ekaterina Tabachnikova(B) Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya str., Saint-Petersburg 198035, Russian Federation [email protected]
Abstract. The purpose of this article is to describe the method proposed by the author for assessing the sustainability potential of a transport company. The interrelation of the categories “sustainability” and “sustainable development” in relation to the company is characterized taking into account the main provisions of the concept of sustainable development. The definition of the company’s sustainability is given, and the positive effects of the formation and development of the company’s sustainability potential are described. A review of the definitions of such a category as “sustainability”, as well as methodological approaches to assessing the company’s sustainability, proposed by Russian and foreign researchers, is carried out. The category “stability potential” of the enterprise is defined and a list of indicators recommended for calculating the stability potential of a motor transport company is given. The method proposed by the author for assessing the company’s sustainability potential is presented. An example of calculating an integral indicator that characterizes the stability potential of a conditional road transport company is given. The calculation of the threshold values of the stability corridor of a company operating in the Russian market of road freight transportation is performed. The main stages of the calculation of the transport company’s stability potential indicator are described, as well as the features of their implementation. Auxiliary tables are provided for translating a number of indicators into a comparable form. A graphical interpretation of the results of using the method for assessing the stability potential on the example of a conditional road transport company is presented. Keywords: Sustainability potential · Assessment methods · Sustainable development · Company sustainability · Industry profile of sustainability
1 Introduction It should be assumed that the assessment of the company’s sustainability without considering the impact of its activities on the environmental and social spheres of the environment is limited and not relevant in modern conditions. For example, some researchers believe that corporate sustainability is based on responsible economic, social and environmental management [1]. In addition, corporate sustainability should provide longterm value for stakeholders [2, 3]. There is also no doubt that sustainability is closely © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1465–1473, 2022. https://doi.org/10.1007/978-3-030-96380-4_162
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related to the competitiveness of a company: “The concept of sustainability mainly refers to the ability of an organization to create and maintain competitiveness” [4]. In [5], sustainability in an organization was considered as an entrepreneur promoting his business and making a profit, without ignoring society and the environment. According to the researchers, sustainable organizations provide solutions to meet the basic needs for improving people’s lives now and in the future with the least possible impact on the environment and the maximum possible economic and social impact. The national specifics of sustainability management with an emphasis on corporate social responsibility are reflected in the studies of Mika Goto, Toshiyuki Sueyoshi [6]. Thus, the sustainability of an enterprise is considered as a state in which the enterprise is able to perform its target functions, providing long-term value for stakeholders, i.e. it has the potential for sustainability. At the same time, indicators of environmental, social and economic sustainability are considered as indicators of the company’s effectiveness [7–10]. Taking into account the continuing expansion of the scope of application of the requirements of the concept of sustainable development (SD) to the results of the activities of enterprises and organizations of various industries, it seems necessary to justify the relationship of such categories as” sustainability “and “sustainable development”. One of the main conditions for the long-term functioning of the company in the market is its development. The implementation of the development strategy formulated taking into account the postulates of the SD concept is usually accompanied by a number of positive effects both for the company and for society as a whole. Three aspects – environmental, social and economic-are the key areas in assessing the effectiveness, performance and sustainability of the company. By implementing the strategy of achieving and maintaining sustainability, the company receives such positive effects as reducing costs (including by reducing the negative impact on the environment), minimizing a number of risks, increasing labor productivity, increasing the investment attractiveness and capitalization of the company, increasing the information transparency of the business, etc. The introduction of the provisions of the concept of sustainable development in the organization of the company’s activities leads to an increase in opportunities for sustainable business. In addition, the company’s management of sustainability risks is considered as “a way of maneuvering in a reasonable zone between excessive passivity and excessive proactivity in relation to sustainable innovations” [11]. Achieving and maintaining a state of stability involves the formation of an appropriate management system, including such an obligatory element as a mechanism for assessing the stability of the management object.
2 Materials and Methods The issue of assessing the company’s sustainability is considered by both foreign and Russian researchers. In some cases, researchers refer to the GRI 4 Sustainability Reporting Guidelines [12]. Archa Zenya and Eystein Nystad in their work [13] suggest using such a tool as E-SET, developed using indicators from the main reporting structures in the field of sustainable development and the programming language R to assess corporate sustainability. Despite the ease of use and accessibility, in our opinion, this tool,
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although, is quite universal, at the same time does not reflect the industry specifics of the company under study. The authors of the study [14] developed a SEER3 model that balances the complementary and competing interests of key segments of stakeholders, including society and the environment, and thus ensures the sustainability of the company. Cory Searcy [15] offers a conceptual model of ESPMS, which includes 7 key requirements and 35 sub-requirements for measuring the sustainability of an enterprise. The author emphasizes the idea that the measurement of sustainability indicators requires a systematic, structured and integrated approach that takes into account all aspects of the sustainability of the enterprise. The paper [3] emphasizes the idea that the assessment of sustainability is associated with the development of strategies and information systems that support the development of the organization. Considering the industry specifics of assessing the stability of an oil and gas company by building an institutional profile of the company is described by Tahrir Jaber, Elin M. Ofteda in the article [16]. The authors of the work [17] propose to consider innovations in business models (IMT) and organizational ambidextrity as mechanisms for achieving sustainability by companies, including those related to the sphere of small and medium-sized businesses. The practice of implementing a special environmental and sustainable development management system by the company, such as the Balanced Sustainability Indicator System (SBSC), which combines sustainability and the traditional balanced key figure system (BSC), is recognized [18]. The ability to innovative adaption is considered as the main characteristic of sustainable companies in the article by Margarida Cardoso, Isabel Ramos [19]. The structure of corporate sustainability indicators on the example of Indian companies is given by the authors Milind Kumar Jha, K. Rangarajan [20]. Thus, the sustainability of an economic entity is an integral indicator, which includes indicators that characterize the company’s activities from the standpoint of economic, environmental and social results and consequences, considering industry and national peculiarities of doing business. However, the number of studies reflecting the industry specifics of the sustainability of transport companies is not sufficient. Taking into account the above definition of sustainability, it should be noted that the great importance is not a static assessment of the state at a specific time, but an assessment that reflects the dynamics of the selected indicators and characterizes the potential capabilities of the economic entity under study. Therefore, such a category as the company’s sustainability potential was considered as an object of evaluation. As an economic category, the potential of the system is a set of sources, abilities, opportunities, funds, unrealized reserves that can be activated and used to achieve the goals of the system. Taking into account the above, an integral characteristic was considered under the company’s sustainability potential, reflecting the company’s ability to function in accordance with the target settings of stakeholders and society in relation to the enterprises of the industry under consideration. In the case when it comes to the sustainability of a transport company, it is proposed to distinguish such elements of potential as social, economic, functional and market (Fig. 1). It should be noted that all elements of the sustainability potential are closely interrelated. For example, functional potential was considered as an integral quantity, including environmental and production elements, which, in turn, affect the market positions of
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the company under study. The market potential, the level of which depends not only on the state of internal, but also on external factors of the enterprise, largely determines revenue and profit, which, in turn, determines the state and dynamics of the economic potential, as well as the financial capabilities of the company to develop the social and functional elements of the enterprise’s sustainability potential. It should be noted here that under social investments were considered investments in social facilities for the purpose of generating income, as well as improving the level and quality of life of people. As an indicator for such an indicator as “The structure of the rolling stock fleet by ecological class”, it is proposed to use the share of cars with an engine corresponding to the environmental standard in force in the country (or in the case of international road transport – in foreign countries). The composition of indicators for each block of potential is recommended to be adjusted taking into account the operating conditions of the enterprise under study. For example, in the conditions of the “buyer’s market” (supply exceeds demand), the evaluation of such indicators as the ratio of the number of regular and occasional customers, the coefficient of output per line becomes particularly important. After determining the composition of the indicators, the next stage of the sustainability assessment method is to build an industry profile of the stability of a transport company based on open data of enterprises-leaders of the industry market, taking into account expert adjustments. Building an industry profile allows you to form a corridor of threshold values of indicators that characterize the sustainability potential of the company under study. To assess the company’s sustainability potential, it is proposed to use the following formula: 5 t Snm · Inm (1) Ps = n=1
m=1
where Ps is an indicator of assessing the company’s sustainability potential; Snm is the value of the index indicator used to evaluate the m-th element of the stability potential; Inm – the value of the index of the value indicator for the analyzed period, used to assess the m-th element of the stability potential; n is the number of indicator elements used to assess the nth element of the sustainability potential of the company. S nm values for each of the considered parameters are determined according to the formula (2) using the scale given in Table 1. So, if the actual value of the indicator is within the “corridor of stability”, the S nm (S kor ) gets the value 1, otherwise S nm (S kor ) is equal to “−1”. Snm = S kor · k
(2)
where Skor - adjusted value of the indicator; k is the value of the conversion factor. It should be noted that some of the indices used to assess the sustainability potential (the index of the number of violations related to non-compliance with legislation in the
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Fig. 1. The structure of the sustainability potential of a transport company
field of environmental protection, the index of the number of accidents at work, the index of the number of accidents) to obtain a positive assessment of the potential should have values less than one or equal to zero. In order to translate indices for such indicators into points in order to obtain an integral assessment of the company’s sustainability potential, it is proposed to use the scale presented in Table 2. According to some of the considered indicators characterizing the sustainability potential of a transport company, a situation of division by zero may arise by determining the index. In the context of the issue under consideration, a zero value in the base period may be accompanied by the following dynamics: immutability of the situation (in this case, the index is equated to “2”), deterioration of the situation (the index is equated to “ − 2”).
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Table 1. Scale for bringing the values of indicators of the company’s sustainability potential 1. Comparison of the absolute value of the indicator with the threshold 1.1 The value of the indicator is within the “stability corridor” S=1
1.2. The value of the indicator is outside the “stability corridor” S = −1
2. Assessment of the dynamics of the indicator 2.1 Dynamics of the indicator 2.1.1 positive k=2
2.2.2 zero k=1
2.2 Dynamics of the indicator 2.2.3 negative k=0
2.2.1 positive k=0
2.2.2 zero k=1
2.2.3 negative k=2
Table 2. Auxiliary scale for converting index values for a number of indicators into points Index value corresponding to the stability condition
Calculated index value
Score
I nm =1
−2
=0.9
5. The ratio of the energy intensity of transport services
0.6/1.01
>=0.8
6. Number of violations of environmental legislation
5/0.7
0
7. Share of cars with Euro engine
0.75/1.05
>=0.75
8. The share of production waste disposed of by recycling
0.4/1
[40–90]
9. The number of customer complaints
7/0.6
[0–1]
10. Market share
0.04/1.1
>=0.05
11. The ratio of the number of regular and one-time customers
0.4/1.02
[0.3–1]
12. Output coefficient per line
0.8/1.00
[0.8–1]
13. The ratio of the number of hours of training (per employee)
0.8/1.03
>=0.8
14. The number of accidents
2/0.7
0
15. The number of accidents at work
0/–
0
16. The ratio of social investment and revenue for the period
0.01/1.01
>=0.03
17. The level of staff satisfaction with working conditions
0.8/1.01
[0.8–1]
18. The ratio of labor productivity and wage growth rates
1.0/1.0
>=1
19. Profitability of services
0.15/1.02
>=0.15
20. The ratio of the volume of real investments and revenue for the period
0.02/1
>=0.01
Integral assessment of the sustainability potential
17
[20–40]
* The indicator is defined as the ratio of the transportation capacity of the company under study
and the average value for the industry market. **The indicator will be defined as the ratio of the energy intensity of transportation of the market leader company and the company under study.
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E. Tabachnikova Lower level of stability
Upper level of stability
Actual value
Fig. 2. Graphical interpretation of the results of the assessment of the sustainability potential on the example of a conditional trucking company
4 Conclusions The proposed method for assessing the sustainability potential can be recommended for use within the enterprise management system. In addition to providing the possibility of obtaining information by internal users (management, owners, staff of the company), this method becomes particularly relevant in the light of the spread and strengthening of requirements for public non-financial reporting of economic entities in the field of sustainable development. The method integrated into the sustainability monitoring system may also be of interest from the point of view of evaluating the effectiveness of the activities of regional and sectoral authorities. The analysis of the results of the assessment of the sustainability potential of the transport company, carried out over a number of years, allows us to identify areas characterized by high and poorly predictable dynamics of factors, as well as those parameters for which the positions of the company under study are significantly weaker compared to competitors. The obtained data as a result of the assessment are of interest for building (adjusting) the company’s risk profile. Thus, the application of the method provides information support for the company’s management system in terms of the development and justification of management decisions aimed at ensuring a stable position in the industry market.
References 1. Dulzon, A.A.: Sustainable development and resource efficiency: problems, contradictions. Philos. Thought 3, 131–148 (2017). https://doi.org/10.7256/2409-8728.2017.3.22139 2. Bistrova, J., Lace, N., Kasperovica, L.: Enterprise crisis-resilience and competitiveness. Sustainability 13(4), 2057 (2021). https://doi.org/10.3390/su13042057 3. Patalas-Maliszewska, J., Łosyk, H.: An Approach to assessing sustainability in the development of a manufacturing. Sustainability 12(21), 8787 (2020). https://doi.org/10.3390/su1221 8787 4. Citing ‘Book review: Training in Environmental Management – Industry and Sustainability (1996) Part 1. Corporate Environmental and Resource Management and Educational Requirements by John P. Ulhui, H. Madsen and P.M. Rikhardsson. Office for Official Publications of the European Communities, xxxiv+148 pp, ECU 26.50 (pbk). ISBN 92 827 6927 5 5. Edgeman, R., Williams, J.A.: Enterprise self-assessment analytics for sustainability, resilience and robustness. TQM J. 26(4), 368–381 (2014). https://doi.org/10.1108/TQM-01-2014-0012
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6. Goto, M., Sueyoshi, T.: Sustainable development and corporate social responsibility in Japanese manufacturing companies. Sustain. Dev. 4, 844–856 (2020). https://doi.org/10.1002/ sd.2035 7. Schneider, Ch.: Corporate sustainability: necessary aspects for the site selection process for an industrial company. J. Manag. Sust. Arch. 5(1) (2015). https://doi.org/10.5539/jms.v5n 1p186 8. Millon, D.: Corporate social responsibility and environmental sustainability. In: Sjåfjell, B., Richardson, B. (eds.) Company Law and Sustainability: Legal Barriers and Opportunities, pp. 35–78. Cambridge University Press, Cambridge (2015). https://doi.org/10.1017/CBO978 1107337978.004 9. Braithwaite, P.: No access. Improving company performance through sustainability assessment. Eng. Sust. 2, 95–103 (2007). https://doi.org/10.1680/ensu.2007.160.2.95 10. Trollman, H., Colwill, J.: The imperative of embedding sustainability in business: a model for transformational sustainable development. Sust. Dev. 1–13 (2021). https://doi.org/10.1002/ sd.2188 11. Schulte, J., Hallstedt, S.I.: Company risk management in light of the sustainability transition. Sustainability 10(11), 4137 (2018). https://doi.org/10.3390/su10114137 12. Official website of the Russian Union of Industrialists and Entrepreneurs. [Electronic resource]. https://rspp.ru/document. Reference Date 04 May 2021 13. Arch, Z., Oystein, N.: Assessing corporate sustainability using the enterprise sustainability assessment tool (E-SET). Sustainability 10(12), 4661 (2018). https://doi.org/10.3390/su1012 4661 14. Sanchis, R., Poler, R.: Enterprise resilience assessment—A quantitative approach. Sustainability 11(16), 4327 (2019). https://doi.org/10.3390/su11164327 15. Searcy, C.: Measuring enterprise sustainability. Bus. Strat. Environ. 25(2), 120–133 (2016). https://doi.org/10.1002/bse.1861 16. Jaber, T., Ofteda, E.M.: lLegitimacy for sustainability: a case of a strategy change for an oil and gas company. Sustainability 12(2), 525 (2020). https://doi.org/10.3390/su12020525 17. Minatogawa, V., et al.: Carving out new business models in a small company through contextual ambidexterity: the case of a sustainable company. Sustainability 12(6), 2337 (2020). https://doi.org/10.3390/su12062337 18. Hristov, I., et al.: Sustainability value creation, survival, and growth of the company: a critical perspective in the Sustainability Balanced Scorecard (SBSC). Sustainability 11(7), 2119 (2019). https://doi.org/10.3390/su11072119 19. Cardoso, M., Ramos, I.: The resilience of a small company and the grounds of capitalism: thriving on non-knowledgeable ground. Sustainability 8(1), 74 (2016). https://doi.org/10. 3390/su8010074 20. Kumar Jha, M., Rangarajan, K.: The approach of Indian corporates towards sustainable development: an exploration using sustainable development goals based model. Sust. Dev. 5, 1019–1032 (2020)
Overview of Test Water Areas for Testing Unmanned and Autonomous Vessels Artem Butsanets(B)
, Vladimir Karetnikov , and Evgeniy Ol’Khovik
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya str., Saint-Petersburg 198035, Russian Federation [email protected]
Abstract. Determining the running characteristics of a vessel is one of the important tasks in the construction of vessels. Constructed surface vessels or their models are usually tested in terms of the hydrodynamic characteristics of new forms of hull contours and the operation of propellers. However, unmanned and autonomous vessels are being built all over the World, and it is extremely important to prove their safety for yourself and others in terms of their interaction with other traffic participants. In addition, it is necessary to deploy a coastal control post for those vessels where the crew of the vessel is not provided at all. In this case, the infrastructure necessary for the organization of tests should be present on the shore. For the scientific community, the task of conducting full-scale tests of unmanned and autonomous vessels is of interest, the authors in this paper have set themselves the task of generalizing about unmanned vessels and test waters on which they were tested. Keywords: Test water area · Unmanned vessels · Autonomous vessels · Vessel running characteristics · Maneuvering tests · Full-scale tests · Hydrodynamic characteristics
1 Introduction The modern technical level of mechanisms, devices and software allows to create unmanned and autonomous vessels. Prototypes of such vessels are already in operation, but there is a possibility that this may negatively affect the safety of navigation, so it is extremely important to prove their safety for yourself and others. Already now they can perform environmental monitoring, geophysical surveys, bottom depth measurements, transport cargo and perform other tasks. However, an autonomous vessel must operate with a given level of navigation safety. To do this, it is necessary to conduct a number of tests to determine the level of safety for other water transport facilities. In the usual case, the tests are led by the captain, controlling the engine, propeller and rudder. In this context, the movement of autonomous unmanned or autonomous vessels differs significantly from the traditional control of the vessel by the crew and is performed using hardware and software technical means, the algorithms of which are very complex and may include various methods of adaptive optimization, neural © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1474–1482, 2022. https://doi.org/10.1007/978-3-030-96380-4_163
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network technologies, and other management methods. When conducting full-scale tests of unmanned or autonomous vessels, specialized water areas with high-tech equipment are required to ensure the specified accuracy when recording motion parameters, as well as interaction with other traffic participants. The data on such test areas are very scattered, but the issues of testing are of interest to the scientific community, the authors in this paper have set themselves the task of systematizing the information found about unmanned vessels and test areas.
2 Methods and Materials Various technical innovations are considered in work [1–3] that contribute to the wider development of unmanned navigation facilities, several levels of autonomy are proposed, each of which provides the necessary level of information support, for the 3rd level of autonomy (according to IMO criteria), a gradual replacement of beacons and buoys with “intelligent” ones with navigation support according to the S-100 standard is proposed, which can improve data transmission and communication means between vessels and coastal control centers (VSAT distribution), as well as standardization of in-vessel communication (NMEA, Modbus, ISO DIS19848, etc.). In the research cycle [4–6], the solution of the problem of placement and technical equipment of the test water area for autonomous vessels is considered while minimizing risks, including preventing collisions and causing damage to the environment. What can be provided by the combination of three maneuvering zones for an unmanned vessel: a safe zone of free maneuvering during tests, a turn zone-with limited maneuverability on courses and speeds, as well as when the rudder is shifted, as well as an ultra-safe maneuvering zone used to prevent navigation accidents in difficult navigation conditions. The authors consider in the work [7] the procedure for testing autonomous and unmanned vessels with a binding with integrated security, for testing which it is proposed to use at the first stage testing of high-level computer control systems of the vessel on simulators, and already at subsequent stages directly during tests in real conditions. The basic technological solutions that ensure the testing of unmanned or autonomous surface vessels in the conditions of the test water area (polygon) can be borrowed from the existing experience of other types of transport - road and air. Based on the analysis of the following works and studies - [8–12], we will highlight the main technological and technical solutions; • use of computer simulators; • the use of dedicated safety zones for testing-polygons, water areas protected by technical means; • using additional technical means installed on the test object for its monitoring; • use of external independent technical means to monitor the behavior of the test object; • combined methods, including the technologies and methods described above. The authors present in the work [13] the results of engineering surveys of the yacht port of the National Sailing Center of the Academy of Physical Education in Gdansk, performed using an unmanned hydrographic catamaran in two modes, with manual and automatic
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control, in addition, a model of the surface situation was created using the methods of geodetic three-dimensional scanning. The whole complex of works has shown that the development of detailed three-dimensional maps requires significant geodetic support, including for unmanned measuring devices. The obtained topographic and hydrographic plans with an accuracy of 10 sq. m. can be obtained manually, and with an accuracy of 2 sq. m. only with the preliminary design of measurements and their detailed planning. The authors in the work [14] considering the modern technical level of autonomous vessels and the trends of its development, came to conclusions about the sharp development of a number of technologies that allow for autonomous navigation of a vessel practically without restrictions on the complexity of control, but at the same time, such a task as testing individual components of technical means of unmanned navigation still remains at the same level. Instrumental studies of the quality and parameters of 4G LTE and Pre-5G LTE communications in the Oslo Fjord were carried out in the work [15], including radio coverage of base stations, route design, equipment placement using 5G solutions and scenarios for maritime transport. It was found that the “misses” of communication packets begin at a signal level of –80 db and worse, but at the same time, data transmission did not stop at a level of –100 db at distances up to 27 km, which shows the potential of a large coverage area at a frequency of 3.7 GHz. The authors in the work [16] consider the disadvantages of existing technical meansradar, AIS-transponders as means of tracking and monitoring the movement of unmanned vessels, while the main disadvantage of such equipment is the lack of feedback. Within the framework of the Autosea project, a new approach is being developed, which consists in the use of integrated systems that include feedback with an autonomous vessel, including tracking of movement parameters and external conditions. The paper [17] provides an overview of the tests of a new design of a SEAL-KIT autonomous vessel [18, 19]. The initial tests were carried out in the waters of the UK back in 2017, while the vessel was registered with a crew, since at the moment there were no rules for classifying unmanned vessels, a minimum crew was present on the ship to ensure safety. Later, the autonomous vessel was tested in the waters of the Oslo Fjord in Norway, in a protected test area near the Kongsberg marine facility in Horten and in the Ionian Sea during field tests in Greece. The final tests lasted 32 h of continuous operation. The next stage was the testing of unmanned technologies in real sea conditions in the presence of other vessels. Such a test was conducted in May 2019 in the English Channel, the world’s busiest shipping route (about 400 ships every day). NYK conducted the world’s first test of offshore autonomous surface ships (MASS), performed in accordance with the IMO Interim Recommendations for Testing MASS. Iris Leader, a large PCTC operated by NYK, with a gross capacity of 70 826 tons, during the period September 14 to 17 from Xinshi, China, was carried out day and night using the Sherpa System for Real ship (SSR) navigation system to the port of Nagoya, Japan, and then from the port of Nagoya to the port of Yokohama, Japan, from September 19 to 20 (Fig. 1). The crew performed standard duties during navigation, which included the coastal zone of Japan, but excluding bays.
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Fig. 1. Vessel test route IRIS LEADER (IMO: 9748019) (figure was saved from https://www. nyk.com/)
The tests tracked the characteristics of the SSR in real sea conditions, as it collected information about the environmental conditions around the vessel from existing navigation devices, calculated the risk of a collision, automatically determined the optimal routes and speeds that were safe and economical, and then automatically controlled the ship. Using the data and experience gained during this test, but not available on ground simulators, NYK was able to ensure the feasibility of SSR and its advantages for safe and optimal operations. This test was a big step towards realizing NYK’s goal of creating autonomous vessels with a pilot. The domestic experience of “Starlite Systems” LLC (Fig. 2) is known for the development and creation of a concept model and layout of an unmanned floating complex in 2016 with the grant support of the Federal State Budgetary Institution “Fund for Assistance to the Development of Small Forms of Enterprises in the Scientific and Technical Sphere” (Fund for Assistance to Innovations).
Fig. 2. Unmanned floating complex of “Starlite Systems” LLC during sea trials in the quarry of the village of Pesochny, St. Petersburg
During the sea trials, the operation of the traffic support system was checked. When both propellers were operating at 30% power, the speed of the Complex, determined by GNSS signals, was approximately 2 m/s. The maximum speed was not checked due to the lack of a sufficient ice-free water surface. Checking the power reserve (taking
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into account the operation of the propellers at 30% power) confirmed the ability of the prototype to perform movements and maneuvers for 5 h. The assessment of the maneuverability qualities of the Complex was carried out in the manual control mode. As a result, the hypothesis was confirmed about the ability of the Complex to unfold along the length of the hull when the screws are working discordantly. Checking the operation of the ACS during sea trials included a simulation of an emergency shutdown of the equipment. So both engines were turned off and turned on remotely, the on-board computer was restarted. When the wireless communication line was disconnected, the ACS continued to function and executed the last command received, in particular, “forward at low speed”. After the wireless connection was restored, a connection was automatically created and a new command was sent. Thus, the performance of the ACS was checked in the event of large delays or loss of the signal and the termination of the wireless connection. The recovery time for each of the systems was less than 1 min. To check the operation of the ACS the process of setting and maintaining the set speed and the process of taking and holding the autonomous complex course were checked. With the support of the “Fund for Assistance to the Development of Small Forms of Enterprises in the Scientific and Technical Sphere”, since 2018, “NPK” Promelectronic” JSC together with Admiral Makarov State University of Maritime and Inland Shipping have been carrying out research and development work “Development of an unmanned platform for performing hydrographic work and monitoring of water facilities”. In 2019– 2020, the tests of the prototype of the boat were carried out in the experimental pool of the laboratory of “Seaworthiness of vessels” and on open water at the university campus in the city of Strelna. These data were used in the construction of an unmanned boat, shown in Fig. 3.
Fig. 3. Testing of the autonomous boat “BP-Morphometer” for performing hydrographic work and monitoring of water facilities at the polygon Admiral Makarov State University of Maritime and Inland Shipping in Strelna.
It is known about the tests of an ultra-small remote-controlled vessel (UsRV) developed in the Special Design Bureau of Marine Research Automation Tools of the Far Eastern Branch of the Russian Academy of Sciences (SDB FEB RAS – http://skbsam i.ru/). UsRV has the following dimensions: 3750 × 490 × 420 mm, total weight - 223 kg. Such characteristics coincide with the majority of modern small boats and catamarans operating in unmanned mode. The UsRV test method consisted in recording data on the
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roll and trim of the hull under the condition of uniform rectilinear movement along the polygon. The authors used an interesting solution for creating wave loads on the UsRV – the simulation of waves was carried out by a support boat that performed movements on a perpendicular course. Two official test water areas have been created on the territory of the Russian Federation under the general name “UAV”. They are the only official area on inland waterways in the Russian Federation for testing unmanned vehicles and vessels. The test water area includes two test areas: in the eastern part of Lake Ladoga and on 1371 km of the Volga-Baltic Route on the Neva River in St. Petersburg. In the autumn of 2018, the military autonomous vessel (MUSV) “Sea Hunter” (https://news.usni.org/ singly sailed from San Diego to Pearl Harbor (Hawaii) without any interference in the management. During the voyage, the vessel was accompanied by another vessel with a crew who boarded the Sea Hunter three times to eliminate mechanical problems. In one case, one of the two engines stopped and there were two problems with one of the two generators. The Royal Navy of Great Britain has taken the path of upgrading existing vessels to use them in autonomous mode without a crew, in June 2020, the “Pacific 24” vessel was tested in partnership with BAE Systems (https://www.baesystems.com/en/product/ pacific-24). The South Korean Navy also conducted the first tests of the “LIG Nex 1” autonomous vessel in the summer of 2017, this is an 8-m 3-ton ship with a maximum speed of 30 knots, its weapons systems include a chain cannon, a water cannon and guided weapons. Its functions, including surveillance, reconnaissance, vessel pursuit and obstacle avoidance, were demonstrated at the Naval Operations Command in Busan [20]. A number of other vessels have been undergoing autonomous sea trials in the North Sea, so in March 2019, SeaZip 3, a supplier of Damen 2610 high-speed crews equipped with collision avoidance technology, took part in tests about five nautical miles off the coast of Den Helder, the Netherlands. The tests were part of the Dutch joint industrial project “Autonomous Shipping 6”, a two-year research project began in 2017. Despite the fact that SeaZip 3 performed evasive maneuvers safely, it was concluded that further development of autonomous systems was necessary to cope with complex maritime transport situations usually experienced by conventional maritime transportations. In December 2018, Rolls-Royce and the Finnish State-owned ferry operator Finferries successfully demonstrated the World’s first fully autonomous ferry [21] in the archipelago south of Turku, Finland. The Falco car ferry used a combination of RollsRoyce Ship Intelligence technologies to move autonomously during the voyage between Parainen and Nauvo. The UK Marine Test polygon is a combined platform (https://www.smartsoundplymo uth.co.uk/) for the design, testing and development of advanced products and services for the marine sector, which is used to create and support advanced next-generation marine technologies. The area of the polygon is 1000 sq. m. It is located in the vicinity of the city of Plymouth, and has both a coastal area and a significant distance from the coast, which allows to naturally create various external weather and hydrological conditions, the bottom relief is also diverse, and has a maximum value of up to 75 m.
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The authors in the work [22] proposed a new platform for controlling the movement of unmanned or autonomous surface vessels. An adaptive motion model was chosen as the main principle of the platform. It can be considered the most successful experience of using special floating means of navigation fencing (MNF), their use in competitions of surface unmanned vehiclesMaritime RobotX Challenge, which have been held annually since 2014 among university and professional teams (the official website of the event – https://robotx.org/), where one of the traditional tasks is to search for and observe special buoys, detect obstacles and automatically evade them when driving along a curved route. The paper [23] provides information from the participants of the competition on the integration of technical means and software algorithms of unmanned catamarans. During the competition, the vessel had to pass along a linear course limited by two sets of buoys for gates with different colors at the starting and ending points (red on the left and green on the right). The teams did not have access to the coordinates of the location of the control buoys using GPS. Therefore, the catamaran had to detect buoys using on-board sensors and move autonomously along the course. Examining the test results from 2014 to 2020, it can be revealed that the number of teams that experienced difficulties when orienting an unmanned catamaran according to special MNF decreased several times. Navigation devices of special MNF can be additionally equipped with the following options: – – – –
navigation beacon-responder; radar responder; LED matrix with variable frequency of operation and different colors; intelligent devices that form a single eco-environment for testing (“SandBox”), and are equipped with means of operational direct and feedback communication.
3 Results and Discussion The review revealed that unmanned and fully autonomous vessels have been actively developing in the last 10 years. At least 5 test sites have been created where it is possible to safely test unmanned vehicles on the water. The main equipment of the test waters is broadband communication systems, monitoring and telemetry of vessel traffic data, additional equipment is monitoring devices for hydrological and meteorological conditions in the navigation area. Some of the water areas have detailed digital maps, for which the bottom relief was photographed. Based on the analysis of publications, patent databases, the experience of using technical means in test waters for conducting full-scale tests of unmanned and autonomous vessels was studied. The use of special technical means during field tests increases the quality of information support, as well as the efficiency and quality of the work performed. A promising direction is the fencing of test waters with special floating buoys equipped with monitoring and measuring equipment, systems for high-precision positioning, then there is a new opportunity to more accurately determine and fix all external factors that affect the testing process of an unmanned and fully autonomous vessel.
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4 Conclusions IMO Provisional Rules testing of unmanned and autonomous surface vessels quite broadly form the requirements for equipment and safety measures that must be taken to prevent accidents or environmental accidents. The approaches and test methods proposed earlier by us [6, 14, 24, 25] fully provide information security with all data, both internal (telemetry) and external (weather and water effects) for conducting objective tests of autonomous vessels, however, it is necessary to create a local ecosystem of tests – a test water area that solves its own individual safety tasks, including in terms of stopping tests, changing them or, for example, mooring [26] an unmanned vessel. This approach is comprehensive and allows to use all the technical means, both directly on the vessel itself and on the shore, and additionally in the infrastructure elements of the test water area at its location.
References 1. Zalewski, P.: Integrity concept for maritime autonomous surface ships’ position sensors. Sensors 20(7), 2075 (2020) 2. Lahtinen, J., et al.: The risks of remote pilotage in an intelligent fairway–preliminary considerations. In: Proceedings of the International Seminar on Safety and Security of Autonomous Vessels (ISSAV) and European STAMP Workshop and Conference, ESWC 2019, pp. 48–57. Sciendo (2020) 3. Kwon, Y., et al.: Korean technical innovation: toward autonomous ship and smart shipbuilding to ensure safety. In: Proceedings of the International Seminar on Safety and Security of Autonomous Vessels (ISSAV) and European STAMP Workshop and Conference, ESWC 2019, pp. 83–94. Sciendo (2020) 4. Karetnikov, V., Chistyakov, G., Ol’khovik, E.: Tasks of developing the aquatory for testing autonomus ships in inland waterways. E3S Web Conf. 157, 02010 (2020) 5. Karetnikov, V.V., Chistyakov, G.B., Bekryashev, V.A.: Creation of a water area for testing unmanned vessels on the inland waterways of the Russian Federation. Marine Radio Electron. 4, 46–49 (2019) 6. Karetnikov, V., Ol’Khovik, E., Butsanets, A., Ivanova, A.: Simulation of maneuvering trials of an unmanned or autonomous surface ship on a navigation simulator. In: Proceedings of the XIII International Scientific Conference on Architecture and Construction, pp. 146–156 (2020). https://doi.org/10.1007/978-981-33-6208-6_15 7. Rokseth, B., Haugen, O.I., Utne, I.B.: Safety verification for autonomous ships. MATEC Web Conf. 273, 02002 (2019) 8. Ilyin, E.M., et al.: Small-sized multifunctional on-board radar for short-range unmanned aerial vehicles. Bull. Siberian State Univ. Telecommun. Inform. 4, 104–109 (2017) 9. Kotlyarenko, V.I.: On the issue of testing highly automated and unmanned vehicles. Works NAMI 1, 94–102 (2020) 10. Ivanova, N.S., Davydov, I.S.: Development of National Technology Initiative: the project “virtual aerodynamic testing polygon for unmanned aerial vehicles. Innovations 5(235) (2018) 11. Zhurbich, N.I.: Designing a virtual polygon for an unmanned vehicle. In: Youth and Modern Information Technologies: Proceedings of the XVI International Scientific and Practical Conference of Students, Postgraduates and Young Scientists, 3–7 December 2018, Tomsk, pp. 427–428 (2018)
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12. Prikhodko, V.M., et al.: Methods of testing automated car control systems. Bull. Moscow Automob. Road State Tech. Univ. (MADI) 4, 10–15 (2017) ˙ 13. Mapy portu jachtowego Narodowego Centrum Zeglarstwa Akademii Wychowania Fizycznego i Sportu w Gda´nsku. Technical Report (2020). https://doi.org/10.13140/RG.2.2.36384. 00002 14. Karetnikov, V., Ol’khovik, E., Ivanova, A., Butsatets, A.: Technology level and development trends of autonomous shipping means. In: Energy Management of Municipal Transportation Facilities and Transport, pp. 421–432 (2019) 15. Yang, K., et al.: LTE massive MIMO (Pre-5G) test for land-to-boat scenarios in Oslo fjord. J. Phys.: Conf. Ser. 1357(1), 012004 (2019) 16. Brekke, E.F., et al.: The Autosea project: developing closed-loop target tracking and collision avoidance systems. J. Phys.: Conf. Ser. 1357(1), 012020 (2019) 17. Felski, A., Zwolak, K.: The ocean-going autonomous ship—Challenges and threats. J. Marine Sci. Eng. 8(1), 41 (2020) 18. Proctor, A.A., et al.: Unlocking the power of combined autonomous operations with underwater and surface vehicles: success with a deep-water survey AUV and USV mothership. In: 2018 OCEANS-MTS/IEEE Kobe Techno-Oceans (OTO), pp. 1–8 (2018) 19. Zwolak, K., et al.: An unmanned seafloor mapping system: the concept of an AUV integrated with the newly designed USV SEA-KIT. In: OCEANS 2017-Aberdeen, pp. 1–6. IEEE (2017) 20. Klinger, W.B., et al.: Control of an unmanned surface vehicle with uncertain displacement and drag. IEEE J. Oceanic Eng. 42(2), 458–476 (2016) 21. Zheng, J., Meng, F., Li, Y.: Design and experimental testing of a free-running ship motion control platform. IEEE Access 6, 4690–4696 (2017) 22. Park, J., et al.: Development of an unmanned surface vehicle system for the 2014 Maritime RobotX Challenge. J. Field Robot. 34(4), 644–665 (2017) 23. Jung, W., Woo, J., Kim, N.: Recognition of the light buoy for scan the code mission in 2016 Maritime RobotX challenge. In: 2017 IEEE Underwater Technology (UT), pp. 1–5. IEEE (2017) 24. Karetnikov, V., Milyakov, D., Prokhorenkov, A., Ol’khovik, E.: Prospects of application of mass-produced GNSS modules for solving high-precision navigation tasks. E3S Web Conf. 244, 08006 (2021). https://doi.org/10.1051/e3sconf/202124408006 25. Karetnikov, V., Ol’khovik, E., Butsanets, A., Ivanova, A.: Development of methods for maneuvering trials of autonomous ships in test water area. In: Proceedings of the XIII International Scientific Conference on Architecture and Construction, pp. 40–46 (2020). https://doi.org/ 10.1007/978-981-33-6208-6_5 26. Butsanets, A., Ol’khovik, E.: Development of technical means for mooring the unmanned vessels. In: 2019 International Multi-Conference on Industrial Engineering and Modern Technologies (FarEastCon), pp. 1–3 (2019)
Theoretical and Methodological Foundations for the Formation of a Single Integrated Technological Process of a Seaport in Order to Improve the Quality of Port Services Elena Koroleva(B)
and Marina Korobkova
Admiral Makarov State University of Maritime and Inland Shipping, 5/7 Dvinskaya Str., St. Petersburg 198035, Russian Federation
Abstract. The paper discusses the issues of the technology of seaports from the standpoint of improving the quality of port services and the formation of a high level of port service based on improving the technological processes of cargo handling in seaports on the principles of integration and systemic interaction of participants in the transport and logistic process. For the first time, the concept of “single integrated technological process” (hereinafter - SITP) was proposed in relation to the technology of the seaport operation. The purpose and tasks of the formation of the SITP of the seaport have been determined, the principles of the formation of the SITP have been developed, taking into account the specifics of their implementation in the conditions of the functioning of the seaport. An algorithm of actions for the formation of the SITP of the seaport is presented. Keywords: Seaport · Quality of port services · A single integrated technological process · Port service
1 Introduction Given that the majority of foreign trade cargo is transported by sea and almost two-thirds of cargo is handled in ports of developing countries, it is extremely important to take into account the strategic importance of seaports for economic growth and the development of world trade. Vehicles and cargo are processed at various stages of port operations in seaport, which together form the technological process of the port operation. That is why improving the efficiency of the port at various stages of handling vehicles and cargo is crucial for improving the quality of port services and ensuring that the benefits obtained in one segment of the seaport technological process are not negated by the inefficiency existing in other parts of this process. In modern economic conditions, one of the key parameters determining the level of quality of port service is the speed of processing ships and cargo in the seaport, which is characterized by the time of transshipment, control, and commercial operations in relation to the cargo batch. It is the totality of these operations that makes up the technological process of the port, and the quality of their implementation (primarily © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1483–1491, 2022. https://doi.org/10.1007/978-3-030-96380-4_164
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from the point of view of time costs) collectively determines the level of quality of port services [1–20]. The functioning of a commercial seaport is characterized by a number of factors that determine the technological process of the port and have a significant impact on the quality of services provided. Such factors, in particular, include: a large number of participants in the transport process, both from commercial organizations and from government agencies; the multiplicity of forms of processed documents and information; the complexity of information and communication processes in the processing of vehicles and cargo, etc. It is worth noting that during the execution of operations, from which the technological process of the seaport is formed, two interrelated and interdependent flows are formed: the main material flow and the accompanying service flow. The material flow is a cargo flow and a transport flow. The service flow is divided into two components: informational and organizational. The information component of the service flow includes documents and information (including electronic), which are formed as information is received during the processing of transport and cargo flows. The organizational component of the service flow is aimed at creating a favorable environment (including information) in the process of providing port services to various participants in the transport process. In contrast to the material flow, which is most characterized by quantitative indicators measured in absolute terms, the service flow is primarily characterized by qualitative indicators, such as: availability of information about the status of cargo in real time, transparency and predictability of cargo operations, cargo safety, the possibility of a single submission of documents and information in electronic form, coordination of actions of various port services, etc. In the works of Malikova T. E., Yanchenko A. A. [21–23], it is noted that “the peculiarity of the technological process of the seaport is the fact that the movement of the information flow begins long before the ship arrives at the port”. At the same time, the practice of recent years shows that the speed and quality of the information flow largely determines the speed and quality of the passage of the material flow. In the context of the widespread introduction of digital information technologies into the transport process, one of the key directions of the development of the service flow is the unification and integration of the technology of work of all participants in the technological process of the port. The scientific works of many foreign and domestic scientists are devoted to the organization of the functioning of trade seaports. Among foreign authors, it is worth highlighting the works of T. Notteboom, J.-P. Rodrigue, A. Pallis [7, 8], devoted to the economic aspects of the development of seaports and the definition of their role in global supply chains. In the works [2, 5, 6, 9], foreign authors consider the issues of the development of sea trade ports in the conditions of digital transformation of transport and logistics processes. Among the Russian scientists who have made a significant contribution to the development of the theory and practice of the organization of management of seaports, one can distinguish the scientific works of Galin A.V. [14, 15], Koroleva E. A. [17], Kuznetsov A. L. [18–20], Pantina T. A. [16], Malikova T. E. [21], Yanchenko A. A. [22, 23] and many other authors.
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During the study and comparative analysis of the scientific works of these authors, the main directions in the field of research of theoretical and practical aspects of the technology of seaports were identified. The first direction of the research is related to the optimization of the interaction of participants in the transportation process and the coordination of the activities of the constituent elements of the international supply chain on the principles of logistics, digitalization and automation. Given the fundamental role of ports in the formation of transport and logistics systems, models and factors of port development are of interest, which are considered in the works by T. Notteboom, J.-P. Rodrigue [7, 8], A. Pallis [3, 7], M. Bisogno [10], C. Tan, J. He [13]. The works of these authors are mainly devoted to the problems of managing ports as centers for the development of global transport and logistics systems. The fundamental and systematic work in this area is the annual reporting materials of the United Nations Conference on Trade and Development (UNCTAD) “Review of Maritime Transport” [1], which allow to identify the dynamics of the development of ports from transport to multifunctional facilities, where logistics, marketing and management processes are actively developing. In the paper [2], the quality of port service is considered in the context of the introduction of digital technologies. The authors aim to determine the factors of the quality of port services and identify opportunities to improve the quality of port service based on the analysis of digital technologies implemented in seaports. The paper [9] discusses promising directions for the development of seaports in the context of the global digital transformation of world trade. Most modern researchers note that in the existing realities, the main transport and logistics hubs represented by the World’s largest ports are changing their business processes and models, moving from “industrial or logistics centers” to the development of the concept of “intelligent digital ports”, based on a combination of the use of a single digital space and intelligent sensors, through which opportunities for collecting and exchanging information in real time are realized. The papers [12, 13] are devoted to the issues of a modern scientific approach to modeling information and communication, technical and economic processes in a seaport in the context of the formation of integrated automated management systems for seaports, taking into account the territorial factor. The second direction in the field of research of the technology of the seaport is the technological design of ports and container terminals. In scientific papers [14, 15], based on the model of port development proposed by the UN Conference on Trade and Development (UNCTAD), Professor Galin A.V. proposed a simulation model reflecting changes in the development of the port with quantitative and qualitative changes in cargo flow, allowing making decisions on the modernization of transshipment complexes. The work of a group of scientists led by Professor A. L. Kuznetsov is devoted to the study of theoretical and practical issues of the operation of sea container terminals using simulation modeling methods. In the paper [18], based on the developed classification of functional models of a production container port, it was concluded that there is a need for a systematic approach to the study of transport processes, taking into account the relationships and dependencies between cargo flows and terminal operations when
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predicting the prospects for the development of the port. The paper [19] sets out the general principles of using simulation modeling in the technological design and evaluation of the parameters of container terminals, defines the principles of forming the procedure for evaluating the model and checking its adequacy at the research stage. In [20], simulation modeling allowed to determine the initial conditions for the efficiency of cargo transportation organization (from the point of view of costs) in the container distribution network. The next direction in the field of research of the technology of the seaport is the development of directions for improving the quality of port services and the formation of a high level of port service based on improving the technological processes of cargo handling in seaports on the principles of integration and system interaction of participants in the transport process. In the works of Yanchenko A. A. and Malikova T. E. [21–23], on the basis of simulation modeling, the issues of improving the technology of organization and management of transshipment processes are studied on the example of the seaport of Vladivostok. Based on the results of the study, it was concluded that it is possible to implement the zoning technology according to the Pareto principle at the sea container terminal, taking into account the registration of the ship using the technology of preliminary informing of state control bodies. The paper [16] presents the author’s presentation of the features of managing the development processes of a seaport, based on the use of the concept of modularity in managing the development of a seaport through a system of business processes. The study of this issue is carried out on the basis of the application of the process approach, which explains the work of the port from the perspective of interrelated business processes. At the same time, the third direction of research, in our opinion, is the least developed and, accordingly, the most promising from the standpoint of system analysis and subsequent optimization of existing technological processes of the seaport on the principles of unification, integration and system interaction. The formation of high-quality port services and an effective cargo delivery system involves the organization of a single transport, production and information space of the seaport, i.e. the integration of technological processes of all participants in the transport and logistics chain into a single integrated technological process of the seaport. In connection with the above, it is relevant to develop a single integrated technological process of the seaport (hereinafter referred to as the SITP SP) in order to improve the quality of port service. Thus, the purpose of this scientific article is to develop theoretical and methodological foundations for the formation of the SITP SP as one of the main directions for improving the quality of port services.
2 Materials and Methods Taking into account the fact that the term “single integrated technological process” has not been used in modern transport science until now, we will consider two similar concepts as the methodological basis of the study: “single technological process” and “single network technological process”. These concepts are found both in the scientific literature and in regulatory documents on the organization of work and management
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of transport hubs. For the first time in Russian transport science, these concepts were applied to railway transport. The working conditions and the procedure for the transfer of goods in the port are established by a nodal agreement concluded for a certain period (usually for three years) between the railway and the port. When organizing the processing of wagons, nodal agreements in relation to local conditions provide for: the procedure for joint shift-daily planning of the transshipment point; the place of cargo transfer; the terms of loading and unloading of wagons; the procedure for supply, arranging and cleaning wagons; the capacity and equipment of cargo fronts; the procedure for receiving and delivering cargo, etc. The basis for the nodal agreement is the single technological process (hereinafter – STP) of the port and the port railway station, which provides for a set of operations performed with wagons and ships from the moment they arrive at the transshipment point to departure from it. The concept of “single technological process” can be used not only to regulate the joint work of the port and the railway, it is fully acceptable to describe the work of any transport hub. It is worth noting that the single technological process of a transport hub is a rational system for organizing the work of interacting entities in a transport hub, linking the technology of processing transport units at interaction points, providing a uniform rhythm in the transport and production processes of the serviced enterprises. It is worth noting that the STP regulates the order of interaction of adjacent modes of transport, but it does not take into account the systemic interaction of other participants in the transport process. The use of the term “single network technological process” (hereinafter – SNTP), as already noted earlier, is found for the first time in railway transport. Unlike the STP, the SNTP of railway freight transport is intended for the organization and management of transportation based on the systematic interaction of all market participants: “Russian Railways” JSC, shippers, operators and other owners of rolling stock, owners of nonpublic tracks and consignees. The need to develop and implement the SNTP was dictated by the fact that in the process of transition of the railway industry to market conditions of management, a large number of economic entities appeared, guided by their own goals, independently managing their resources, and, as a result, over time this led to a conflict of interests between the needs of the State in freight rail transportation and the interests of private business. The SNTP in railway transport is essentially the development of a new technology of the transport process, focused on more stringent technological regulations in order to meet the needs of the State and business in railway transportation and related services provided by rail transport, as well as for profit-making by transport companies. At the same time, the fundamental ideas underlying the formation of the SNTP have a much broader application value and can be adapted to such transport systems as seaports. However, taking into account the fact that, unlike the railway, the seaport does not have a network structure, in our opinion, the use of the term “single integrated technological process” will be more accurate in relation to ports. The term “integration” is widely used in various branches of science, it comes from the Latin “integratio” (“restoration”, “connection”) and refers to the process of combining various parts into a single whole. Accordingly, the formation of a Single Integrated Technological Process
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of a seaport (hereinafter referred to as the SITP SP) involves the connection of at least three technological processes (cargo, commercial and control operations) into a single end – to-end process, the ultimate goal of which is to ensure high quality of port service when handling vehicles and cargo.
3 Results In the process of studying the theoretical and methodological foundations of the formation of the SITP SP, the following scientific results were obtained. 1. The purpose and objectives of the formation of the SITP SP are defined. The purpose of the formation of the SITP SP is to provide regulatory and technological support for the organization and management of transport and logistics processes in the seaport on the basis of systematic interaction of all participants in the process of transshipment and cargo handling, as well as to ensure the effective use of resources for all elements of the transport and logistics process management. The SITP SP should serve as the basis for the organization of an effective technology for joint work of all participants in the transport and logistics process in the seaport. The tasks of the SITP SP are: – ensuring the interaction of all participants in the transport and logistics process in the seaport on the basis of the unity of goals and principles of work; – ensuring operational information interaction of various departments of State bodies performing control functions in the process of cargo transshipment at the seaport, both among themselves and with cargo owners, carriers, freight forwarders, terminal operators and other representatives of the port business community; – formation of a system of technological regulation of the transport and logistics process based on regulatory and technological documents: ship traffic schedules, instructions and rules on the organization of transshipment, commercial and control operations; – optimization of the use of resources on the basis of common principles of interaction of all participants in the transport and logistics process when processing cargo flows, loading the port infrastructure, using the throughput and processing capacities of the port infrastructure. 2. The principles of the formation of the SITP SP have been developed, taking into account the specifics of their implementation in the conditions of the functioning of the seaport. The principles determine the functioning of the SITP SP, are the theoretical and methodological basis for its formation, determine the content and interrelation of all its elements. In order for the SITP SP to function successfully and find practical application, its formation should take into account the principles, including those used in the development of transport and logistics systems, while it is necessary to take into account the specifics of their implementation, characteristic of such complex transport and logistics systems as seaports. The analysis of various sources carried out in the course of the study allowed us to identify a number of
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principles that, according to the authors, should become the basis for the formation of the SITP SP. 3. An algorithm for the formation of the SITP SP has been developed (Fig. 1). The development of the SITP SP actions will allow to attract all participants of the transport and logistics process and take into account the interests of each of them at the stage of developing a promising model of the SITP SP, will eliminate duplicate functions of participants and form an optimal standardized information flow, will reduce the number of interactions between participants, which in turn will contribute to the effective implementation of the developed model of the SITP in the practice of the seaport.
Definition of the role and main functions of each participant of the SITP SP
Establishing relationships between participants and determining the directions of information interaction
Analysis of the provided information on the composition and format of data in order to identify and eliminate duplicate information
Formation of a technological map of information interaction between the participants of the SITP SP
Identification of the main and related (interrelated) processes, establishment of the owner and the circle of participants in each process
Determining the input and output parameters of the selected processes
Development of a promising model of the technology of work of participants in the process of cargo transportation and processing in the seaport based on the formation of a single technological chai n of operations and a single information space of the seaport
Fig. 1. The algorithm for the formation of the SITP SP (Developed by the authors based on the research materials)
4 Conclusions In the conditions of rapid development and introduction of digital technologies into the economy and transport, increasing the speed of delivery and the carrying capacity of the merchant marine fleet, the time factor comes to the fore in assessing the quality of services provided in the transport industry, including in seaports. Thus, it can be concluded that in the conditions of the modern economy, it is the time of performing a
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complex of technological operations, which include not only transport, including cargo operations, but also accompanying control and commercial operations carried out in seaports, largely determine the quality of port services. The development of the SITP SP allows to focus on optimizing the interaction of participants in the technological process on the territory of the port in order to organize the most rational technology for handling vehicles and cargo, as well as to minimize nonproduction downtime in the seaport, which will ultimately contribute to the formation of a high level of quality of port service. According to the authors, in the future, the SITP SP can serve as a technological basis for: – development of contracts between the State and commercial sectors of the seaport; – development of technological processes of seaport enterprises involved in the provision and implementation of port services; – formation of a system of evaluation indicators (both operational and economic) for the interaction of the State and commercial sectors of the seaport; – effective resource management of transport and logistics services market participants and owners of port infrastructure facilities; – updating the provisions of regulatory legal acts regulating the processes of transshipment and handling of goods in the seaport.
References 1. The Review of Maritime Transport 2020: an annual publication by the UNCTAD. https://unc tad.org/topic/transport-and-trade-logistics/review-of-maritime-transport 2. Agati´c, A., Kolanovi´c, I.: Improving the seaport service quality by implementing digital technologies. Pomorstvo 34(1), 93–101 (2020). https://doi.org/10.31217/p.34.1.11 3. Pallis, A., Vaggelas, G.: Port competitiveness and the EU ‘port services’ directive: the case of Greek ports. Marit. Econ. Logist. 7, 116–140 (2005). https://doi.org/10.1057/palgrave.mel. 9100132 4. Talley, W.K.: Port Economics, 1st edn. Routledge (2009). https://doi.org/10.4324/978020388 0067 5. Philipp, R.: Digital readiness index assessment towards smart port development. Sustain. Manag. Forum|Nachhaltigkeits Management Forum 28(1–2), 49–60 (2020). https://doi.org/ 10.1007/s00550-020-00501-5 6. Douaioui, K., Fri, M., Mabrouki, C., Semma, E.A.: Smart port: design and perspectives. In: 2018 4th International Conference on Logistics Operations Management (GOL), pp. 1–6 (2018). https://doi.org/10.1109/GOL.2018.8378099 7. Notteboom, Th., Pallis, A., Rodrigue, J.-P.: Port Economics, Management and Policy. Routledge, New York (2020). https://porteconomicsmanagement.org/ 8. Notteboom, T., Rodrigue, J.-P.: Containerisation, box logistics and global supply chains: the integration of ports and liner shipping networks. Marit. Econ. Logist. 10, 152–174 (2008). https://doi.org/10.1057/palgrave.mel.9100196 9. Heilig, L., Schwarze, S., Voss, S.: An Analysis of Digital Transformation in the History and Future of Modern Ports (2017). https://doi.org/10.24251/HICSS.2017.160
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Global Trends of the Cargo Handling Operations Automatization at Container Terminals Igor Rusinov(B)
, Elena Besedina , and Nikita Shcherbinin
Admiral Makarov State University of Maritime and Inland Shipping, 5/7, Dvinskaya Street, 198035 Saint-Petersburg, Russia [email protected]
Abstract. The article discusses the prospects for the introduction of automatic processes at container terminals. The consideration of container terminal equipment and the opportunities of these facilities exploitation in auto mode were given. The article presents a list of the main manufacturers of port equipment for container handling, as well as terminal information systems. Each mentioned company-producer comprises the certain terminal, where its gear is operated. The comparative analysis of fully automated container terminals is formed, as well as their containerized cargo handling technologies, container throughput and main suppliers of port equipment. The list of semi-automatic container terminals, automated container terminals under construction is emphasized. It is shown that automated container terminals are located in major transport hubs of the liner shipping network. Keywords: ISO-container · Facilities (cyclic type) for container handling · Container terminal · Automatization · Container throughput · Terminal systems · Sea liner container shipping
1 Introduction Container terminal operators are often faced with unpredictable technical and economic changes, uneven cargo flows, new requirements for the efficiency and safety of cargo operations. With the successful integration of information technologies and timely updating of loading and unloading equipment, the terminal can achieve significant competitive advantages: increased throughput, reduced operating costs, and increased labor productivity. As a result, the terminal will be able to provide its customers (sea liner carriers and their agents, forwarding companies and cargo owners, accredited road carriers, railway workers and other participants in foreign economic activity) with a more competitive service [1]. Thus, the level of automation of a container terminal will be the main determinant of its functioning [2]. Studies of the operational performance of elements of maritime infrastructure are usually associated with the analysis of the efficiency of the port as a whole, rather than its individual components. At the moment, there is a lack of information (especially in Russian) regarding the geography of container terminals with automatic and semiautomatic handling of transshipment processes, as well as the analysis of production links © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1492–1508, 2022. https://doi.org/10.1007/978-3-030-96380-4_165
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and capacities of the automated facilities of the maritime infrastructure. In addition, it is extremely important to determine the list of linear routes of container lines passing through such complexes, as the main element of their production activities for servicing cargo flows. It is the automated container terminals serving global trade that are the real innovation in the maritime transport industry. Therefore, this study is aimed specifically at studying the economic geography of such terminals, their technologies for handling containers, indicators of production efficiency and safety. Sea trade does not imply a wide variety of forms of shipping. At the end of the 19th century, the Austrian scientist and theorist of transport science Emil Sax pointed out that “a shipping company either offers its services for flights between certain ports at the declared duration of flights and usually with an exact timetable, or organizes the transportation of various cargo according to different directions, concluding deals separately in each specific case”. The first system is called liner shipping, and the second is called free or tramp. “The use of each of them is associated with special considerations, each of them has its own advantages and disadvantages, each presents the entrepreneur with different requirements”. The purpose of the article is to show and substantiate the influence of automation processes, when handling cargo in containers, on the work of global linear carriers. The task is to analyze and study the lifting and transport equipment existing today at terminal handling complexes, to assess the possibility of performing loading and unloading operations with the presented equipment in automatic mode.
2 Methods and Materials The spread of automatic handling processes at container terminals implies the emergence of a number of questions, one of which concerns the aims of automation in this segment of economic activity. At TOC Europe 2017, Konecranes Executive Vice President Mika Malberg was able to give a sufficiently meaningful answer to the question of where the development of container terminals is heading. He named three main components of container terminal automation: safety, productivity (and as a consequence – competitiveness), forecasting the terminal’s activities by day or even by hour. He noted that in the end, automation awaits every terminal, in view of its availability and the intentions of the owners to develop this direction [3]. Note that the competitive advantages of automation are not limited to this, the list of advantages also includes the following: adaptation of the terminal to uneven cargo flows, increasing the organization of terminal operations, independence of the terminal’s operating schedule from external factors (for example, handling operations in conditions of insufficient visibility in bad weather), optimal use of human and production resources, as well as warehouse space, operation of equipment on an electric drive – reducing the noise level and the amount of harmful emissions into the atmosphere, reducing the cost of terminal services and maintenance of container terminal machines. Nevertheless, the automation process also contains some difficulties, for example, the difficulty in taking operational measures in emergency situations, a significant reduction in jobs, the requirement for significant capital investments, the need for highly qualified specialists of information technology. For handling containerized cargo at the terminal, specialized equipment is required, each machine is a separate link of the mechanized berthing line. Thus, the automation
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I. Rusinov et al. Table 1. Classification of equipment for handling ISO containers.
LTE for vertical and horizontal movement of containers Equipment name
Performed cargo operations
Ability to work in automatic mode
Examples of terminal operators of equipment
Reach stacker
Outgoing freight traffic: W – CY W – TT M – CY IT CY – B Incoming freight traffic: B – CY IT CY – W CY – M TT – W
No
Baltic Container Terminal (Riga), Gavle Container Terminal (Gavle), Port Bronka (Lomonosov)
Straddle Carrier
Outgoing freight traffic: M – CY *W – CY IT CY – B Incoming freight traffic: B – CY IT CY – M *CY – W
Yes
Automatic type: Fergusson Container Terminal (Auckland), Patrick Terminals Brisbane (Brisbane), TraPac Los-Angeles (Los Angeles) Non-automatic type: Medcenter CT (Joya-Tauro), Eurogate CT (Bremerhaven), Durban Container Terminal (Durban)
Shuttle Carrier
Outgoing freight traffic: *M – CY *W – CY IT CY – B Incoming freight traffic: B – CY IT *CY – M *CY – W
Yes
Automatic type: Victoria International CT (Melbourne) Non-automatic type: Virginia International Gateway (Portsmouth, Virginia)
(continued)
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Table 1. (continued) LTE for vertical and horizontal movement of containers Equipment name
Performed cargo operations
Ability to work in automatic mode
Examples of terminal operators of equipment
RTG crane
Outgoing freight traffic: M – WH *W – WH *W – TT WHO WH – TT Incoming freight traffic: TT – WH WHO WH – M *WH – W *TT – W
Yes
Automatic type: Dublin Ferryport Terminals (Dublin), Belfast CT (Belfast), Terminal Petikemas Semarang (Semarang) Non-automatic type: NUTEP container terminal (Novorossiysk), Klaipeda Container Terminal (Klaipeda), EVYAP Port (Kerfez)
RMG crane
Outgoing freight traffic: M – WH W – WH W – TT WHO WH – TT Incoming freight traffic: TT – WH WHO WH – M WH – W TT – W
Yes
Automatic type: Khalifa Port CT (Abu Dhabi), DP World London Gateway (London), Antwerp Gateway Terminal (Antwerp) Non-automatic type: Luka Coper CT (Koper), Muuga CT (Tallinn), Vostochnaya Stevedoring Company (Vostochny port)
STS crane
Outgoing freight traffic: TT – S B–S Incoming freight traffic: S – TT S–B
Yes
Automatic type: Qingdao Qianwan CT (Qingdao), Xiamen Ocean Gate CT (Xiamen), Victoria International CT (Melbourne) Non-automatic type: San Antonio Terminal International (San Antonio), Adriatic Gate CT (Rijeka), Barbours Cut CT (Houston) (continued)
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I. Rusinov et al. Table 1. (continued)
LTE for vertical and horizontal movement of containers Equipment name
Performed cargo operations
Ability to work in automatic mode
Examples of terminal operators of equipment
Mobile Harbor Crane Portal Crane
Outgoing freight traffic: TT – S B–S Incoming freight traffic: S – TT S–B
No
IPC (MHC): Borusan Port CT (Gemlik) Portal crane: Sea Fish Port (St. Petersburg)
Equipment for horizontal handling of containers Automated Guided Vehicle, AGV
IT CY – B, B – CY
Yes (by cond.)
Container Terminal Altenwerder (Hamburg), Yangshan Port (Shanghai), Rotterdam World Gateway (Rotterdam)
Terminal IT tractor/Terminal truck CY – B, B – CY
No (by cond.)
CT Odessa (Odessa), Petrolesport Terminal (St. Petersburg), DCT Gdansk (Gdansk)
Explanation to the Table 1: LTE – Lifting and transport equipment, M – Motor transport, W – Wagon, CY – Container yard, IT – Intra-terminal transportation, WH – Warehouse, WHO – Warehouse operation, TT – Terminal transport, B – Berth, S – Ship; CT – Container Terminal; * – the operation is not included in the main specialization of the technique, but it can be performed. Source: [4, 5]. Source: [6, 7].
of the container terminal as a whole depends on the ability to automatically perform loading and unloading operations by a separate technological link. Consideration of the main terminal tasks, terminal equipment, the possibility of operation of these machines in automatic mode and specific examples of operation is carried out in Table 1. Based on the above classification, we can conclude that a fully automated terminal can operate the following handling equipment: Straddle Carrier (SC), Shuttle Carrier (ShC), Automated Rubber Tyred Gantry Crane (ARTG), Automated Rail-Mounted Gantry Crane (ARMG), STS-crane, Automated Guided Vehicle (AGV). This sample offers five systems of technological organization of a container terminal (Fig. 1, Fig. 2, Fig. 3, Fig. 4, Fig. 5): An STS-crane operates on the berth area, SC is a connecting link between the berth and warehouse areas, the warehouse area is served by automatic gantry cranes (on rail / pneumatic wheels), containers are received and delivered by a gantry crane in the rear
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Fig. 1. Terminal organization system No 1
area. It is also shown that the delivery/removal of containers can be carried out by road and rail transport.
Fig. 2. Terminal organization system No 2.
SC connects the berth and warehouse areas, while performing handling operations directly in the container warehouse area. Reception and delivery of containers is performed by SC. Thus, there are two types of handling equipment operating at the terminal: STS-crane (berth area) and SC (berth, warehouse and back areas).
Fig. 3. Terminal organization system No 3.
AGV transports containers between the berth and warehouse areas, an automatic gantry crane operates in the warehouse area, the back area is served by SC, which receives and deliveries containers. AGV moves containers between the berth and warehouse areas, the warehouse area is served by gantry cranes in their automatic mode, operations in the back area (reception and delivery of containers) are performed by the same machines. Operations on the transit of containers from the warehouse area to the berth (and vice versa) are performed by ShC, the container warehouse area is served by automatic gantry cranes, the movement of containers from the back area to the warehouse area and vice versa (reception and delivery of containers) is performed using gantry crane.
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Fig. 4. Terminal organization system No 4.
Fig. 5. Terminal organization system No 5.
It can be added that the container handling technology at the terminal is also influenced by the way the cargo are placed in the warehouse area. Depending on the layout of the terminal, there are two ways to form a container yard: parallel and perpendicular arrangement relative to the berthing line [8], it is worth highlighting the methods of layout of containers in a stack: block stacking and linear stacking (Table 2). Block stacking is usually used in combination with gantry cranes in a container yard due to small spacing between containers and high stacking density, linear stacking has a lower density due to horizontal gaps between load units, this allows machines such as SC and ShC to maneuver between stacks and carry out warehouse operations. Table 2. Methods for stacking container cargo Block stacking Optimal automatic equipment: ARMG, ARTG
Linear stacking Optimum automatic equipment: SC, ShC
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For further analysis of technological processes for handling container cargo at automated terminals, it is proposed to identify the main manufacturers of specialized equipment for operation at these marine infrastructure facilities (Table 3): Table 3. Major manufacturers of equipment for automated container terminals The name of the company
Country
Main automated equipment
Shanghai Zhenhua Heavy Industries Company (ZPMC)
PRC
STS crane, ARMG crane, AGV
Cargotec Corporation (Kalmar, Hiab, MacGregor)
Finland
STS- crane, ARTG- crane, ARMGcrane, AGV, SC, ShC
Konecranes
Finland
ARMG- crane, ARTG- crane, AGV, SC
Source: [9]
Other manufacturers of equipment for handling containers: Liebherr Group of Companies (Germany), Hartmann & Konig Stromzufuhrungs (Germany), Kuenz (Germany), Sany Heavy Industry (China), Baltkran (RF), SMM (RF), Technoros (RF), Terex (USA), CVS Ferrari (Italy), Meclift (Finland), Paceco Corporation (USA), Fantuzzi Team Material Handling (Italy), Hyster (USA), The Taylor Group (USA), Mitsubishi Heavy Industries (Japan), Mitsui E&S Holdings Company (Japan), Hyundai Samho Heavy Industries (South Korea). Global providers of information technology (software, information systems, etc.) for container terminals: NAVIS (product: NAVIS N4 TOS), Total Soft Bank (product: Computer Automation Terminal Operating System, CATOS), Tideworks (product: Mainsail Vanguard), RBS (product: TOPS advance), CyberLogitec (product: OPUS Terminal), Yantai Huadong Soft-Tech Company (product: HD-CiTOS), PSA International (product: CITOS, PortNet), Hong Kong International Terminals, Hutchison Port (product: nGen) [10]. Russian suppliers of information technologies for container terminals: SOLVO Company (product: Solvo TOS), ROLIS Company (product: ROLIS TOS), ROLIS Company (product: Konterra Information System). Next, we will determine the dynamics of the emergence of fully automated container terminals, as well as their exact location (Table 4). Based on the above data (Table 3, Fig. 6), it can be argued that automated marine infrastructure facilities are located in economically developed countries, and the total number of automated container terminals in the world is thirteen [11, 12]. It is necessary to conduct a comparative analysis of fully automated terminals, taking into account their technologies for container cargo handling and the main suppliers of equipment (Table 5), as well as the production indicators of container ports, which include the above-mentioned terminals (Table 7), this will make it possible to draw a conclusion about the optimal organizational container handling system for a particular marine infrastructure facility. All of the aforementioned terminals perform cordon operations using STS cranes, moving cargo from a warehouse to a berth and vice versa using AGV/SC/ShC, however, a fundamental diversity is observed in the technologies of handling operations at container
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I. Rusinov et al. Table 4. Dynamics of the emergence of automated terminals in the maritime industry
Terminal name
Port
Country
Start of operations
Delta Dedicated East & West Terminals (ECT Rotterdam Delta Terminal)
Netherlands 1993
Altenwerder Container Terminal (CTA)
Hamburg
Germany
2002
Patrick Terminals Brisbane
Brisbane
Australia
2005
Tobishima Pier South Container Terminal
Nagoya
Japan
2006
Container Terminal Euromax Rotterdam
Rotterdam
Netherlands 2008
Container Terminal TraPac
Los Angeles USA
Container Terminal Maasvlakte II
Rotterdam
Netherlands 2014
Container Terminal Rotterdam World Gateway (RWG)
Rotterdam
Netherlands 2014
Xiamen OceanGate Container Terminal (XOCT)
Xiamen
China
2015
Long Beach Container Terminal (LBCT)
Long beach
USA
2016
Qingdao Qianwan Container Terminal (QQCTN)
Qingdao
China
2017
Yangshan Deepwater Port (Yangshan Container Terminal)
Shanghai
China
2017
Victoria International Container Terminal (VICT)
Melbourne
Australia
2019
2013
14 12 10 8 6 4 2 0 2000 Netherlands
2010 USA
2015 China
Japan
2020 Australia
Germany
Fig. 6. Timeline of commissioning of automated container terminals by country.
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Table 5. Comparative analysis of fully automated terminals, part I Terminal name
Terminal operator Organizational system in the container yard
Organizational system for the horizontal movement of containers
Major equipment suppliers
ECT Delta Terminal, Rotterdam
Hutchison Ports
ARMG-cranes (storage perpendicular to the cordon line)
AGV
ZPMC, Kalmar, VDL, Konecranes
CTA, Hamburg
Hamburger Hafen ARMG-cranes und Logistik (storage (HHLA) perpendicular to the cordon line)
AGV
Kuenz, ZPMC, Terex, Konecranes
Patrick Terminals, Brisbane
Patrick Terminals Automated Straddle Carriers (storage perpendicular to the cordon line)
Automated Straddle Carriers
ZPMC, Kalmar
Tobishima Pier South CT, Nagoya
Tobishima Container Barth Company
ARTG-cranes AGV (storage parallel to the cordon line)
Mitsubishi Heavy Industries, Toyota Industries
CT Euromax, Rotterdam
Hutchison Ports
ARMG-cranes (storage perpendicular to the cordon line)
ZPMC, Terex
CT TraPac, Los-Angeles
Mitsui O.S.K. Lines (MOL)
ARMG-cranes Automated (storage parallel Straddle to the cordon line) Carriers
Kalmar, Paceco Corporation
Maasvlakte II, Rotterdam
APM Terminals
ARMG-cranes (storage perpendicular to the cordon line)
AGV
Kalmar, Kuenz, Terex
RWG, Rotterdam
Dubai Port World ARMG-cranes (DP World) (storage perpendicular to the cordon line)
AGV
ZPMC, Terex,
XOCT, Xiamen COSCO Pacific
AGV
ARMG-cranes AGV (storage parallel to the cordon line)
ZPMC
(continued)
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Terminal name
Terminal operator Organizational system in the container yard
Organizational system for the horizontal movement of containers
Major equipment suppliers
LBCT, Long Beach
Macquarie Infrastructure Partners (MIP)
ARMG-cranes (storage perpendicular to the cordon line)
AGV
ZPMC, Terex
QQCTN, Qingdao
Qingdao Port International Company
ARMG-cranes (storage perpendicular to the cordon line)
AGV
ZPMC
Yangshan CT, Shanghai
Shanghai ARMG-cranes International Port (storage Group (SIPG) perpendicular to the cordon line)
AGV
ZPMC
VICT, Melbourne
International Container Terminal Services (ICTSI)
Automated ZPMC, Kalmar Shuttle Carriers
ARMG-cranes (storage perpendicular to the cordon line)
Source: [13]
yards. To complete the comparative analysis of automated container terminals, it is proposed to assess the financial component of those technologies that are used in the storage areas of the named terminals (Table 6). Table 6. Microeconomic comparative analysis of automated technologies in a container yard Terminal work organization system
Capital investment
Reliability, “survivability” of the system
Operating costs
Autonomy, Stacking adaptability and density flexibility of the system
ARMG
High
High
Low
Low
High
ARTG
Average
Average
Average
Low
High
SC
Low
Low
High
High
Low
The system of using ARMG-cranes in container yards is not the most common one by accident, because despite all the disadvantages such as high capital costs, the complexity of making changes to the system and redevelopment, one can count on the following advantages: low cost of handling operations, long equipment life cycle, high utilization
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rate warehouse area. It should be noted that the configuration of the handling technology is unique for each automated container terminal and its choice depends on a number of factors, which include the layout of terminal areas, the volume of cargo traffic, the size of investments, and the compatibility of electronic systems [14, 15]. Table 7. Comparative analysis of fully automated terminals, part II Terminal name
Port
Position in the Lloyd’s List One Hundred Ports, 2020
Port container throughput, 2019
Yangshan CT
Shanghai
1
43 303 000 TEUs
QQCTN
Qingdao
7
21 010 000 TEUs
ECT Delta Terminal
Rotterdam
10
14 810 804 TEUs
XOCT
Xiamen
14
11 122 200 TEUs
CT TraPac Los-Angeles
Los Angeles
16
9 337 632 TEUs
CT Euromax Maasvlakte II RWG
CTA
Hamburg
17
9 274 215 TEUs
LBCT
Long beach
21
7 632 032 TEUs
VICT
Melbourne
63
2 967 315 TEUs
Tobishima Pier South Nagoya CT
68
2 844 004 TEUs
Patrick Terminals Brisbane
-
1 303 400 TEUs
Brisbane
Source: [16]
Let us define the economic geography of automated container terminals based on the routes of the world sea linear container shipping system [17, 18] (Fig. 7, Fig. 8): A certain economic geography of automated objects of maritime infrastructure, which specialize in the handling of containerized cargo, makes it possible to understand the reasons for their appearance precisely in these geographical points. One of these reasons is the sufficient intensity of container flows through these regions: Trans-Pacific (25.1 million TEUs per year), Asia-Europe (23.0 million TEUs per year), Trans-Atlantic (7.4 million TEUs per year) [20]. This is also confirmed by the fact that these ports are “world”, as they have a large share in servicing both global trade and national trade of a particular state. In addition to this, it can be noted that the determining factors of the expediency of the geographical location and semi-automatic container terminals are also the flows of container cargo. Thus, the objects of maritime infrastructure serving these container flows and having incomplete automation of the handling process are located in ports that
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Fig. 7. Location of ports, which include automated container terminals, in the global system of container traffic. The number of such ports is ten.
Fig. 8. Location of ports with automated terminals in the global system of container traffic directions, in the global system of container traffic. Source: [19].
are essential for world trade. Here is a list of semi-automatic container terminals [21, 22]: 1. 2. 3. 4. 5.
London Thamesport, Medway Ports, United Kingdom DP World London Gateway, Port of London, United Kingdom Peel Ports Liverpool (Liverpool2), Port of Liverpool, United Kingdom Hong Kong International Terminal 6–7, Hong Kong Port, Hong Kong PSA International - Singapore, Pasir Panjang Terminal, Port of Singapore, Singapore 6. Wan Hai Tokyo, Ohi Terminal, Port of Tokyo, Japan 7. APM Terminals Virginia, Norfolk (APMT), Portsmouth, USA 8. GCT New York, Port of New York and New Jersey, USA 9. Antwerp Gateway Terminal (DPW), Port of Antwerp, Belgium 10. Evergreen Marine Corporation Kaoshiung, Evergreen Marine Terminal, Kaohsiung Port, Republic of China (Taiwan) 11. Taipei Port Container Terminal (TPCT), Taipei Port, Republic of China (Taiwan)
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12. Kao Ming Container Terminal (KMCT), Kaohsiung Port, Republic of China (Taiwan) 13. Total Terminal International Algeciras (Hyndai), Port of Algeciras, Spain 14. Korea Express Busan Container Terminal (KBCT), Port of Busan, South Korea 15. Pusan Newport Company (PNC), Port of Busan, South Korea 16. Pusan Newport International Terminal (PNIT), Port of Busan, South Korea 17. Hanjin Newport Terminal, Busan Port, South Korea 18. Busan Newport Container Terminal (BNCT), Port of Busan, South Korea 19. Hyundai Pusan Newport Terminal (HPNT), Port of Busan, South Korea 20. Hanjin Incheon Container Terminal (HJIT), Port of Incheon, South Korea 21. Container Terminal Burchardkai (CTB), Port of Hamburg, Germany 22. Terminal Catalunya (TERCAT), Port of Barcelona, Spain 23. Barcelona Europe South Terminal (BEST), Port of Barcelona, Spain 24. Abu Dhabi Khalifa Container Terminal, Port of Abu Dhabi, UAE 25. Jebel Ali Container Terminal, DP World Dubai, Port of Dubai, UAE 26. Manzanillo International Terminal (MIT), Port of Colon, Panama 27. DP World Brisbane, Port of Brisbane, Australia 28. Hutchinson Brisbane Container Terminals (Hutchison Ports Brisbane), Port of Brisbane, Australia 29. Hutchinson Sydney International Container Terminals (Hutchison Ports Sydney), Port of Botany, Australia 30. Terminal Petikemas Semarang (TPS), Semarang port, Indonesia 31. Terminal Teluk Lamong, port of Surabaya, Indonesia 32. Tuxpan Port Terminal (TPT), SSA Mexico, Tuxpan Port, Mexico 33. APM Terminals Lazaro Cardenas, Port of Lazaro Cardenas, Mexico 34. Vado Gateway, APM terminals Vado Ligure, port of Vado Ligure, Italy 35. Tanger Med 2, APM Terminals, Port of Tangier, Morocco 36. Ferguson Container Terminal, Port of Auckland, New Zealand Fully automated terminals are being designed in the ports of Tianjin and Singapore.
3 Results In the course of the study, it was revealed that in addition to the obvious strengths of the automation of the container handling process at the terminal – safety, productivity, excellent indicators of strategic and tactical planning. However, there are also disadvantages, among them it should be noted – the complexity of solving operational unforeseen tasks, the need to reduce jobs. Automation makes high demands on the total resource base of the terminal: significant capital investments, compatibility of lifting-transport equipment with automatic information systems, and the presence of IT specialists on the staff of the enterprise. Social and psychological factors are added to the problems of introducing automation at the container terminal: resistance from trade unions, lack of information about this innovation causes distrust in the port sector, and the desire to avoid investment risk. Based on the analysis of the currently existing five production schemes of fully automated container terminals, it can be argued that the following equipment is allowed to
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operate at such facilities: SC (automated), ShC (automated), ARTG, ARMG, STS-crane, AGV. The main manufacturers of such equipment are: ZPMC, Cargotec, Konecranes; the compatibility of equipment from different manufacturers during the handling processes is possible thanks to advanced commercial (terminal) information systems, which, in fact, are the key component of the transport complex. Referring to the situation on the container transportation market, a list of automated container terminals was formed, which includes thirteen items. The number of semiautomatic terminals that specialize in container handling is thirty-one. The study showed that a significant difference in the technologies for cargo handling at automated container terminals is observed during transit from the warehouse area to the berth (and vice versa), as well as during operation at the container yard. To a greater extent, the use of AGV for operations CY-B, B-CY and IT due to the relatively low operating costs, this forms the most competitive rates for moving the container [23]. For work in the container yard, preference is given to the ARMG-crane system, since it is this component of the terminal technology that ensures the low cost of loading and unloading operations in the warehouse and back areas. The economic geography of automated container terminals allows us to conclude that they are located at very significant points of the main sea container routes (linear routes), this fact explains the need for automatic handling processes as a basis for providing a more advanced service to the terminal’s clients. Thus, both fully automated and semiautomated terminals are located in the world ports of the network of sea liner container transportation, that is, they are classified as trunk ports and handling ports.
4 Discussion Having considered the general trends in the automation of transport processes at container terminals, a small number of ports that include an automated transport facility for handling of containerized cargo are brought to the fore, there are only ten of them. Considering that there are more than 2,000 seaports in the world – the quantitative indicator of the prevalence of full automation will be equal to half a percent, in the plane of 1,300 large sea container facilities of the world infrastructure, the indicator of total automation (automated and semi-automated handling technologies) is slightly higher – about three percent. However, the successful operation of the currently existing automated container terminals, most of which are located in Europe, and the construction of new similar facilities in Southeast Asia, speaks of the great potential of this direction.
5 Summary The stated goal of the article has been achieved. The completed tasks allow us to draw the following conclusions: • Equipment for handling containerized cargo at automated terminals has a significant impact on the work of global carriers.
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• The handling of cargo at fully automated or semi-automated container terminals is the prerogative of the administration of container lines. • Analysis of container handling technologies at automated terminals showed that such equipment as STS-crane, ARMG-crane, AGV is the most common in this segment for good reason. • The economic geography of automated container terminals depends exclusively on regions with a stable container traffic of sufficient volume.
References 1. Martin, J., Thomas, B.J.: The container terminal community. Marit. Policy Manag. 28(3), 279–292 (2001). https://doi.org/10.1080/03088830110060831 2. Scott, J.: Trends in marine terminal automation. Port Technol. Int. 54, 82–85 (2012) 3. Top Three Reasons for Terminal Automation. Port Technology International. https://www.por ttechnology.org/news/top_three_reasons_for_terminal_automation/. Accessed 31 July 2021 4. Kuznetsov, A.L., Semenov, A.D., Radchenko, A.A.: Box selectivity in different container cargo-handling systems. Vestnik Gosudarstvennogo universiteta morskogo i rechnogo flota imeni admirala S. O. Makarova 12(4), 672–682 (2020). https://doi.org/10.21821/2309-51802020-12-4-672-682 5. Branch, A.: Elements of Port Operation and Management. Springer, Cham (2012). https:// doi.org/10.1007/978-94-009-4087-1 6. Brinkmann, B.: Operations systems of container terminals: a compendious overview. In: Böse, J. (ed.) Handbook of Terminal Planning, vol. 49, pp. 25–39. Springer, New York (2011). https://doi.org/10.1007/978-1-4419-8408-1_2 7. Gunther, H.O., Kim, K.H. (eds.): Container Terminals and Automated Transport Systems, pp. 5–12. Springer, Berlin (2005). https://doi.org/10.1007/b137951 8. Wiese, J., Kliewer, N., Suhl, L.: A survey of container terminal characteristics and equipment types. Decision Support and Operations Research Lab, Paderborn University, Paderborn (2009) 9. Parikka, M.: Cargotec: industrials. Diss (2015) 10. Kim, K.H., Lee, H.: Container terminal operation: current trends and future challenges. In: Lee, C.-Y., Meng, Q. (eds.) Handbook of Ocean Container Transport Logistics. ISORMS, vol. 220, pp. 43–73. Springer, Cham (2015). https://doi.org/10.1007/978-3-319-11891-8_2 11. Martin-Soberon, A.M., et al.: Automation in port container terminals. Procedia Soc. Behav. Sci. 160, 195–204 (2014). https://doi.org/10.1016/j.sbspro.2014.12.131 12. David, A.: Automation of handling systems in the container terminals of maritime ports 1, 6–9 (2019). https://doi.org/10.26552/tac.C.2019.1.2 13. Madekivi, T.: Manager, Customers & Market Intelligence at MacGregor Group, Container terminal automation & intelligent cargo handling. MacGregor Group (Cargotec Corporation), International Maritime Statistics Forum. Web (2021) 14. Kiani, M.M., Noori, R.: Cost function modelling for semi-automated SC, RTG and automated and semi-automated RMG container yard operating systems, pp. 85–122 (2011) 15. Huang, W.-C., Chu, C.-Y.: A selection model for in-terminal container handling systems. J. Mar. Sci. Technol. 12(3), 159–170 (2004) 16. One Hundred Container Ports. Lloyd’s List Digital Edition, Lloyd’s List (2020). https://llo ydslist.maritimeintelligence.informa.com/one-hundred-container-ports-2020/Digital%20e dition%20ebook. Accessed 31 July 2021
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Model for Optimizing the Interaction of the Transport and Logistics Process Entities Natalya Korenyakina(B)
and Lyudmila Ripol-Saragosi
Rostov State Transport University, Rostovskogo Strelkovogo Polka Narodnogo Opolcheniya Sq., 2, Rostov-on-Don 344038, Russia
Abstract. The article studies the problem of optimizing the interaction of the transport and logistics process entities. The necessity of applying the morphological approach in optimizing the interaction of the transport and logistics process entities is justified, which allows us to investigate all the threats and risks that arise in the course of implementing the transport and logistics process. With the help of the presented optimization model, it becomes possible to determine the greatest negative influence of the interaction entities on each other in the transport and logistics process. The main purpose of the proposed model is to provide the most relevant information in a concise form to the management of the enterprise in order to promptly assess the current situation and make a competent management decision. It is important that the model uses a limited number of indicators formed on the basis of primary information about the activities of enterprises. The problem solution of interaction between the transport and logistics process entities will make it possible to achieve the most efficient use of resources and increase the economic activity efficiency. Keywords: Interaction · Diagnostics · Model · Optimization · Resources · Activity results · Entities · Transport and logistics process
1 Introduction The problem of optimizing the transport and logistics process entities interaction is relevant in the current economic conditions. In the modern interpretation, optimization means choosing the best of possible variety options and it is the process of developing optimal steps and solutions. Optimization in economics can be a process of maximization, that is, increasing profitable characteristics or ratios while minimizing costs. Optimization is a system of various methods and schemes that allows you to choose the optimal solution for a given case of an organization’s economic activity. The existing interaction methods research of the transport and logistics process entities gives the reason to believe that mainly all optimization methods are based on reducing the cost of transportation, and as a result, increasing the revenue part of the economic entity budget. We believe that in order to ensure efficient operation, it is important not only to reduce transportation costs, but also to ensure profit by optimizing the work with the transport process interaction entities. Well-used tools for optimizing the work © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1509–1517, 2022. https://doi.org/10.1007/978-3-030-96380-4_166
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with the transport process interaction entities are primarily aimed at developing and implementing relevant management solutions that can improve the using efficiency of available resources and activity results of all interaction participants. The analysis of modern scientific literature on the studied problems showed that the theoretical aspects of optimizing transport interaction from different points of view, both technological and economic, fell into the scientific research field of such scientists as: Deitz G., Zubkov E., Kuzina E., Liu G., Makeev V., Mamaev E., Nechaev A., Chislov O., Shevkunov N. and others. However, studies related to the optimization of work with counterparties in the multimodal transport implementation were carried out very rarely. The main idea of the study is to optimize the work with counterparties in the implementation of multimodal transport, based on the factor interaction model. The optimizing problem solution of the transport and logistics process interaction entities will make it possible to achieve the most effective use of the organization’s resources, and then, as a result, increase the efficiency of its economic activities. The theoretical significance is in the fact that the provisions proposed and justified in this scientific research provide a set of system solutions to the scientific problem of optimizing the work with counterparties in the transport and logistics process implementation. The practical significance of the study is shown in the use of the developed tools in the work optimization process with counterparties in the multimodal transport implementation, as well as the justification of management decisions.
2 Materials and Methods Providing optimal conditions for the enterprise activities, it is necessary to take into account the influence of various entities on them. One of the transportation process entities is counterparties. In the context of this study, counterparties are understood as owners of various resources that have a direct impact on economic entities through resource dependence. One of the main conditions for the successful operation of enterprises is the timeliness and completeness of deliveries. In addition, the interaction of counterparties in the transport and logistics process may be influenced by other factors that are formed taking into account the industry specifics [1–4]. It is possible to determine the factors and the degree of their influence on the activity effectiveness on the basis of the organizational diagnostics methodology of V. A. Dolyatovsky with some adjustments proposed by a number of authors [5, 6]. The particular shortcomings that occur in the areas of the transport management system are reflected in the costs. These costs depend on the counterparties that interact with the enterprise. When optimizing the interaction of the transport and logistics process shortcoming, we consider it appropriate to use a morphological approach. We believe that it is necessary to assess the profitability of interaction between the transport and logistics process entities only using an integral indicator [7]. In turn, the profit included in the production costs, the increase in output volumes, quality, product range and other components in absolute terms do not have the characteristic of a cumulative interaction effect. In order to determine the economic efficiency, we suggest using a morphological approach. This approach was used in the various authors’
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works, including the authors of the given research [8–10]. We believe that the profitability assessment of the interaction between the transport and logistics process entities should be determined by the most informative indicators on the diagonal. Taking the designation C-capital; PM-profit; CP-cost; CV - traffic volume: PM CV CP PM = × × C CV CP C
(1)
The interaction optimization matrix of the transport and logistics process entities is presented in Fig. 1, which uses the following designations: profit by the interaction entities of the transportation process: PM, PM , PM ; interaction volumes of entities:CV, CV , CV ; cost of the transportation process on interac tion entities:CP, CP , CP ; capital on the transportation process interaction entities: C, C , C .
Fig. 1. Interaction indicator matrix between the three participants of the transport and logistics process
We introduce auxiliary designations: interaction profitability between the transport and logistics process entities of the 1st first interaction entity – PM C = λ; interaction profitability between the transport and logistics process entities of the 2nd second interaction entity –
PM C
= λ ; interaction profitability between the transport and logistics process
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entities of the 3rd third interaction entity –
PM C
= λ ; interaction indicator of the 1st
C and 2nd entities – C = β; interaction indicator of the 2nd and 3rd entities – PM = α. PM We will present the modified interaction optimization model of the transport and logistics process entities:
PM = C × λ × λ × λ × α × β
(2)
With the help of the presented model, it becomes possible to determine the greatest negative influence of the interaction entities on each other in the transport and logistics process.
3 Results The conducted research predetermined the requirements for the interaction optimization process of entities. The main purpose of the proposed model is to provide the most relevant information in a concise form to the enterprise management in order to promptly assess the current situation and make a competent management decision. It is important that the model uses a limited number of indicators formed on the basis of primary information about the enterprise activities. Based on the proposed algorithm, the manager will be given the opportunity to have a general idea of the current situation, as opposed to traditional schemes that are not able to generalize data. In addition, in most cases in traditional schemes errors are possible, which are very difficult to establish. In this regard, the large amount data pre-processing, using artificial intelligence, is of particular importance. This approach makes it possible to assess the main economic indicators for the interaction entities, determine the trends of their development, assess possible risks, and ultimately allow the management to predict the result of interaction between the transport and logistics process entities [9]. To assess the interaction of the transport and logistics process entities in this study framework, it is necessary to determine the objects characterized by certain parameters, their state, the change in this state occurring in the interaction process of the transport and logistics process entities, as well as to establish the risk of this interaction [11, 12]. We will establish the procedure for identifying objects to optimize the interaction of the transport and logistics processentities. At the initial stage, the interaction entities of the transport and logistics process are examined, their parameters and key indicators are studied. Next, we analyze how each entity interacts with other entities. Based on the results obtained and the identified problem areas, the interaction optimization objects of the transport and logistics process entities are established [13]. It is also possible to predict changes in the used indicators of interaction between the transport and logistics process entities in the future. Scenario modeling allows you to determine the value of the main indicators using the goal-setting process [10]. Modeling the interaction of the transport and logistics process entities is a real state representation of the interaction entities on the retrospective and predictive analysis basis, with the ability to assess the threats of the external and internal environment, as well as the risks of this interaction in order to develop and make the necessary management decisions.
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The main purpose of creating a model for optimizing the transport and logistics process entities interaction based on the factor method can be considered as the increase of the entities interaction resource and economic efficiency. The interaction optimization models of transport and logistics process entities are presented in Fig. 2. The first phase of the transport and logistics process entities interaction optimization is based on the goal choice for managing the entities interaction process, on determining and justifying the necessary parameters for achieving goals, indicators for assessing the level of threats and possible risks, establishing the available data reliability; determining the interaction boundaries between the transport and logistics process entities, monitoring political, social, economic, technological factors that affect the interaction of the transport and logistics process entities. At the second stage, the current situation is described; their analysis and assessment of the level of influence of various factors on the interaction of subjects of the transport and logistics process are carried out. The third phase involves the description of the resulting perturbing effects on the transport and logistics process entities interaction. The author analyzes the shortcomings in the problematic areas of interaction between the transport and logistics process entities. The fourth phase is based on the evaluation of the transport and logistics process entities interaction results. The effect (damage) of the interaction is determined. In the fifth phase, it is necessary to establish, analyze and develop options for interaction between the transport and logistics process entities. Projects of possible management decisions are developed. The sixth phase is in choosing the best option for control impact. The palette of earlier developed criteria is used. In the seventh phase, it is necessary to evaluate the effectiveness of the solution. The information obtained in the previous two stages allows us to identify the problem entities of interaction, as well as to assess the impact of these problem entities on the main activity results. During the eighth phase, recommendations are presented for making decisions on optimizing the interaction of the transport and logistics process entities. In the ninth phase, for improving the transport and logistics process entities interaction, the implementation of taken decisions is carried out. And in the final phase, the results of taken decisions are evaluated. We will list the tasks that can be solved using the model of optimizing the transport and logistics process entities interaction: providing assistance to the management of the entities interaction and their structural divisions in the current activities; the ability to evaluate and justify taken management decisions on the transport and logistics process entities interaction and others. The proposed model makes it possible to quickly and efficiently assess all aspects of the transport and logistics process entities interaction, identify problem areas, assess the degree of their influence on the process, and predict possible scenarios for the situation development.
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Selecting goals for managing the interaction process Selecting
Organizational diagnostics of the interaction entities
The current situation justification
Description of perturbing interactions
problem areas of the interaction
Shortcomings analysis of the problem area interactions
Evaluation of the work results
Selection of problematic interaction entities
Identification, analysis and development of action options
Selection of the best option for control impacts
The impact analysis on the main interaction efficiency indicators of entities
Evaluating the effectiveness of solutions
Recommendation development for decision-making on the interaction optimization of the transport and logistics process entities
Implementation of recommended solutions
Evaluation of results after solution implementation Economic impact
Fig. 2. The transport and logistics process entities interaction optimization model on the basis of the factor interaction model for achieving the maximum economic effect
Model for Optimizing the Interaction
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4 Discussion The presented model for optimizing the interaction of the transport and logistics process entities will enable transport enterprises to interact in transport hubs with more efficient logistics activities. Since already at the initial stage of interaction, each subject, on the basis of organizational diagnostics, will be able to make a choice of problem areas in their activities, and to analyze the shortcomings in the identified problem areas. Such an assessment of logistics systems is carried out according to specially developed criteria [14, 15]. Based on the results of the assessment, it becomes possible to choose the optimal logistics activity of the enterprise. This circumstance makes it possible to bring the enterprise to a qualitatively new level in the market, thanks to the efficiently functioning logistics system of the enterprise itself, but in the future, when interacting, the transport enterprise will already represent a certain link of the logistics system in the logistics chain. When transport enterprises interact in the logistics chain, each of them strives to obtain the greatest economic effect, but at the same time, each of the interacting entities in one or another way, affects each other’s profit. Naturally created logistics centers coordinating transport and logistics processes will not solve problems associated with cost compensation in the case of financial losses by the entities of interaction, but will implement coordinated measures to eliminate violations of various functional relationships that affect a certain level restoration of interaction benefits and forms, so that each entity could receive optimal profit interaction. Initially it is also considered that interaction does not imply any competition between the transport process entities, but it is based only on mutual cooperation. Therefore, it is proposed to identify the factor that makes a negative effect on the interaction entities activity on the interaction factor model implementation basis containing quantitative and qualitative economic indicators of the enterprise. The identified factor in one of the entities of interaction and negatively affecting the profit of other interacting entities must be optimized with the help of certain measures. As a result of optimization measures, economic indicators will be improved and it will be possible for each interacting entity to get the maximum economic effect. Further research in this area will address the issues of optimizing specific performance indicators for the interaction entities, for example, the profit optimization issues, obtained as a result of the transport and logistics process entities interaction.
5 Conclusion Ensuring optimal conditions for the transportation process entities interaction dictates the necessity to take into account the influence of various economic, political, social and technological factors on all participants in this interaction. In the context of this study, such subjects of interaction are counterparties, namely the of various types of resource owners that have a direct impact on the transport and logistics process. The model proposed by the authors for optimizing the transport and logistics process entities interaction reflects the procedure for making management decisions based on diagnostic analysis and a factor model. The conducted studies allow us to conclude that
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the proposed model is adaptive to any conditions in which the interaction entities function, it takes into account all stages of the life cycle, retrospective indicators and prospects of interaction between entities, taking into account the external and internal environment impact. The obtained results fully correspond to the research and professional objectives. The developed methodology for optimizing the transport and logistics process entities interaction includes a sequence of activities, such as: organizational diagnostics of the economic entities activities based on the problem area selection in the organization activities and the analysis of the shortcomings in these areas; selection of problem entities by analyzing the impact on the main performance indicators of the enterprise, taking into account the interaction factors; the interaction optimization model development of the transport and logistics process entities based on the model introduction of the factor interaction of maximum economic effect. It should be noted the importance of retaining the phased implementation of the proposed model. Timely and correctly used tools for optimizing the work with the transport process entities interaction allow not only to develop and apply relevant management solutions that make it possible to increase the economic results of all participants in the interaction, but also effectively use all available resources. The main purpose of the proposed model is the ability to quickly assess the current situation and make a competent management decision based on the available up-to-date information about the conditions of interaction between the entities participating in the transport and logistics process. The absolute advantage is that the model uses a limited number of indicators. Through the use of proposed algorithm, the manager will be given the opportunity to have a general idea of the current situation, as opposed to traditional schemes that are not able to generalize data. Solving the problem of interaction between the transport process entities will make it possible to achieve the most efficient use of resources and increase the economic activity efficiency. Amongst other things, it becomes possible to determine the greatest negative influence of entities on each other in the interaction process on the basis of the presented optimization model. Thus, the practice of solving the problems of interaction between the transport and logistics process entities in order to optimize their activities, taking into account the interaction factors and choosing the best interaction option, will make it possible to achieve the most effective use of the organization’s resources, and further, as a result of improving its economic activity efficiency.
References 1. Chislov, O., Zadorozhniy, V., Lomash, D., Chebotareva, E., Solop, I., Bogachev, T.: Methodological bases of modeling and optimization of transport processes in the interaction of railways and maritime transport. In: Macioszek, E., Sierpi´nski, G. (eds.) Modern Traffic Engineering in the System Approach to the Development of Traffic Networks, vol. 1083, pp. 79–89. Springer, Cham (2019). https://doi.org/10.1007/978-3-030-34069-8_7 2. Chislov, O., Bogachev, V., Zadorozhniy, V., Demchenko, O., Khan, V., Bogachev, T.: Modeling of the rail freight traffic by the method of economic-geographical delimitation in the region of the South-Easter Coast of the Baltic Sea. Transp. Probl. 14, 77–88 (2020)
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3. Kravets, A., et al.: Multimodal freight transportation based on multicriteria optimization by time indicators. In: Peer-review Statement: Peer-review Under Responsibility of the Scientific Committee of the Trans Siberia 2020. Conference Trans Siberia (2020) 4. Nechaev, A., Skorobogatova, Y., Nechaeva, M.: Toolkit for the transportation and logistics infrastructure. In: Peer-review Statement: Peer-review Under Responsibility of the Scientific Committee of the Trans Siberia 2020. Conference Trans Siberia (2020) 5. Elchaninova, O.V., Ripoll-Saragosi, L.G., Poliakova, I.A., Abazieva, K.G., Goncharova, S.N.: Accounting and analytical support for the development of foreign trade. In: Bogoviz, A.V. (ed.) The Challenge of Sustainability in Agricultural Systems. Lecture Notes in Networks and Systems, vol. 205, pp. 615–623. Springer, Cham (2021). https://doi.org/10.1007/978-3030-73097-0_75 6. Zigunova, A., Shevkunov, N.: Enterprise’s investment policy in the system of ensuring economic security of transport. IOP Conf. Ser.: Mat. Sci. Eng. 918(1), 012221 (2020). https:// doi.org/10.1088/1757-899X/918/1/012221 7. Kuzina, E.E., Vasilenko, M.A., Drozdov, N.A., Magomedov, S.S., Vasilenko, E.A., Shlykov, E.E.: Extra-transport effect in the choice of methods for assessing transport competitiveness. In: European Proceedings of Social and Behavioural Sciences (EpSBS), pp. 2585–2593 (2020) 8. Makeev, V., Isaev, A., Kulikov, S., Stratan, D., Shevkunov, N.: Modeling and assessing the effectiveness of investment projects in the agricultural sector. IOP Conf. Ser.: Earth Environ. Sci. 403(1), 012077 (2019) 9. Shevkunov, N.O., Zhigunova, A.V., Shevkunova, A.V.: Modeling parameters of the production project. IOP Conf. Ser.: Mat. Sci. Eng. 560(1), 012043 (2019) 10. Kostoglotov, A., Lazarenko, S., Pugachev, I., Yachmenov, A.: Synthesis of intelligent discrete algorithms for estimation with model adaptation based on the combined maximum principle. In: Abraham, A., Kovalev, S., Tarassov, V., Snasel, V., Sukhanov, A. (eds.) IITI’18 2018. AISC, vol. 874, pp. 116–124. Springer, Cham (2019). https://doi.org/10.1007/978-3-03001818-4_12 11. Kolesnikov, M.V., Lyabakh, N.N., Mamaev, E.A., Bakalov, M.V.: Efficient and secure logistics transportation system. IOP Conf. Ser.: Mat. Sci. and Eng. 918(1), 012031 (2020). https://doi. org/10.1088/1757-899X/918/1/012031 12. Kurtulu¸s, E., Çetin, I.B.: Analysis of modal shift potential towards intermodal transportation in short-distance inland container transport. Transp. Policy 89, 24–37 (2020). https://doi.org/ 10.1016/j.tranpol.2020.01.017 13. Mamaev, E.A., Kovaleva, N.A., Khashev, A.I., Mulenko, O.V.: Imitation and analytical approaches to assessment of condition and modeling of city transport system nodes. IOP Conf. Ser.: Mat. Sci. Eng. 786(1), 012086 (2020). https://doi.org/10.1088/1757-899X/786/1/ 012086 14. Komashinskiy, V., Malygin, I., Korolev, O.: Introduction into cognitive multimodal transportation systems. In: Peer-review Under Responsibility of the Scientific Committee of the XIV International Conference 2020 «SPbGASU» Organization and Safety of Traffic in Large Cities XIV International Conference 202.0 SPbGASU (2020) 15. Mishkurov, P., Fridrikhson, O., Lukyanov, V., Kornilov, S., Say, V.: Simulated transport and logistics model of a mining enterprise. Peer-review statement: Peer-review under responsibility of the scientific committee of the Trans Siberia 2020. Conference Trans Siberia (2020)
Formation of the Unified System Classification of Railway Junctions Vladimir Khan(B) Rostov State Transport University, 2, Rostovskogo Strelkovogo Polka Narodnogo Opolcheniya Sq., Rostov-on-Don 344038, Russia
Abstract. The principles of formation and the existing multi-level classification of railway junctions with a predominant geometric component are investigated. The visualization of the junction infrastructure, which describes the geometric configuration of the railway junction scheme in the form of a planar connected graph has been presented. Probabilistic models have been formed to quantify the transport organization level and technological processes and to determine the rationality of the intra-node connections structure. The mathematical basis of the method for calculating infrastructure indicators of transport work has been developed. A unified system classification, based on the criteria for evaluating the nodal structures and their work has been proposed, which will allow finding the most favorable conditions and promising ways for further development of the railway infrastructure. Keywords: Junction · Research algorithm · Junction infrastructure · Marshalling yard · Stages · Operational reliability · Probabilistic model · Organization level · Classification features · Transport work · Point rating · Junction classes
1 Introduction Throughout its existence, rail transport has been the driver of economic development and the foundation for ensuring the country’s defense capability as well as social stability. The main elements in the organization of train traffic are considered to be railway stations and hubs, which in turn represent the result of infrastructure and transport integration. The science of railway stations and junctions classifies them according to the parameters described in Fig. 1. The combination of factors that take place in modern conditions of transport operation results in the unification of specialized stations that operate on the same technology, but do not have the characteristics of a single integrated system. As a result, there is an irrational transfer of train flows, development without a clear, detailed plan, there are no bypasses of junctions, connecting lines that would ensure the progress of transit freight trains and high-speed passenger trains without delays due to the congestion of existing facilities or unforeseen circumstances. The classification of junctions according to the most common method using the geometric outline of the elements placement and connecting links within the junction does not take into account such important aspects as: the technology of the stations included © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1518–1526, 2022. https://doi.org/10.1007/978-3-030-96380-4_167
Formation of the Unified System Classification
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Classificaon features of railway juncons
By management system
United Separate With small and medium-sized cies
By the size of the locality
With big cies With major cies With super-large cies Overland
By geographical locaon
On the shores of the seas On the banks of navigable rivers On lakes and arficial reservoirs Transit with a small amount of sorng work without tracon service (passing through)
By the nature of the operaonal work
Transit with a small volume of sorng work with a large local work and transit traffic (final) Transshipment Reloading Industrial In areas with local industry
By the nature of the producve forces
In areas with a large mining industry In areas with manufacturing industries With one staon Cruciform Triangular With parallel staon arragement
By geometric outline
With sequenal staon arragement Radial Deadlock Annular Radial-semi-annular Combined
Fig. 1. Classification characteristics of railway junctions
in the objects under consideration, the direction of train flows, the characteristics of passenger and freight trains, the presence or absence of interaction with various types of transport, the maintenance of access roads of industrial enterprises, the convenience of services provided to the population, the organization of transport and technological
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systems of the junction, the lack of reliability and accuracy in the methods of forecasting future traffic volumes, the prospect of automation and the introduction of modern management systems, the environmental factor. 1.1 Literature Review The Russian experience in the design and development of general plans for railway junctions was formed thanks to the great work that was done by scientists, researchers and architects of research organizations, design institutes and higher educational institutions. A number of works are devoted to the substantiation and development of the theoretical basis for methods of transport infrastructure integrated assessment and the results of the railway elements activities [1–3]. At the moment, a significant proportion of the junctions are located in conditions of tightness due to dense urban development. The choice of the best mode of transportation, the routing of cargo flows, the distribution of wagons, the optimization of the structure and transport hubs production resources capacity are important factors in the reconstruction and development of hubs [4–7]. The development of scheme solutions for railway junctions in Europe contributed to the formation of foreign experience in designing junctions and stations [8–10]. Recent studies on reducing train delays in case of service disruption at railway junctions [11], rational use of production capacities [12], analysis of the railway stations design and determination of capacity [13–15] indicate the relevance of the paper topic.
2 Materials and Methods Any railway or transport hub is a unique combination of transport and technological elements. The division of railway junctions according to the geometric configuration and the specifics of operational work is not without drawbacks and is controversial, it does not always reflect the current trends in the development of transport and warehouse complexes and terminals, high-speed traffic, the presence of port stations in them and various forms of interaction with other modes of transport. The development of schemes of railway and transport hubs should be carried out with taking into account a number of requirements: the formation of a feasibility study of the project, compliance with design standards, work safety, environmental and sanitaryhygienic regulations, ensuring high quality and convenience of public services, the possibility of further long-term development. These requirements depend on the initial design and operating conditions. It is worth noting the factors that cause difficulties in solving problems of optimal transport organization and technological processes as well as the classification of railway junction structures (Fig. 2). Visualizing a railway junction structure is a complex task that requires many factors to be taken into account. Graph theory makes it possible to represent the geometric scheme of a junction in a convenient and visual format in the form of a planar connected graph G = {X, U}, where X is the stations that are part of the junction, X ∈ {X1, X2, X3… Xn}; U is the stages connecting the stations, U ∈ {(X1; X2), (X2; X3)… (Xn −
Formation of the Unified System Classification
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Features in the organizaon of transport and technological processes and classificaon of railway juncons Mulvariate schemes and ambiguity classificaon features
Many opons for juncon schemes Uniqueness of juncon scheme "Blurring" of classificaon features
Complexity of management structures
Diversity of management objects "Force majeure" and the human factor Mul-level structures Implicit manifestaon of relaonships
Complexity of the mathemacal descripon
Mulple parameters and constraints Implicit funcon assignment Weakly opmized soluons Errors in development forecasts
Feature of transport work
Variety of transport processes Market compeon Interacon with other transport systems Operator's fleet of rolling stock Mulvariance of performance indicators Probabilisc nature of processes
Infrastructure and technological violaons
Insufficient bandwidth Insufficient processing capacity Infrastructure violaons (insufficient development of ways, outdated transport management systems, etc.)
The remoteness of the results of prospecve technological development
High-speed lines Mulmodal transportaon Informaon and logiscs support Terminal cargo distribuon New transport management and organizaon systems
Fig. 2. Features of the transport organization and technological processes and classification of railway junctions
1; Xn)}. When performing calculations, a square adjacency matrix A = [aij] is formed for the graph. The cells of the aij matrix take the values 0 or 1, depending on whether there is a direct connection between the junction stations in question. The operational reliability of the connecting links of a junction is proposed to be evaluated using graph theory and probability theory, depending on the type of elements
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(stations) connections that are serial or parallel. In this case, the graph of a railway junction describes the type of hub connections, and the probability theory describes the reliability of the structure and operation. Probabilistic models of hub infrastructures are formed to assess the organization of processes occurring in a junction. The level of organization of transport and technological processes of a railway junction: R=1−
H Hmax
(1)
where H is the uncertainty of processes with the existing volume of work and its organization; Hmax – the maximum possible uncertainty of the processes. The R level of organization makes it possible to evaluate the rationality and compare systems with different structural and functional features. In assessing the structures and railway junctions organization levels, it is necessary to transfer from a multi-level to a single system classification. A method for evaluating the infrastructure indicators of railway junctions in the form of a class system using a point rating is proposed. The performance of railway junctions is evaluated using the developed system of indicators: – transport capacity: N · L train · km , T 24−hour where is the train flow of the junction, train/day; L-mileage on the junction sections, km. – the size of the transport action: R(t) =
R∗ (t) = N · L · V =
N · L2 train · kmM2 , T 24−hour · h
(2)
(3)
where V is the local speed, km/h. – the time dimension of the movement: M (t) =
N · L train · h , V 24−hour
(4)
– average weighted value of the class: (5) where n is the number of stations in the junction; i is the class of stations that are part of the junction. The unified classification is based on the comparative characteristics of the described indicators using the decision-making theory. The sequence of studying the railway junctions structure, assessing the level of transport organization and technological processes occurring in them is shown in Fig. 3.
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Scheme of the railway junction. Sampling of transport work indicators and junction infrastructure
Compliance of junction with the specified operating criteria
yes
no Formation of graph, matrix of connections, probabilistic models of railway junction
To print scheme
Calculation of the entropy (H) and level of organization (R) of railway junction
Analysis of the parameters of railway structures (formation of junction class)
Development of directions for improving structure of railway junction
Fig. 3. Sequence of the junction structures study
3 Results We will analyze the practical implementation of the railway junction structures research methods described in the previous section. The visualization of railway junctions is made in the form of graphs. The results of the transport and technological processes of the initial railway junctions calculations of the organization levels values are summarized in Table 1. Table 1. List of junction organization levels calculation Junction
H max
H
R
Bataysk (B)
2.81
0.05
0.982
Gudermess (Gu)
3.7
0.07
0.980
Caucasus (C)
3.46
0.08
0.977
Likhovskoy (L)
3.17
0.08
0.975
Prokhladniy (P)
3.58
0.09
0.974
Tikhoretsk (T)
2.81
0.08
0.971
Mineralnie Vodi (M)
3.32
0.10
0.970
Rostov (R)
3.32
0.12
0.963
Timashevsk (Tm)
3,32
0.15
0.954
Makhachkala (Mch)
2.58
0.14
0.946
Novorossiysk (N)
2
0.11
0.945
Belorechensk (Bch)
3.32
0.2
0.941 (continued)
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V. Khan Table 1. (continued) Junction
H max
H
R
Crimea (Cr)
3.58
0.26
0.927
Sochi (S)
3
0.44
0.852
Taganrog (Tg)
3
0.45
0.851
Tuapse (Tu)
2.58
0.5
0.805
Krasnodar (K)
3.17
0.85
0.733
Table 1 shows that the level of the organization varies from 0.733 to 0.982. The proposed unified classification uses a complex dynamic criterion for evaluating railway junctions. Criteria for evaluating the dynamic rating of a railway junction: (6) where HW, P, G (mod) is the point rating determined by the Hurwitz, works, and Hermeyer criteria; n1, n2, n3 - coefficients that take into account the impact of each decision-making criteria on the final score rating. The resulting junction evaluation criteria are summarized in Table 2. Table 2. List of dynamic criterion values Junction
G(mod)
HW
P
The rating point
L
100
61
44
64
B
59
56
44
53
K
63
60
35
51
C
62
57
33
49
T
64
38
23
38
R
49
42
27
38
Cr
31
46
23
32
Tu
37
56
16
32
Tm
28
47
25
32
M
35
34
25
31
Tg
16
29
17
20
Bch
16
25
16
18
S
11
29
15
17
N
6
41
8
13 (continued)
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Table 2. (continued) Junction
G(mod)
P
3
HW
P
The rating point
38
12
11
Gu
4
42
8
11
Mch
1
27
8
6
According to the results of calculations, the highest point rating is given to railway junctions that include marshalling yards (Likhaya, Bataysk, Krasnodar).
4 Discussion The proposed unified dynamic classification system of railway junctions includes 5 classes, in which the final class of the junction K depends on a number of indicators of the subclasses K = k1, k2, … , kn. According to the point rating results analysis of the 17 junctions having been under consideration: 7 junctions belong to class V, 6 junctions – class IV, 3 junctions (B, K, Z) – class III, one junction (L) – class II. There are no Class I junctions in the sample of the studied ones. The largest railway junctions, such as the Moscow one, will belong to Class I junctions. Based on the analysis of the source junctions and the definition of their classes, a detailed description of each class is compiled (Table 3). Table 3. Distinguishing features of railway junction classes Class
Name
Role of junction in transport process
Role of marshalling yard
I
Largest
Federal designation, international transport links, located in major cities
Junction includes several network marshalling yards
II
Large (first type)
Network junctions located on the main trunk lines
Network or regional marshalling yard
III
Large (second type)
Network junctions serve industrial centers
Regional marshalling yard
IV
Middle
Junctions in areas of mining (manufacturing) industry
Industrial marshalling yard
V
Small
Junctions of low-activity lines Distribution station
The presented scientific method of evaluating the indicators of railway junctions serves as a basis for classifying heterogeneous junction structures, finding conditions for the rational development of junctions by determining the busiest sections. This will make it possible to make a decision on the construction of new transport links of the hub infrastructure to increase the train traffic.
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V. Khan
Acknowledgments. The reported study was funded by RFBR, Sirius University of Science and Technology, JSC Russian Railways and Educational Fund «Talent and success», project number 2038-51014.
References 1. Chislov, O.N., Bogachev, V.A., Zadorozhniy, V.M., et al.: Modelling of the rail freight traffic by the method of economic-geographical delimitation in the region of the South-Easter Coast of the Baltic Sea. Transp. Probl. 14(2), 77–87 (2019) 2. Chislov, O., Zadorozhniy, V., Lomash, D., Chebotareva, E., Solop, I., Bogachev, T.: Methodological bases of modeling and optimization of transport processes in the interaction of railways and maritime transport. In: Macioszek, E., Sierpi´nski, G. (eds.) TSTP 2019. AISC, vol. 1083, pp. 79–89. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-34069-8_7 3. Chislov, O.N., Zadorozhniy, V.M., Bogachev, T.V., Kravets, A.S., Egorova, I.N., Bogachev, V.A.: Time parameters optimization of the export grain traffic in the port railway transport technology system. Smart Green Sol. Transp. Syst. 1091, 126–137 (2020) 4. Combes, F., Tavasszy, L.A.: Inventory theory, mode choice and network structure in freight transport. Eur. J. Transp. Infrastruct. Res. 16(1), 38–52 (2016) 5. Zhang, Y.Z., Wang, J.Q., Hu, Z.A.: Optimization model of transportation product selection for railway express freight. J. Eng. Sci. Tech. Rev. 9(5), 104–110 (2016) 6. Naumov, V., Nagornyi, I., Litvinova, Y.: Model of multimodal transport node functioning. Arch. Transp. 4, 43–54 (2015) 7. Shander, O., et al.: Improving the technology of freight car fleet management of operator company. Proc. Comp. Sci. 149, 50–56 (2019). https://doi.org/10.1016/j.procs.2019.01.106 8. Jacyna, M.: Cargo flow distribution on the transportation network of the national logistic system. Int. J. Log. Syst. Manag. 15(2–3), 197–218 (2013) 9. Luptak, V., Lizbetin, J., Bartuska, L.: A case study of the evaluation of the quality of connections on the railway transport network in the South Bohemian Region. Transp. Res. Proc. 53, 66–71 (2021). https://doi.org/10.1016/j.trpro.2021.02.009 10. Cuppi, F., Vignali, V., et al.: High density European Rail Traffic Management System (HDERTMS) for urban railway nodes: the case study of Rome. J. Rail Transp. Plan. Manag. 17, 100232 (2021). https://doi.org/10.1016/j.jrtpm.2020.100232 11. Yun, B., Tinkin, H., Baohua, M.: Train control to reduce delays upon service disturbances at railway junctions. J. Transp. Syst. Eng. Inform. Technol. 11(5), 114–122 (2011). https://doi. org/10.1016/S1570-6672(10)60147-X 12. Armstrong, J., Preston, J.: Capacity utilisation and performance at railway stations. J. Rail Transp. Plan. Manag. 7(3), 187–205 (2017). https://doi.org/10.1016/j.jrtpm.2017.08.003 13. Jensen, L.W., Schmidt, M., Nielsen, O.A.: Determination of infrastructure capacity in railway networks without the need for a fixed timetable. Transp. Res. Part C Emerg. Technol. 119, 102751 (2020). https://doi.org/10.1016/j.trc.2020.102751 14. Mussone, L., Calvo, R.: An analytical approach to calculate the capacity of a railway system. Eur. J. Oper. Res. 228(11), 11–23 (2013). https://doi.org/10.1016/j.ejor.2012.12.027 15. Jovanovic, P., Pavlovic, N., Belosevic, I., Milinkovic, S.: Graph coloring-based approach for railway station design analysis and capacity determination. Eur. J. Oper. Res. 287(1), 348–360 (2020). https://doi.org/10.1016/j.ejor.2020.04.057
Modern Approaches to Improve the Customer Service System in the Transportation Process Natalya Magomedova(B)
and Natalia Korenyakina
Rostov State Transport University, 2, sq. Rostovskogo Strelkovogo Polka Narodnogo Opolchenia sq, Rostov-on-Don 344038, Russia
Abstract. Modern approaches to improving work with clients in the transportation process are proposed, this allows improving the quality of service in the entire field of activity of both railway transport and other types of transport. Business entities are considered, the main goal of these business entities is to meet all the needs of the market demand for transportation, by increasing the efficiency of the entire transport system as a whole. Keywords: Transportation process · Client · Transport services · Consignor · Consignee · Transport · Railway · Enterprises · Customer focus · Interaction · Information technology · System
1 Introduction The problem of improving of the work with customers in the transportation process is topical in modern conditions of the functioning of railway transport, and its interaction with other modes of transport. The customer service system includes a full range of services, which indirectly affects the technological, organizational and economic aspects of the interaction of both transport companies and their clientele that reduce the time for the process of approving documents issued for the transportation of goods, while waiting for the end of the transshipment process at transport hubs and timely delivery of cargo to the consignee without increasing the time interval for waiting for the cargo. As a result, an unsettled transport process leads to an increase in the operating costs of transport companies and an increase in the unplanned costs of entities, namely, consignors and consignees involved in the transport process. Analysis of scientific literature on the topic under consideration showed that theoretical aspects of improving of the work with clients in the transportation process fell into the field of scientific research of such scientists as: Chislov O.N., Mamaev E.A., Zubkov V.N., Makeev V.A. BUT. and other. Improving the efficiency of railways and the level of competitiveness in the transport market is possible through changes in relations with customers.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1527–1535, 2022. https://doi.org/10.1007/978-3-030-96380-4_168
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2 Customer Focus in the Transportation Process Customer focus means interacting with potential customers, i.e. the interaction with product manufacturers who depend on the supply of raw materials, as well as on the supply of their final product as a whole to the sales markets. In this part, it is necessary to strive for the organization of a full range of logistics services. This includes improving of the comfort and speed of movement in all types of communication including multimodal transport [1]. An important aspect of customer-oriented technologies is the quality and maximum availability of the services offered to users of railway transport services. In the field of freight transport, it is possible to transfer cargo from various types of transport to rail. This applies to a greater extent to mass types of cargo since it is necessary to take into account the volume of traffic, as well as the planned period. This can be both seasonal and year-round transportation. When implementing direct mixed connection, there is a need to create new logistics products. Rail transport is the main mode of transport when interacting with road, water and air. Competition promotes structural changes in production that significantly change the nature and volume of demand for transport services, the formation of a new worldview, primarily in the field of direct interaction with shippers. When transporting bulk types of cargo, the possibility of moving goods is carried out to a greater extent only by rail. The basis for calculating the fees includes the shortest transportation distance over which the delivery time is determined, based on the route of the cargo. Automated systems with new technologies are used to calculate the shortest transportation distance and freight charges. The abovementioned requires special attention when forming cargo shipments through the interaction of various outsourcing enterprises (internal, external). For freight forwarding services, a working group is created for which through rates are developed, which depend on the projected volume, scale of transportation, and the range of goods. The database contains information on loaded and empty wagons and containers by directions of their movement. Improving of the quality of interaction between transport companies and, as a result, the result of optimizing of the interaction with the clientele of the transport process correspondingly, is possible on the basis of a single digital space. The economic efficiency of the implementation of various information projects can be expressed in the positive dynamics of the operational indicators of the work of railway stations in interaction with ports and road transport enterprises. As for the clientele of the transportation process, they get the effect of reducing the time spent by the cargo in transport hubs when carrying out loading and unloading operations with it, improving the quality of service, and reducing of the costs of the destination. The creation of such conditions is aimed at improving the quality of forecasting and planning, minimizing unproductive losses of railway stations and port terminals, reducing the downtime of the fleet and transshipment equipment due to the misuse of the station and port infrastructure. New information technologies were developed and implemented, which made it possible to achieve optimal rhythm in the process of promotion and uniformity of loading of terminals at the point of repayment of the flow of goods either at the station or in the port, as well as to increase the flow of customers using the services of the transportation process of transport enterprises [2, 3].
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It is necessary to create a space that increases interest in railways and, to a greater extent; it concerns the Russian Railways for clients using the services of the carrier and the owner of the infrastructure. Continuous increasing interest will give prospects for creating the necessary conditions that will allow shippers and consignees to look for solutions to choose the most effective conditions when choosing a scheme for the transportation of goods. The program for improving the system by the transportation process is envisaged until 2030. To improve the transportation process in the organization of traffic, and especially, in the organization of interaction with customers (shippers, forwarders, customs officers, transshipment points, etc.) for the implementation of cargo transportation, it is necessary to choose the most relevant strategy for the development of the center of transport service, which in the long term should lead to the set goal of the organization, namely making a profit [4, 5]. Open Joint Stock Company “Russian Railways” is one of the largest railway companies in the world with broad capabilities and enormous potential, with large volumes of freight and passenger traffic. The company’s functions are based on increasing the attractiveness and creating conditions that satisfy the quality of services and the efficiency of the entire transport system, including international directions. The goal of the company is to fulfill all the needs aimed at providing services to individuals and legal entities when using the railway transport infrastructure in order to obtain maximum benefits. Russian Railways currently carries over 1.3 billion passengers and 1.3 billion tons of cargo per year. Russian Railways employs about 600,000 people. The company’s strategy is as follows: – – – – – – – –
expansion of the area of the transport business; expanding the scope of services; maximum use of digital technologies and new methods of work; increasing the economic activity of an economic entity; reduction of downtime of local wagons under loading, unloading; improving of the quality of work and ensuring the safety of the transportation process; expansion of the Euro-Asian system; increasing of the economic efficiency and financial flexibility.
The founder of JSC “Russian Railways” is the Russian Federation. The sole shareholder of Russian Railways is the Russian Federation. On behalf of the Russian Federation, the powers of a shareholder are exercised by the Government of the Russian Federation. The work of Territorial branches of the corporate transport service covers all aspects of marketing activities, the idea of the technology and directions of which makes it possible to obtain a complex that combines five logically interconnected functional blocks: – analytical, including the analyzed objects: the market of transport services. including infrastructure, contractors, intermediaries, transportation process (direction, route scheme, freight charges and fees, quality of service);
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– production, performing the following main functions: offering new services in the transportation process using digital technologies, expanding production and improving quality; – sales; allowing to improve the pricing policy and marketing tactics with a developed sales system and high-quality service to counterparties; – forming with functions: identifying demand for transportation, sales promotion; – management and control with functions: organization of transportation planning, information support of management, communication support of marketing, organization of marketing control [6, 7]. Territorial branches of the corporate transport service offers its clients services for the formation of routes from bulk types of cargo. Promotion of compositions according to the established schedule according to a separately developed traffic schedule. To attract customers, it is necessary to conduct seminars, exhibitions at which it will be possible to visually present all the services offered. Clients are interested in giving them the right to choose individual elements included in the list of required services. An analysis of the activities of economic entities shows which cost elements should be paid attention to. The technology of the territorial branches of the corporate transport service operation allows attracting most of the customers to the transport market through advertising activities, which are widely used today [8, 9]. In 2017, the North Caucasian Railway launched the implementation of the project “Development of a unified information service center for freight traffic” designed to serve customers of railway transport. This project allows you to serve clients at a distance, regardless of location, reducing the time to coordinate all issues. Railway transport is a highly efficient segment of the country’s national economy, providing timely and high-quality transportation of passengers and cargo, effectively using rolling stock, technical means and complex infrastructure, introducing new technologies. [10] Independently developing its technical base by earning profit and income from transportation. Transport plays an important role in ensuring the timely delivery of goods and passengers to their destination and on time. This is especially true for water and automobile transport. The main role is played by the volumes of transported goods. The dynamics of volume growth allows expanding of the trajectory of transportation and movement of goods both within the network and outside it. Door-to-door delivery is a key link in a single digital platform [11].
3 Results The specifics of the operation of the North Caucasian railway, first of all, are due to the organization of the movement of export flows in the direction of the ports of the AzovBlack Sea basin. In the structure of total unloading on the road, the share of wagons unloaded in our ports is more than 70%. And the dynamics of the last 10 years shows a steady growth in the transportation of export cargo and, accordingly, the growth of the client base in need of cargo transportation.
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In order to improve the situation in the problem area of interaction of all participants in the transportation process, new information technologies were developed and introduced, these new technologies were named “Road Information and Logistics System” (hereinafter RILS). The main functions of the “Road Information and Logistics System” include: – making forecasts for the movement of goods along the network, building plans for delivering goods to the road, including the layover of a part of trains with temporarily unclaimed goods and the lifting of abandoned trains, as well as monitoring the implementation of plans; – organization of control over the shipment and receipt of goods on the road to the address of the port station; – drawing up plans for unloading, and monitoring the activities of port stations; – organization of operational and analytical accounting for work, according to the indicators of the fulfillment of the train supply plan, the formation of analytical reporting. “Road information and logistics system” allows you to automatically generate: – plans for the supply of trains to port stations; – assignments to loading stations with the establishment of the exact time of departure on a given route; – the task to reorganize the flow through the marshalling yards; – task for the advancement of trains (in relation to a specific line of the schedule) to the dispatching office; – task for unloading to port stations. The introduction of RILS on the North Caucasian Railway will provide an opportunity for a unified digital control of cargo flows between port stations and the port and, accordingly, an increase in the scale of the clientele in the transportation process. At the end of 2019, the following were already connected to the RILS circuit: Novorossiysk Commercial Sea Port, Rostov Port, Tuapse Commercial Sea Port and CJSC “Sea Port of Taman” (Vyshetebliyevskaya station) The development of the logistics management is reflected in today’s numbers of port operations. Along with an increase in unloading, in the past year all major ports have renewed their historical highs. Novorossiysk in January 2019 reached the level of 2,043 wagons per day, Tuapse - 688 wagons (maximum unloading in November 2019 - 1,042 wagons), Vyshesteblievskaya - 469 wagons (maximum in March 2019 - 1,040 wagons), Grushevaya - 350 wagons (maximum in May 2019 - 630 cars). Let’s imagine the development of logistics management based on the analysis of port activities presented in Fig. 1 Considering the abovementioned facts, it can be assumed that in the future, RILS should turn into a self-learning system with artificial intelligence. Therefore, the experience of the North Caucasian railway can be further replicated across the entire railway network.
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wagons
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2500 2000 1500 1000 500 0
2018 year 2019 year
Fig. 1. Analysis of the activity of ports for unloading wagons
The next direction in the development of information interaction between port stations and ports is to ensure further information exchange based on the development of a draft technical solution for connecting the automated system “Cargo Management” in the port to the “Automated local work management system” of JSC Russian Railways in the “ACS-ACS (automatic control system)” mode. This is necessary to ensure the transportation of increasing volumes of goods and is the introduction of a new concept of logistics management on the railway. One of the main elements of this concept is the organization of information interaction between Russian Railways and terminal operators. This increases the quality of planning, minimizes unproductive losses of the station and the port, downtime of the fleet, downtime of transshipment equipment due to inappropriate occupation of the station infrastructure, “abandonment” of wagons on public tracks. At the moment, the railway, and in particular the station, and the port “speak a different language.” The railway controls the movement of trains to the port, and the port requires cargo of a certain nomenclature, brand and assortment. For example, for the railway “coal” is simply “coal”, and for the port “coal” is DG coal (long-flame fraction 50–100 mm), DG coal (long-flame, fraction 25–50 mm), coal (lean, fraction 50–100 mm), etc. As a result, the existing methodology for managing the supply of goods to ports does not meet the requirements of consignees and the port in terms of optimizing the forms and methods of service. It is necessary to move from the practice of managing trains traveling to the port, which has developed over the years, to the management of cargo flows, taking into account the brands of cargo. Interaction between Russian Railways and the port is capable of improving the dispatching of car traffic to the port, eliminating the accepted methodology for regulating the movement of goods, introducing convection restrictions, and logical control. Innovative in this project is the automatic planning module, which is being developed by «CITTRANS» company within the framework of a typical Road Information Logistics System. Taking into account the fact that over the past ten years the nomenclature of goods arriving at ports has increased significantly, and a division into assortments has appeared within the nomenclature, the task of drawing up a delivery plan taking into account the assortment position comes to the fore. Taking into account the volume of this task,
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its solution in manual mode is enlarged, which affects the quality of supplying of the required assortment to the ports. The created module is designed to solve this problem. The creation of the Unified Information and Service Center for Freight Transportation made it possible to simplify the access of existing customers to the services and infrastructure of Russian Railways, as well as to attract new customers to railway transport [1, 12]. In 2018, 15 thousand new clients were registered - legal entities who applied for cargo transportation. An analysis of the subject matter of complaints regarding cargo transportation showed that more than 14% of them are claims and complaints. Therefore, given the significant volume of customer inquiries, it is necessary to use a systematic approach to handling complaints. This approach allows you to increase the efficiency of interaction with customers, as well as improve the quality of the service provided. In 2018, work was carried out to involve the involved regional directorates in the processing of incoming customer requests. This task is solved on the basis of regular monitoring of the situation and prompt intervention when customers contact the Unified Information and Service Center for Freight Transportation. For this purpose, workplaces of responsible employees of regional directorates (Territorial branches of the corporate transport service, single support service of the Information Computer Center of the Railway Administration, JSC Russian Railways Logistics, foreman, shipping service, chief of service, locomotive department, PJSC Trans Container) were connected to the automated system for processing customer requests (AS OOK), and complaints management system.
4 Discussion The main role in serving customers in any transportation process is played by an economic entity providing infrastructure services aimed at meeting all needs, taking into account the interests of all parties. It should also be noted that various types of transport are involved in interaction with counterparties [13]. The corporate transport service system is one of the economic entities involved in promoting the relationship between the carrier and the owners of the infrastructure. The procedure for regulating all issues arising in the process of coordinating applications submitted by the client to the carrier is based on the regulatory framework. The owner of the railway infrastructure must provide the infrastructure based on the requirements of the carrier. The procedure for servicing non-public tracks is governed by an agreement concluded between the carrier and the owner of a non-public railway track. To a greater extent, when concluding a contract, customer focus plays a role. The interaction of various structures of the transport process should be based on a single technology that allows you to get the maximum benefit from the implementation of all the proposed services to improve the activities of enterprises, both internal and external. Automation in the transportation process reduces the time costs associated with the transmission of information over long distances. Registration of shipping documents, calculation of the tariff for the carriage of goods is possible with the help of new additional services offering their services. The transport services market is full of diversity, so it
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is necessary to first of all study the conjuncture. Services should include maximum opportunities for expanding the market for the sale of goods and services. You can add ancillary activities that will give you the opportunity to make a profit and income. Pay special attention to mass types of cargo presented by routes or groups of cars. Each client should have an individual approach, for this it is appropriate to keep statistics and analysis for each shipper, consignee. The final aspect of the interaction reflecting the optimization moments in the work of the transport hub is the economic aspect, expressed in the effectiveness of the result obtained. The information aspect today is the most important aspect of interaction, since all over the world there is a trend to introduce the latest information technologies, which is accordingly reflected in our Russian transport hubs. Developed and implemented new information technologies have made it possible to achieve optimal rhythm in the process of promotion and uniformity of loading of terminals at the point of repayment of the flow of goods either at the station or in the port. The ineffectiveness of the interaction of water and railway enterprises, namely the inefficiency of the information and technological aspects of interaction in the transport hub, are expressed in excess of the standard idle time of the wagons. Consequently, the introduction of updated information technologies is associated with the need to organize a single information field that guarantees the relevance, integrity and consistency of information that will be used to make the necessary management decisions by all parties participating in the transportation process, taking into account that each of the participants has its own automated system. [14] This interaction of rail and water transport on the basis of the presented information system will make it possible to increase the profitability of both the port station and the port, saving the port station from idle time of loaded trains, while the port is free of cargo ships and, accordingly, increase the clientele of the transportation process due to the quality of the provision of infrastructure maintenance services taking into account all interests. The reduction in the idle time of wagons under cargo operations is affected by the technological time on the execution of operations; this is due to the number of mechanisms, the size of the front, which is involved directly at the station or other economic entity. The complaint management system in the Unified Information and Service Center for Freight Transportation helps to minimize the occurrence of financial risks associated with the submission of customer claims.
References 1. Chislov, O., Bogachev, V., Zadorozhniy, V., Bogachev, T.: Economic-geographical method delimiting wagon flows in the region considered: model and algorithm. Transp. Probl. 13(2), 39–48 (2018) 2. Vasilenko, M., et al.: The digital technologies in quality and efficiency management of transport service. In: International Scientific Conference Energy Management of Municipal Facilities and Environmental Technologies – EMMFT 2020. E3S Web of Conf. 1 (2021)
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3. Gao, Y., Yang, L., Li, S.: Uncertain models on railway transportation planning problem. Appl. Math. Model. 40(7–8), 4921–4934 (2016) 4. Maiyar, L.M., Thakkar, J.J.: A combined tactical and operational deterministic food grain transportation model: particle swarm based optimization approach. Comput. Ind. Eng. 110, 30–42 (2017) 5. Mogale, D.G., Cheikhrouhou, N., Tiwari, M.K.: Modelling of sustainable food grain supply chain distribution system: a bi-objective approach. Int. J. Prod. Res. 58(18), 5521–5544 (2020) 6. Maiyar, L.M., Thakkar, J.J.: Robust optimisation of sustainable food grain transportation with uncertain supply and intentional disruptions. Int. J. Prod. Res. 58(18), 5651–5675 (2020) 7. Tian, W., Cao, C.: A generalized interval fuzzy mixed integer programming model for a multimodal transportation problem under uncertainty. Eng. Optimiz. 49(3), 481–498 (2017) 8. Sun, Y., Liang, X., Li, X., Zhang, C.: A fuzzy programming method for modeling demand uncertainty in the capacitated road-rail multimodal routing problem with time windows. J. Sym. 11(1), 91 (2019). https://doi.org/10.3390/sym11010091 9. Aulin, V., Lyashuk, O., et al.: Realization of the logistic approach in the international cargo delivery system. Commun. Sci. Lett. Univ. Zilina 21(2), 3–12 (2020) 10. Kozachenko, D., Skalozub, V., Gera, B., Hermaniuk, Y., Korobiova, R., Gorbova, A.: A model of transit freight distribution on a railway network. Trans. Probl. 14(3), 17–26 (2019) 11. Prachi, A., Talari, G.: Multi-choice stochastic transportation problem involving logistic distribution. Adv. Appl. Math. Sci. 18(1), 45–58 (2018) 12. Chislov, O.N., Bogachev, V.A., Zadorozhniy, V.M., et al.: Modelling of the rail freight traffic by the method of economic-geographical delimitation in the region of the South-Easter Coast of the Baltic Sea. Transp. Probl. 14(2), 77–87 (2019) 13. Chislov, O.N., Zadorozhniy, V.M., Bogachev, T.V., Kravets, A.S., Egorova, I.N., Bogachev, V.A.: Time parameters optimization of the export grain traffic in the port railway transport technology system. Smart Green Sol. Transp. Syst. 1091, 126–137 (2020) 14. Borndörfer, R., Klug, T., Schlechte, T., Fügenschuh, A., Schang, T., Schülldorf, H.: The freight train routing problem for congested railway networks with mixed traffic. Transp. Sci. 50(2), 408–423 (2016). https://doi.org/10.1287/trsc.2015.0656
Detecting Dangerous Places in a Continuous Welded Rail Track Taking into Consideration Trains Impact Elena Kornienko1(B)
and Valery Zamorin2
1 Rostov State Transport University, 2, sq. Rostovskogo Strelkovogo Polka Narodnogo
Opolcheniya, 344038 Rostov-on-Don, Russia 2 Siberian Transport University, 191 Dusi Kovalchuk Street, 630049 Novosibirsk, Russia
Abstract. In a continuous welded rail track, the end of sections are the most dangerous parts where under the influence of an additional axial force a strain-stress state occurs. The purpose of the study is to detect dangerous places during the operation of a continuous welded rail track taking into account passing trains. The problem is urgent, since the static calculation method does not allow identifying such sections along the line. The strain-stress state at the ends of the rails can be detected using the graphic analytic method. As a result, during the operation of a continuous welded rail track and taking into account passing trains, it is possible to detect dangerous places where an additional axial compressive force arises that affects the stability of the track. In the spring period in a continuous welded rail track, the determination of the strain-stress state indicates the need to eliminate the equalizing spans. To increase the stability of the continuous welded rail track and exclude such dangerous places, it is necessary to re-fix additionally the end sections. Re-fixing requires large material costs for the current maintenance, therefore it is recommended to lay a continuous welded rail track with a length of at least a line, and if a continuous track is welded with turnouts, then such end sections can be completely excluded. Keywords: Strain-stress state · Trains influence · Axial force · Continuous welded rail track · Dangerous places
1 Introduction All currently existing regulatory documents on a continuous welded rail track reflecting its design and operation are based on a static calculation method that does not take into account passing trains and time. It is assumed that assembled rails and sleepers is represented in the form of an elastic rod placed in a rigid-plastic environment. The dynamic interaction of the rolling stock with the rail and plastic deformation of the rail in the welded rails joints are described in the works of Zefeng Wen, Guangwen Xiao, Xinbiao Xiao, Xuesong Jin, Minhao Zhu [1]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1536–1544, 2022. https://doi.org/10.1007/978-3-030-96380-4_169
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According to the fact confirmed in the course of operation and numerous experiments, as a result of the influence of axial forces, assembled rails and sleepers is an elastic rod placed in a viscoelastic environment. With a high load density that is typical for real railway sections, the elastic component of the ballast resistance is neglected since it does not significantly affect the calculation results. With axial movements this fact follows from numerous calculations carried out with and without taking into account the elastic component. Therefore, for calculations, it is sufficient to assume that the rail, that is the elastic rod, is placed in a viscous environment. The efficiency of stress-free temperature measurement in a continuous welded rail track by the rail creep method and rail stress modules was investigated in the work of Nirmal K. Mandal, Mitchell Lees [2]. The study concluded that the traditional rail creep method is applicable to for general indicators of the rail track stress state and follows a similar trend in rail stress monitoring data. Under the influence of changing temperatures, there are no axial movements along the entire rail section except for the end sections in the continuous welded rail track. However, with a static method of calculation and taking into account the impact of trains the thermal axial force appears additionally in rails. An in-depth comparison of static and dynamic stability loss of a rail track using a dynamic rail track model and a three-dimensional finite element model of a rail track is reflected in the studies of Amin Miri, Manicka Dhanasekar, David Thambiratnam, Bill Weston, T. H. T. Chan [3]. Determination of temperature stresses caused by uneven temperature distribution in CWP is described in the work of Nikola Mirkovi´c, Ljiljana Brajovi´c, Zdenka Popovi´c, Goran Todorovi´c, Luka Lazarevi´c, Miloš Petrovi´c [4]. This paper presents a technique for determining temperature stresses in a CWP based on a measuring system developed by the authors for measuring the rail surface temperature and associated transient thermal stress analysis to simulate the rail temperature field and the corresponding stresses. The law of deformation can change significantly at the ends of the rail strings, due to their lengthening, at which the ends of the rails can abut against each other, as well as shortening, when the gaps can open up to the maximum, that is the track bolts will work for cutting and crumpling. An effective Timoshenko finite-length beam model for the dynamics of train-track interaction, in which the rail is reduced to a real beam model and its vertical and transverse bending, shear and torsional deformations are considered, are reflected in the work of C. J. Yang, Y. Xu, W. D. Zhu, W. Fan, W. H. Zhang, and G. M. Mei [5].
2 Method for Detecting Dangerous Places in a Continuous Welded Rail Track The strain-stress state at the ends of the welded strings can be detected in a continuous welded rail track using the graphic analytic method, while the temperature of the rails and the axial force change in winter and summer periods. This method is used due to the fact that the gap in the joints at the end sections, as well as the gap in the adjustment switch, can close under the influence of high temperatures or open up as much as possible
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under the influence of low temperatures. According to observations, the temperature of the rails can be changed by 40 °C so that the gaps are completely closed, and then their maximum opening. The graphic analytic method for static calculation to determine the axial force and deformation was applied in 1961. The need to use the graphic analytic method to determine the stress [6] and movement in the rail during static and dynamic calculation is associated with the phenomenon of hysteresis, taking into account that linear resistances depend on movements of sleepers along the axis of the track. To achieve the accuracy of linear resistance measurements, the experiments were carried out on real sites. Thermal axial force can be determined by the formula: Ft = αEωt
(1)
The axial force and deformation change according to the law that can be expressed as a parabolic differential equation of the second degree, in partial derivatives called the thermal-conductivity equation: ∂F ∂ 2F = N2 ∂x ∂τ
(2)
The work that is associated with overcoming the dissipative forces arising in the ballast during its resistance in a rigid-plastic and viscous environment is considered equal to the area of the hysteresis loop. The ballast resistance is a random variable that differs significantly during daily and seasonal fluctuations. Particularly significant changes in the resistance value are observed during ballast freezing and then its thawing, less but significant changes are observed when it is moistened and dried, especially during pollution [7]. In autumn, before the ballast freezes, it becomes necessary to determine the strainstress state in a continuous welded track at the end sections. In order to ensure the strength of the track, it is necessary to determine the time at which the track bolts will work for cutting and crumpling [8]. Another such case, in which track stability is ensured, can be observed in spring, when the railway track starts to work; in this case, an additional compressive axial force can appear at the ends of the welded rails, as a result of an increase in temperature. Based on the examples described above, we can consider how the axial force changes in a continuous welded track and axial movements occur at the welded rails ends. At the same time, it is possible to carry out a calculation based on the static method used in regulatory documents, as well as to apply a method that takes into account the influence of passing trains and changes occurring during operation [9]. Adjustment switches with the length of 12,5 m (3 rails) located between the end sections of the continuous welded track are considered. The value of the rail fixing temperature is assumed to be 35 °C, which corresponds to zero gaps in the joints of the welded rails. As an example, let us consider the autumn period of time when the temperature fell to zero and remained at this level for two days. Then, according to the Instruction on a continuous track for the static method of calculation, the gaps for R65 rails will be
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opened according to the formula: λz =
α 2 Eωt 2 r
(3)
In the Instruction the gap is calculated by the formula: 2 λz = 0,005 tp − 7
(4)
If the ballast is already frozen, then the linear resistance to the movement along the track axis is equal to r = 25 kN/m. With non-frozen ballast, the temperature of the rails will be equal to 0 °C, and the linear resistance to the movement along the track axis will be r = 4,8 kN/m. Then, according to formula (4), the gap in the end sections will be λz = 20 mm. In this case, three rails are shortened by an amount l = α3l12,5 (tp − 7 − 0,75) = 11,8 · 10−6 · 3 · 12,5 · 103 · 27,25 = 12 mm. Since consumer resistance occurs in the rail bar joints, and the linear resistance to movement along the track axis decreases, the difference in the temperature of the rails and the fixing temperature t can decrease by 7 °C and 0,75 °C respectively. Therefore, if the temperature of the rails decreases by the value of tp = 35 °C, the track gaps will increase to λz = 20·2+12 = 52 mm. A further decrease in the air temperature to −40 °C will lead to an increase in the track gaps by 5 mm at the end sections and a shortening of the three adjustment switches by an amount l = 11,8·10−6 ·3·12,5·103 ·32,25 = 14 mm, thus the total gap will be λz = 52 + 2 · 5 + 14 = 76 mm. This gap value is considered sufficient for four joints. But for the static method, this calculation is not quite real, since engineering calculations must take into account the worst operating conditions. Here, the best conditions are taken into account, ensuring strength and stability. According to the static method, on the operating sections of the continuous welded track, when the ballast resistance values along the track axis are not maximum [10], it means that in this case there may not be enough gaps in the adjustment span. Therefore, should the cold weather occur or while the ballast is still not frozen, in order to prevent rupture of the track bolts, it is necessary to replace the adjustment switches with expanded ones. According to the Instructions it is necessary to make such a replacement only on railways with a harsh climate, while in fact it is made almost everywhere. In winter, on railways with a harsh climate, the temperature can fall to – 45 °C and −60 °C, therefore, according to the Instruction, the adjustment switches should be replaced to prevent rupture in the track bolts, thus ensuring that the strength conditions are met. After such a replacement in spring period with an increase in temperature, due to the stability condition, it will be necessary to replace the adjustment switch with a shortened one in order to eliminate the end pressure. It is quite difficult to carry out such a volume of work if it is necessary to replace rails simultaneously over a long section of continuous welded track. Let us construct an epure of axial forces taking into account the influence of passing trains and during operation. If the rails temperature is the same, then the epure of the axial forces during operation undergoes changes. Stages I–IV of changes in the axial
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force epure are considered: I-st stage – in autumn period of time the rail temperature will go down from 35 to 0 °C (epure 1); II-nd stage – the end of this process (epure 2); III–rd stage – track gaps are maximally opened, while rails temperature remains equal to 0 °C (epure 3); IV-th stage – adjustment switches are replaced with expanded ones (epure 4) (Fig. 1). F,kN 1
1600
2
1200
2
t
800
4
3
- x - 100
F
4
n
3
F
1
0
100
200
300
400
500
700
600
800
900
1000 x,m
1,2,4
Fig. 1. Epure of axial tensile forces taking into account the influence of passing trains and during operation
Formula (1) allows us to find an epure of axial forces in middle sections of welded rails. Epures 1 and 2 at the ends of the welded rails can be found by using the solution of Eq. (2), which is obtained taking into account the boundary and initial conditions F|x=0 = 0; F|τ =0 = 0 Thus, the epure at stages 1 and 2 can be represented as: ∞ N 2 (x − ξ ) N 2 (x + ξ ) NFt exp − − exp − d ξ. F(x, τ) = √ 4τ 4τ 2 πτ 0 By introducing into calculation
N (x−ξ √ ) 2 τ
(5)
(6)
= z and with the function
erf (z) =
2 π
we will find out
z
e−z dz
F(x, τ) = Ft erf
2
Nx √ 2 τ
(7)
Axial thermal force is constant Ft = const. The gap according to formulas (8) and (1) is calculated: √ √ α πτt Ft πτ = λ3 = NEω N
(8)
(9)
The gap according to the formula (9), at the relative viscosity coefficient N = 1,5 m−1 s1/2 and time τ = 86,4 · 103 s will be equal to: 11,8 · 10−6 3,14 · 86,4 · 103 · 35 = 0,143 m ≈ 143 mm λ3 = 1,5
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The initial and boundary conditions corresponding to the law of change in the stress-strain state are now as follows: This size of gaps for four joints is unacceptable. This will result in cut and crumple of the bolts in the rail joints much faster. In this case, the law resulting in a change of the axial force does not obey condition F|x=0 = 0; F|τ =0 = 0. The initial and boundary conditions corresponding to the law of change of the strain-stress state are now as follows: τ = 0, F0 (x) =
F0 (l − |x|) at |x| ≤ l l
(10)
Differential Eq. (2) under condition (10) will be as follows:
F0 x N (x + l) Nx N (x − l) 2x x F(x, τ ) = 1 + erf − erf + 1 − erf √ √ √ 2 l l l 2 π 2 π 2 π
N 2 (x − l)2 N 2 (x + l)2 N 2 x2 F0 τ + exp − exp − − 2exp − + Nl π 4τ 4τ 4τ (11) To obtain the configuration of the third stage epure, the ordinates of the epure found from the expression (11) are added to the ordinates of the 3rd epure (Fig. 1). The analytical method for calculating movements and forces in the welded rail track in the temperature transition zone is considered in [11]. However, the strength of the track bolts is not provided at stage III, since such an epure configuration is unacceptable. Therefore, it is necessary to replace the adjustment switch with an expanded one. Then the epure of the axial forces will take the form of the configuration of stage IV that corresponds to the expression (6). In this case, it may be necessary to increase the length of the adjustment switch again, as the gap will slowly continue to increase. Taking into account the impact of trains, the resistance to movements along the track axis in rail bar joints will be zero, moreover under the influence of relaxation, the axial force in the adjustment switch will disappear, which is also reflected in Fig. 1. Further, we will consider the temperature increase in the rails that occurs at the end section in spring, where the axial force epure and rail bar joints changed in autumn. Figure 2 shows the epure of the axial compressive forces based on the results of the static calculation method. During operation, the ideal conditions for the static method are the presence of large values of linear resistances along the track axis and in the rail joint bars, so it is possible not to replace the adjustment switch. When the resistance values are not sufficient to ensure stability, it is necessary to replace the adjustment switch in accordance with the Instructions, primarily for a railway track with severe climatic conditions. The static method assumes that the axial force epure does not change its configuration over time. This is due to the fact that in statics, when moving along the track axis, linear resistances do not depend on the time and frequency of the influence of trains. With an increase in the temperature of the rails in spring, the epure of the axial forces of four stages is shown in Fig. 2. Stage I - the rail temperature increase from minus to
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1
1
Ft
1200 800
2
2
0
-x
100
200
300
400
500 x, m
Fallow
2 4 4 3 3
-F
Fig. 2. Epure of the axial compressive force according to the static method
0 °C (epure 1); Stage II - the fixing temperature has reached 35 °C (epure 2); Stage III - with an increase in temperature above 35 °C (epure 3). In this case, the adjustment switches are still expanded with these three epures of axial force curves. From Fig. 2 it can be seen that the epures 1, 2, 3 have the same configuration and there is only a parallel shift of their ordinates that is illustratory of the middle of the welded rail. Exceeding the critical ordinate values on the epure 3 can cause the loss of track stability. Replacement of expanded rails with shortened ones in the expansion span is shown in epure 4 with axial movement of the ends. In winter, taking into account the influence of passing trains and during operation, the epure of axial forces (stage I) differs from the epure obtained by the static method by a significantly longer length of end sections (Fig. 3). 1600
F,kN
1200
1
F
t
800 400
1
- x - 100
0
100
200
300
500
400
600
700
800
900
1000 x,m
-400 -800
2
2
-1200 -1600
3,4
4
4 -2000
3
-2400 -2800
3
-F
Fig. 3. Epure of the axial compressive forces taking into account passing trains and in the process of operation
The configuration of the epures of stages I, II and III does not undergo significant changes (Fig. 3). An insignificant difference is the decrease in the slope over time based on the formula (11). However, this difference can be considered insignificant, since the time elapsed between stages I, II and III is negligible. If you manage to replace the adjustment switch with a shortened one, the configuration of the epure at the ends of the welded rails determined by formula (8), will correspond to stage IV.
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3 Results Thus, while taking into account passing trains and operating a track at the end sections with a length from 200 to 400 m at two ends (the distance is determined by linear resistances to movement along the track axis), places can be identified that are dangerous due to the presence of an increased axial compressive force, as well as fixing temperature of those places can be lowered. With the help of statics, it will not be possible to detect the formed areas. Therefore, the static calculation method does not allow detecting the dangerous place at the ends of the rails that affects the track stability.
4 Discussion In spring period of time in a continuous welded track the occurrence of a strain-stress state taking into account passing trains and during operation indicates the need to eliminate adjustment spans. Moreover, this work should be carried out both for a railway track with harsh climatic conditions, and for all other roads. In spring period after winter, due to an increase in the rail temperature, when the adjustment switch has not been removed from the adjustment span yet, even on the basis of static conditions, this place is a danger that affects the stability of the assembled rails and sleepers. It often happens that after a given period of time, the stability of the track is maintained, provided that the adjustment switch has not been replaced with an expanding one. The repetition of these cases creates the impression among the workers engaged in the maintenance of the railway track [12] that it is possible not to replace the adjustment switch with a shortened one. There is also another opinion, which is erroneous, according to which it is possible not to ensure the temperature regime of the welded rails operation. In this case, it is considered possible to increase the track shoulder in the ballast prism, additionally to compact the crushed stone [13], and fix the ballast using binding materials [14, 15]. However, such a conclusion is dangerous and can lead to a safety violation during the movement of trains in terms of track stability.
5 Conclusions To exclude places that constitute a danger and affect stability resulting from the replacement of an expanded rail with a shortened one, the end sections should also be re-fastened at a distance of 400 m. However, this will lead to an increase in the labor intensity of the work performed. If the track section has a significant number of adjustment spans, then the maintenance personnel will not be able to make a timely replacement in this volume. In the case when the length of the welded rails is 800 m, and is also equal to the length of the block sections, then the number of adjustment spans can be very significant on this section. For harsh climatic conditions, according to the calculation by the static method under idealized conditions, with the course of time it is necessary to lay welded rails, the length of which is not less than the span. On real track sections, to maintain a continuous welded track, timely replace welded rails in autumn and spring, as well as re-fix the end sections can be real when there are only two of these sections. The ideal result is considered, if these end sections that are adjacent to the turnout switch
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are excluded completely. However, at present the domestic railways do not have the conditions that are necessary for welding rails with turnout switches.
References 1. Wen, Z., Xiao, G., Xiao, X., Jin, X., Zhu, M.: Dynamic vehicle–track interaction and plastic deformation of rail at rail welds. Eng. Fail. Anal. 16(4), 1221–1237 (2009) 2. Mandal, N.K., Lees, M.: Effectiveness of measuring stress-free temperature in continuously welded rails by Rail Creep Method and Rail Stress Modules. Eng. Fail. Anal. 104, 189–202 (2019) 3. Miri, A., Dhanasekar, M., Thambiratnam, D., Weston, B., Chan, T.H.T.: Analysis of buckling failure in continuously welded railway tracks. Eng. Fail. Anal. 119, 104989 (2021) 4. Mirkovi´c, N., Brajovi´c, L., et al.: Determination of temperature stresses in CWR based on measured rail surface temperatures. Constr. Build. Mater. 284, 122713 (2021) 5. Yang, C.J., Xu, Y., et al.: A three-dimensional modal theory-based Timoshenko finite length beam model for train-track dynamic analysis. J. Sound Vibr. 479, 115363 (2020) 6. Pleshko, M., Revyakin, A., Malishevskaya, N.: Investigation of the influence of the railroad track on the stress state of the tunnel lining. MATEC Web Conf. 239 (2018) 7. Liu, J., Wang, P., et al.: Study of the characteristics of ballast bed resistance for different temperature and humidity conditions. Constr. Build. Mat. 266(Part B), 121115 (2021) 8. Duncheva, G.V., Maximov, J.T.: A new approach to enhancement of fatigue life of rail-end-bolt holes. Eng. Fail. Anal. 29, 167–179 (2013) 9. Varandas, J.N., Paixão, A., Fortunato, E., Coelho, B.Z., Hölscher, P.: Long-term deformation of railway tracks considering train-track interaction and non-linear resilient behaviour of aggregates – a 3D FEM implementation. Comput. Geotech. 126, 103712 (2020) 10. Ngamkhanong, C., Feng, B., Tutumluer, E., et al.: Evaluation of lateral stability of railway tracks due to ballast degradation. Constr. Build. 278, 122342 (2021) 11. Zhi-ping, Z., et al.: An analytical calculation method for displacement and force on continuous welded rails in temperature-transition zone. Constr. Build. Mater. 207, 228–237 (2019) 12. Pleshko, M.S., Pleshko, M.V., Voynov, I.V.: Estimation of technical state of long-term service railway tunnels. Mining Inf. Anal. Bull. 1, 34–40 (2018) 13. Khakiev, Z., Kruglikov, A., Lazorenko, G., Kasprzhitskii, A., Ermolov, Y., Yavna, V.: Mechanical behavior of ballasted railway track stabilized with polyurethane: a finite element analysis. MATEC Web Conf. 251, 04056 (2018) 14. Prokopov, A.Y., Sychev, I.V., Revyakin, A.A., Soboleva, O.N.: Experimental studies of the reinforcement percentage effect on the modulus of soil deformation fixed by cementation. In: IOP Conference Series: Materials Science and Engineering, vol. 913, no. 2 (2020) 15. Kruglikov, A.A., Yavna, V.A., Ermolov, Y.M., Kochur, A.G., Khakiev, Z.B.: Strengthening of the railway ballast section shoulder with two-component polymeric binders. Transp. Geotech. 11, 133–143 (2017)
Essential Features of Supply Chain Management in the Sphere of Foreign Economic Activity Gelera Chekmareva1(B)
and Sergey Kosenko2
1 Rostov State Transport University, 2 Rostovskogo Strelkovogo Polka Narodnogo Opolcheniya
Sq., Rostov-on-Don 344038, Russia 2 Siberian Transport University, 191 Dusi Kovalchuk Street, Novosibirsk,
Novosibirsk Oblast, Russia
Abstract. The paper focuses on the competence of logistics management aimed at accounting and assessing factors within the logistics chains that affect the formation of the logistics chains during foreign trade transactions. Besides, it presents the consistent factor analysis of the main indicators that form the supply chain. The given analysis can be applied both to planning intermodal and multimodal transportation. Furthermore, we carried out a ranking of managing risks and clarified logistics operations in the supply chain, which can have a significant impact on the formation of the final cost of imported goods in the importing country that the importer did not specify in the costing. Keywords: Supply chain · Mode of transport · Temporary storage warehouses · Importer · Exporter · Declarant · International contract · Delivery terms
1 Introduction As reported by the Federal Customs Service, Russian foreign trade turnover in 2020 showed a negative trend. Thus, Russian exports decreased by 20.7% compared to the
800 600
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343.5
285.7
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2015
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449.6
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2019
338.2
0 2014
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2020.
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Fig. 1. Russian foreign trade turnover in 2014–2020 [1] © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1545–1553, 2022. https://doi.org/10.1007/978-3-030-96380-4_170
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previous year and amounted to 338.2 billion US dollars. In fact, it is the level of 2015– 2017. Importation of goods into the territory of the Russian Federation also decreased. However, this indicator decreased slightly and amounted to 223.7 billion US dollars in 2020. Figure 1 illustrates Russian foreign trade turnover over the past seven years. For the first time in the modern history of Russia, the growth in food exports in 2020 made it possible to level the export and import of agricultural products. The embargo on Western food products and a competent policy of import substitution resulted in a stable growth in the export of agricultural products, in particular wheat, vegetable oil, poultry meat, pork, etc. The sharp increase in gold exports became especially noticeable. As stated by statistics, transactions in this market segment tripled and reached 18.5 billion US dollars. Alongside the increase in gold exports, the volume of palladium exports was increased as well: the total value of transactions amounted to 6.45 billion US dollars. Besides, there was a change in Russia’s major trading partners. Though China and Germany remained to be Russia’s key partners, as well as in 2019, the exports of goods from Russia to PRC and Germany decreased by 6.7% and 21%, respectively, or 104 billion and 42 billion US dollars in monetary terms. In 2019 the Netherlands was the third-largest partner of Russia, but in 2020 Belarus took third place among the partners of Russia. The trade turnover between Russia and Belarus decreased by 15%, but Russia-Netherlands trade turnover saw the most dramatic decrease of 41%. Figure 2 lists Russia’s main partners. The analysis of Russian foreign trade development reflects the general trend of global foreign trade reduction caused by the COVID-19 pandemic outbreak and the situation in the transport services market, in particular, the increase in the cost of freighting sea containers [1]. In order to examine the specifics of supply chain management in the sphere of foreign economic activity, we will consider the blockage of the Suez Canal by a container ship that caused a “traffic jam” in the Red Sea. The 163-km-long Suez Canal connects the Mediterranean and Red Seas. About 10–12% of global trade passes through the canal. Every day dozens of vessels use it to transport goods from Asia to Europe and vice versa since this route is much shorter than the route through the Cape of New Hope, which forces ships to go around Africa. In March 2021, the canal was blocked for six days by
15.7 5.1 10.8 13.1 23.2 3.4 24.8 4.2 16.9 13.2 23.4 18.5 49.1
Turkey USA United Kingdom Netherlands Belarus Germany China 0
20
54.9 40
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60
80
Import
Fig. 2. Major trading partners of Russia [1, 2]
100
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a 224,000 container ship heading from China to the Netherlands that wedged across the waterway. As reported by Lloyd’s List, a world-renowned journal that provides weekly shipping news, estimated the value of the goods delayed at 400. US dollars per hour. Therefore, the expenses of transport companies are borne by the end-user and negatively affect them. The 2021 Suez Canal obstruction clearly showed the importance of transport logistics in world trade. If until recently the situation around the Northern Sea Route was ambiguous and had several economic and geopolitical problems, then in April 2021 geopolitics faded into the background. Figure 3 presents the shipping route from Yokohama, Japan, to Rotterdam, the Netherlands, and from Shanghai, China, to Hamburg, Germany provided by Cargotime. As seen from Fig. 3, the first and second Northern Sea Routes are 59% and 32% shorter than the conventional Suez Canal Route, respectively. The lack of sufficient cargo turnover through the Northern Sea Route can be explained by more expensive delivery costs, within 30% of the Suez Canal Route. Currently, the government is considering options for subsidies for seaports and port services to ensure ship passage in the winter. In addition, international logistics companies pay their attention to the Trans-Siberian Railway, which provides good delivery from Vladivostok through Russia to Europe and from Asian countries to the Persian Gulf using the overland section of the route. Turning now to considering the supply chains in logistics [3], it is possible to mention the lack of agreement in defining supply both in Russian and Western literature [4, 5]. Upon analyzing the definitions of supply chains, we can conclude that there are two approaches to defining the essence of supply chains: object and process.
Fig. 3. Asia – Europe route of cargo transportation by sea (Image is provided by Cargotime ( available at https://cargotime.ru/analitika/severnyj-morskoj-put/))
The object approach allows decomposing the supply chain structure to determine its main participants. The decomposed structure consists of the main participants and intermediaries linked by the supply chain. In his seminal study of 2014, Bogoyavlenskiy [6] detailed the aforementioned approach.
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2 Methods A growing body of literature has investigated the methodological apparatus of material resources management. For instance, Kuo et al. [7] discuss the possibilities of flow process managing in an intelligent supply chain based on data using a hybrid strategy Industry. Many studies have been published on various methods for solving problems of supply chain management. In particular, Nguyen et al. [8] presented their vision of forecasting and detecting anomalies by using LSTM and LSTM Autoencoder methods with applications in supply chain management. Maher and Öncü [9] worked out a simulator as a means of learning sustainable supply chain management for biofuel production. Even though their paper is focused on determining one type of material flow, in our opinion, the idea can be applied to other types of material flow. Territorially, the supply chain can be tracking within one state, union, or several states, thus belonging to the category of an international supply chain. Each of the supply chains: domestic, intra-union, and international have their own concept of construction. In their book “Empirical Markers in the Concept of Digital Logistics of Multichannel Supply Chains”, Mikhailyuk et al. [10] studied markers without dividing supply chains into national and international ones. This paper analyzes the essential features of supply chain management during the foreign economic activity of purchase and sale, taking into account the findings of previous research [5–7]. The study describes planning, managing, and controlling material, information, and financial flows, as well as their relationships within the international supply chain. Uncontrollable factors can also include force majeure, the adopted form of control, and the time of their implementation on the territory of a foreign state, etc. [11–15]. Further in the work, we will reveal the main factors affecting the formation and management of the supply chain within the foreign trade contracts. If these factors are not taken into account in the calculations, then the participants’ actions in the supply chain may turn out to be irrational, which can lead to an increase in the cost of imported goods by a significant amount, different from the invoice price. We strongly believe that participants of an international foreign trade transaction need to use the methodological apparatus of the theory of risks. It allows using already formalized and mathematically described models and tasks [6]. Making such descriptions requires being aware of the area where you have to make a decision, basic principles of model building, and the theory of probability. Risk theory assists in making an informed decision based on economic models in cases of uncertainty. While concluding a foreign trade contract, a decision is made based on a determined model. It allows accepting such values of management parameters that will formally ensure both seller’s and buyer’s interests in specific conditions. Actually, the conditions for the passage of the material flow along the logistics chain will probably change, which means that the results may differ from the calculated ones. The reasons may be different: – the use of numerous assumptions that replace those aspects of modeling the goods passage in the supply chain, which are insufficiently studied during the development of a foreign trade contract or which are difficult to formalize;
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– metrological uncertainties associated with individual operation timing, as well as possible human errors when setting up the logistics chain; – behavioral uncertainties caused by imperfect and inadequate individuals’ behavior of persons during transportation, storage, customs clearance – gnoseological uncertainties referred to the inability to predict precisely which values will take this or that factor during logistics operations; – stochastic uncertainty caused by unpredictable force majeure. In general, uncertainty is understood as the lack of supporting information, its inclarity, or unreliability. However, logistic practitioners often face risks, which are somewhat different from uncertainty. The key difference is that it is possible to predict risks and assess the likelihood of their occurrence. This aspect will be dealt with in more detail in section Results and Discussion. We will analyze the links of the logistics chain and assess the risks that may occur during supply chain managing in export-import operations.
3 Results and Discussion In a general business sense, the logistics system is aimed at managing the material flow and the accompanying flow processes. The logistic chain includes a number of logistic activities performed to reach a common goal within the system. Defining these activities and their systematization is one of the major tasks before building a supply chain in the sphere of foreign economic activity. Many scholars believe that the first activity in building a supply chain is the formation of a material flow at the shipper’s enterprise, so the process optimization starts there. In our opinion, this approach is not well suited to the essence of building a differentiated supply chain when organizing international sales. The aforementioned conclusion is based on an analysis of logistics of Russian and overseas companies engaged in foreign economic activity. The first activity in the supply chain is a segmented analysis of the potential market based on negotiations conducted by interested counterparties. Non-tariff regulatory measures include licensing, quotas, and certification. The importance of this logistic activity is explained by the fact that only a careful study of information resources will make it possible to build a dynamically directed vector of material flow within the logistics chain. Certification and licensing require the seller to provide samples of their goods, as well as a package of documents, including transport documents that specify the delivery time of samples for certification. The certification stage requires both additional financial resources and enough time to follow the procedures of non-tariff regulation. Besides non-tariff regulation methods, the logistic operators must study the tariff regulation issues in the country of import, i.e. customs payments. The importer, following the regulatory and legal framework in the field of foreign economic activity of the country and/or the Union of Import, determines the customs payments, while the approach to the formation of the customs tariff as the basis for calculating customs payments remains constant. Only when the entire set of the above procedures is done, it is possible to perform the first activity of goods supply under an international sales contract. Thus, it consists exclusively of information flow and includes data gathering and processing to conclude a
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sales contract. The information obtained allows proceeding to the intensive discussion of such important provisions of the international agreement as route scheme of the material flow in the supply channel, INCOTERMS 2020-based terms of delivery, the conditions for the financial flow passage aimed at paying for the imported goods. Depending on the chosen mode of transport, the parties to the contract, prior to the actual shipment of the goods, must determine whether to focus their efforts on changing the type of consumer packaging and specify the size of transport containers. It is important to distinguish between two terms, one of which means the amount of actually sold goods, and the second the number of packages. The second activity in the supply chain is document preparation (the starting point of the information flow of a specific consignment) and the preparation of the cargo for shipment that are the starting points of the information material flows, respectively. Regardless of the terms of delivery chosen, the shipper is always responsible for the starting points of the logistic process. In fact, the shipper can be a person different from the seller of the goods. It is worth mentioning that the formation of the transport unit affects the cost of production in the importing country since the transport expenses are included in the customs value of the goods. As noted above, in a number of cases the counterparty must be provided with some documents to ensure the legality of imported goods, as well as to receive buyer’s preferences when paying customs duties. The third activity has a direct impact on the process of transporting the material flow from the consignor to the consignee. Depending on the delivery scheme adopted by the parties to the transaction, transport logistics can exploit the services of one or more carriers. Under the accepted scheme of delivery by road, the contract, as a rule, does not allow the transshipment of goods from one vehicle to another. However, there are two exceptions: – force majeure, for instance, a car accident requiring vehicle replacement; – certain actions with the cargo in the transit country at the temporary storage warehouse, for example, product labeling. When transporting goods by vehicles other than road ones, transportation is carried out by two or more modes of transport, for example, road – rail, rail – road, road – rail – road, road – sea, road – air, etc. These schemes of multimodal transportation may involve the transshipment of goods, both in the country of export/import and on the territory of third countries. When determining the cargo delivery route, the parties should take into account that the timing of the complete fulfillment parties’ obligations under the contract may be altered depending on the conditions for performing transshipments and the rules and customs in the third countries. Often, the party responsible for the cargo transportation under a foreign trade contract is forced to enter into contractual relations with third parties, who include forwarding companies, customs agencies (for registration of transit operations), owners of temporary storage warehouses, survey companies. The party’s transportation expenses may increase, if: – the transit country’s customs authorities decided to conduct a customs inspection. The transit country’s customs authorities expose the costs of its implementation to the
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transport or forwarding company, which in turn re-invoices the person who ordered the transportation services; – when carrying out transportation by sea, the force-majeure situation caused the need for a rescue operation. According to the Merchant Shipping Code, the person who carried out the rescue operation has the right to receive a reward in the amount of 50 to 90% of the value of the salvaged cargo at the price specified in the invoice. Moreover, it should be considered that multimodal transportation carries the risks of additional costs associated with finding the cargo in the customs control zone while waiting for the cargo to be transshipped to another mode of transport. In some cases, shippers incur additional costs associated with ensuring storage conditions and the safety of goods in the transit country’s customs control zone. The next activity in the supply chain is the fulfillment of legal procedures at the customs border of the importing country. Pre-contractual activities and elaboration of the contract have extreme importance exactly at this stage of the material flow passage in the supply chain. Only if a declarant (importer) has all necessary documents confirming the transaction legality, namely, shipping documents and documents ensuring the implementation of non-tariff regulatory measures, the customs procedures will be performed easily and without delay. As a rule, a transit declaration is drawn up at the border checkpoint to move the cargo to the area of actual control. At the stage of agreeing, the importer must provide for the specifics of customs clearance of goods, in particular: – a license for the right to import into the country certain categories of goods established by local legislation; – an import quota if the product code restricts import by volume or value; – customs clearance of certain categories can be performed only in specialized customs offices, for example, alcoholic drinks, car tires are registered exclusively in excise customs offices; – if a customs procedure differs from the “release for domestic consumption” one, the declarant must obtain customs permission to the other customs procedure, for example, “processing in the customs territory”; – a secure storage agreement with a temporary storage warehouse owner in actual control of goods zone (the exceptions are: the importer is an authorized economic operator (AEO), the consignee is the owner of a closed temporary storage warehouse (hereafter TSW)); – an agreement between the declarant (the buyer of goods) and a customs representative, who provides customs clearance services based on a service agreement. Next, the cargo is placed in the customs control zone, located in the customs actual control zone. In many countries, including Russia, cargo under customs control, i.e. not registered under the chosen procedure, may stay in the customs control zone for no more than 24 h. To prolong cargo stay under customs control, the imported goods should be moved to TSW. When inspecting the customs declaration, a customs officer can decide to carry out a customs search or inspection. The given decision is based on a methodology developed by the top executives of the importing country’s customs administration. As for the Russian Federation, Risk Management System (hereafter
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RMS) developed by the Federal Customs Service is an effective means of treating goods flows. The customs clearance inspection includes the visual checking of cargo and the vehicle, while the customs search involves cargo opening, weighing, volume measuring, and sample taking. Depending on the RMS criterion, the customs officer can search 10%, 50%, 100% of the consignment’s cargo volume. Thus, if the customs authorities decide to conduct a customs search, the deadline for customs clearance is increased by the time of the actual customs search and the time of writing a search report. Besides, the consignee bears additional expenses caused by the payment to TSW owners for the provision of goods for search. The cost of these services depends on the price list accepted by the TSW owner in the importing country. In the Russian Federation, the average price list is 7,000 rubles for packaged cargo, but it can differ significantly depending on the cargo characteristics. In Panama, the average price list is 1,500 US dollars. Upon completion of customs clearance, goods are transported from the temporary storage warehouse or custom control zone to the consignee’s warehouse. If during customs clearance a vehicle with cargo was at a custom control zone, it delivers cargo to the consignee’s warehouse. Otherwise, there are two options for further cargo transportation. First, the international carrier leaves the TSW after delivering the cargo. Second, the international carrier stays at TSW for the entire period of customs search. The second option implies the consignee’s payment to the transport company for the unauthorized downtime specified in the service agreement in advance. In this case, the additional expenses incurred by the importer are also included in the cost of the imported goods.
4 Conclusion The evidence from this study points towards the idea that a careful study of the conditions of material flow allows making decisions on the flow process management. We have confirmed that undefined parameters with different values will lead to decisionmaking under conditions of uncertainty. In this case, the results of the logistics chain functioning, and hence its assessment, may turn out to be unknown and have a wide array of possible outcomes. Our research suggests that the approach to assessing such outcomes for decision-making requires a thorough consideration of possible outcomes of each activity in the supply chain.
References 1. Official website of the World Trade Organization. https://www.wto.org 2. Official website of the Eurasian Economic Commission. http://eec.eaeunion.org/ 3. Tsai, F.M., Bui, T.-D., Chiu, A.S.F.: Sustainable supply chain management trends in world regions: a data-driven analysis. Res. Cons. Rec. 167, 105421 (2021) . https://doi.org/10.1016/ J.Resconrec.2021.105421 4. Asamoah, D., Agyei-Owusu, B., Ayaburi, E.: Inter-organizational systems use and supply chain performance: mediating role of supply chain management capabilities. Internat. J. Inform. Manag. 58, 102195. https://doi.org/10.1016/j.ijinfomgt.2020.102195 5. Theofilos, D.M., Nizamis, A., Tzovaras, D.: Introducing an application of an industry 4.0 solution for circular supply chain management. J. Clean. Prod. 300, 126886 (2021). https:// doi.org/10.1016/j.jclepro.2021.126886
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6. Bogoyavlensky, S.B.: Theoretical and Practical Aspects of Decision-Making in Conditions of Uncertainty And Risk, St. Petersburg State University Publishing House, St. Petersburg (2014) 7. Kuo, T.-C., et al.: A collaborative data-driven analytics of material resource management in smart supply chain by using a hybrid. Industry 3.5 strategy. Res. Conserv. Rec. 164, 105160 (2020). https://doi.org/10.1016/j.resconrec.2020.105160 8. Nguyen, H.D., et al.: Forecasting and anomaly detection approaches using LSTM and LSTM Autoencoder techniques with the applications in supply chain management. Internat. J. Inform. Manag. 57, 102282 (2020). https://doi.org/10.1016/j.ijinfomgt.2020.102282 9. Maher Agi, A.N., Öncü, H.: Game theory-based research in green supply chain management: a review. IFAC-PapersOnLine25 52(13), 2267–2272 (2019). https://doi.org/10.1016/j.egypro. 2018.11.083 10. Mikhaylyk, M, et al.: Empirical markers in the concept of digital logistics of multichannel supply chains. E3S Web Conf. 229 (2019). https://doi.org/10.1051/e3sconf/20199108056 11. Mironova, O.A., Chekmareva, G.I.: On the issue of applying a generational approach in managing the marketing activities of enterprises. Market. Manag. 9(3), 53–62 (2019). https:// doi.org/10.26794/2304-022X-2019-9-3-53-62 12. Kolesnikov, M.V., et al.: Efficient and secure logistics transportation system. IOP Conf. Ser. Mat. Sci. Eng. 918(2020). https://doi.org/10.1088/1757-899X/918/1/012031 13. Epifanov, V., Obshivalkin, M., Lukonkina, K.: Management of quality and security level of transportation in the system of regular passenger motor transport. Transp. Res. Proc. 36, 141–148 (2018). https://doi.org/10.1016/j.trpro.2018.12.056 14. Birkel, H., Müller, J.M.: Potentials of industry 4.0 for supply chain management within the triple bottom line of sustainability – a systematic literature review. J. Clean. Product. 289, 25612 (2020). https://doi.org/10.1016/j.jclepro.2020.125612 15. Zhang, Yu., et al.: Holistic cognitive conflict chain management framework in supply chain management. Environ. Impact Asses. Rev. 88, 106564 (2021). https://doi.org/10. 1016/j.eiar.2021.106564
Mainstreaming of Management Decision Making at Railway Transport Enterprises on the Basis of the Reference Scope Correlations Assessment Natalia Magomedova(B)
and Maria Khlebnikova
Rostov State Transport University, 2, Rostovskogo Strelkovogo Polka Narodnogo Opolcheniya Sq., Rostov-on-Don 344038, Russia
Abstract. The management decision making plays an important part in the activity of legal entities. The process management on railway transport allows to rationalize the operation of all enterprises on the basis of management methods. The analysis of legal entities reveals that the efficiency of railway transport enterprises operation depends on the expenses distribution according to the legal entities engaged in the process. In this research the processes allowing to distinguish the basic characteristics have been investigated. These processes in terms of operating costs minimization allow to establish favorable conditions for the improvement of railway transport enterprises’ functional features. Keywords: Legal entity · Management · Railway transport enterprises · Assessment · Forecasting · Indices · Decision-making
1 Introduction The problem of legal entity management on railway transport has been rather relevant in up-to-date operational conditions. In modern determination, the legal entity management denotes the choice of the best variant from all the available variants and represents the process of definite decision making. Such category as transport has always been the catalysator of domestic economy development in every period of human history and in every state. The consideration of transport impact problems on the domestic economy is rather relevant nowadays and there are a lot of studies referring to it [1– 4]. The management on railway transport constitutes the process that can represent the process of maximization, i.e. the increasing of profitable characteristics or conditions in the minimization of operating costs. Milan Dedic and Lukas Cechovic in their study investigate the long-term goal in UE transport policy with the targets of eliminating people’ own cars in favor of public passenger railway transport [5]. The management of structural division provides the system of various methods and frameworks, which allow to choose the optimal solution for the definite legal entity in the activity of the organization. Aldona Jaraš¯unien˙e has developed the expert modelling method of railway management principles based on the complexity of railway transport activities [6]. © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1554–1562, 2022. https://doi.org/10.1007/978-3-030-96380-4_171
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The investigations of existing methods of legal entity activity allow to make a conclusion that all the methods of management are based on the reducing element costs of transportation and consequently, the increasing of income sphere of the legal entity budget. In order to ensure the effective assessment of railway transport enterprises it is necessary not only to decrease transportation costs elements but to receive income and profit by means of auxiliary and support activity. The applied mechanisms of the legal entity management operation will enhance the valid and optimal decision making which in turn will tend to increase the effectiveness of structural enterprises activity. The analysis of up-to-date scientific papers referring to the investigated problem showed that the theoretical aspects of management work at Russian railway transport with legal entities were the themes of scientific investigations of such scientists as Chisliov et al. [7–10]. Alireza Mohammadi investigates the assets management planning referring to urban railway systems in Canada and offers proactive approach in order to save money on Canadian railways [11]. However, the researches connected with the economic activity management on railway transport enterprises have been conducted very seldom and being fragmented touching upon the peculiar field of railway operation infrastructure. So, there have been investigations considering only freight railway transportation [12], the economy of passenger railway transportation [13], the inventory management on railway transport [14]. The authors consider to be worthy the investigations of railway economy connected with geopolitics [15]. The main idea of the research includes the methods of legal entity management on the railway transport enterprises. The theoretical significance of the paper is that the authors have offered and substantiated in their investigation the provisions which ensure the complex approach to the solving of scientific problem on the base of the framework assessment of correlations. The practical significance of the study has been in the application of developed instruments for the further improvement of the legal entity management in conditions of the structural changes on railway transport as well as the feasibility of management decisions making.
2 Methodology The theoretical and practical foundations for improving the management of operating costs require various structural changes. In most cases, the cost management system should be considered as the basis of the economic activity of the railway transport enterprise. The solution for costs managing of a railway transport company can be included in the analysis of the company’s activities. The main indicators that characterize the work of an economic entity are quantitative and qualitative ones showing the types of economy. On the basis of a balanced indicators system, it is possible to assess the performance of the management structure. The head of the process will be a manager who is responsible for the new approaches and trends in the development of the enterprise based on the system analysis, the methodology based on system analysis being included in the process. The improvement of the railway transport enterprises operation is based on regulatory provisions that include all aspects of infrastructure development using advertising activities. When making various management decisions, it is necessary to include several stages that will display the internal state of various regulating operating
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costs parameters of a railway transport enterprise. The economic development of the legal entity depends on a systematic approach that is designed at the initial stage, taking into account the forecasting and dynamics of management. So, the authors suppose that x = x˜ ∪ x˜˜ , Y = Y˜ ∪ Y˜˜ , x1 = x˜ 1 ∪ x˜˜ 1 , x2 = x˜ 2 ∪ x˜˜ 2 Even when determining the partitioning to sets in the current moment of time, the matter of conversion, that is the changes of the base of the manager’s knowledge is still opened. The authors suggest to consider the variant of railway enterprise management realization concept in terms of structural transformation. Let the source entity of management, i.e. the railway enterprise Ω to be divided into two entities (railway enterprises) Ω1 and Ω2 , Ω = Ω1 ∪ Ω2 and Ω1 ∩ Ω2 = Ø (i.e. the division of the enterprise occurs without coincidence and divestment the separate branches of business. We consider that the synergetic effect from alliancing Ω1 and Ω2 is absent because the results of the activity Ω is the amount of the activity results Ω1 and Ω2 . Then, the multitude of input parameter x will be also divided into two submultitudes x = x1 ∪ x2 , both the crossing x1 and x2 is not empty value x1 ∩ x2 = Ø. In this case, the retrospective base for a new railway enterprise management Ω1 will be x1 , and the second enterprise x2 . Thus, the authors offer that the further dynamics of the first railway enterprise development is dependent on the retrospective base of the indices x1 , the system of management being described by the pair of functional x1 = F(X , Y )
(1)
x2 = U (X , X 1 , Y )
(2)
Where F(·) is the functional determining the results of enterprise operation under the effect of the input internal and output external X and Y , U (·) is the functional determining the managing effect according the results of the output data of the railway enterprise. Taking into account the functional (1) and (2), the changes in the system of railway enterprise management will be performed according to the division of X and Y into the sub-multitudes. Considering the multi parameter or vector character of inputting into (1) and (2) X , X 1 ,Y the division of these multitudes or vectors into sub-multitudes may occur on the following directions. Then, the multitude of the x parameters will also be divided into two sub-multitudes x=x1 ∪ x2 , the crossing x 1 and x 2 being not empty value x=x1 ∩ x2 Ø. In this case, the retrospective base for the new enterprise management Ω1 will be x1 , and the second enterprise x2 . The authors consider that the further dynamics of the first enterprise development depends on the retrospective base of the index x 1 the management system being described by the pair functional. Let X = (x 1, x 2 x n ) to be the vector characterized as the absolute values of the indices A = (a1 a2 ,…an ) of the railway enterprise system – Ω. The division of the enterprise system into two structures Ω1 and Ω2 allows to talk about the new sub-multitudes A1 and A2 A1 ⊆ A, A2 ⊆ A, in which every of the indices ai 1) a1 ∈ A1 ; ai ∈ / A2 , 2) ai ∈ A2 ; ai ∈ / A1 ,
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3) ai ∈ A1 ; ai ∈ / A2 , In cases (1) and (2) there is a pure allocation of indices into one of the structures, while in the latter case the consideration of management index has been maintained as in the first as in the second enterprises. In common case, we can suppose that x1i = αi1 xi ; x2i = αi2 xi
(3)
αi1 + αi2 = 1
(4)
where xi1 is the absolute share of the index x 1 , referring to the structure Ω1 , xi2 is the absolute share of the index x 2 , referring to the structure Ω2 . The conception of the forecasting and operating cost management offered by the authors has been based on the correlative regressive analysis. So, we can suppose that the functional (1) and (2) are represented in this approach by the additive functions, i. e. n fi (xi , Y ) (5) F(X , Y ) = i=1
Then dependence xk1 =
n i=1
αi xi
(6)
of the output index of the system Ω is subdivided into two dependences n n xk11 = αi αi1 xi = αi xi1 , i=1
xk12 =
n i=1
i=1
αi αi2 xi =
n i=1
αi xi2 ,
(7) (8)
Thus, the regressive dependences represented above can be transformed for the operating cost management of the railway transport enterprises in terms of their structural transformations, that are railway divisions. The considered indices of liquidity allow only to a minor extent to reveal the real situation of the legal entity activity. With a view to the systematic approach to the estimation of the economic condition, the railway enterprise should be estimated in terms of the forthcoming money flow, income and expenses for the period of the credit agreement validity. The indices of the legal entity financial stability characterize the structure of the used capital from the position of its financial development stability. While conducting the analysis, the authors offer to distinguish the following factors: the provision by its own source of finance, financial independence, financial stability, financial independence in the stockpiling, Altman Z-account. One of the important indices characterizing financial stability of the legal entity is the factor of the provision by their own sources of finance. This factor is taken into account in estimating what part of the legal entity current assets is funded by means of their own financial supplies: FP.O.S = OC−BC CA , where OC – owner capital, BC – basic capital. If the value of the index is less than required edges, it means that the legal entity is strongly dependent on the suppliers in the part of the timely shipment and creditors in the
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part of the financial sources arrangement in its activity. The indicator of the provision by its own sources of finance is closely connected with the financial independence indicator, which is also widely applied in market economy. This index characterizes the volume of the owner’s capital in the common structure of the sources of finance and reflects the legal entity dependence on the borrowed capital: , where LT – the liability totals. Ff .i. = OC LT The more financial supplies of its own has the legal entity the easier it can cope with the financial turmoil of the economy. Therefore, the top managers of legal entity must strive to the increasing of the absolute total amount of its capital. The potential to the realization of the given imperative has been obtained first of all by high-performing enterprises. Having a positive surplus on the account of profits and loses the enterprises must seek to the holding most of the profit on circulation by means of the creation various provisions from gross and net profit. The factor of financial stability characterizes the part of property which is financed , where PC is a permanent capital, A is the by means of stable sources: Ff .s. = PC −L amount of assets, L is the amount of loses that bears by the legal entity. In equal possible events the permanent capital is considered to be the stable source of finance, which links all capitalized sources of finance from the activity of the legal entity. This is the more soft target in comparison with the financial independence factor. In practice of financial analysis it is adopted to consider that the optimal index is within the 0,8 ≤ Ff.s. ≤0,9, the crucial index is considered to be Ff.s. ≤ 0,75, which shows that the value of borrowed funds is raising considerably. The more important fact that these borrowed funds are not long term intended for the enterprise reconstruction but rather short term dedicated for the current repair. In the process of economic analysis of legal entity condition as well as in the development of the whole indicator of the financial independency it is necessary to address the index of financial independency in the part of the establishing enterprise stocks because this is the factor which reflects the manufacturing supply aspect for the main activity of the legal entity and how it depends on the fund-raising income. The factor of the financial independence in the part of the stock establishing is counted in the following way: Ff .i.f .d . = OC−BC SV , where SV is the stock value. The acceptable limit for this indicator is considered to be Ff.i.f.d. ≥ 0,5. If the value of the indicator is less than the given limit, the dependence on the creditors of the legal entity is sharply increasing that in case of the fluctuating of fear-trust can lead to the legal entity getting bankrupt. The economic regulation at the systematic assessment of the legal entity activity will be incomplete without the determination of the bankruptcy risks which is calculated with the help of the so called “Altman Z-account” (Table 1): Gross income Current assets · 1.2 + · 3.3 whole property whole property Stocs + Profits of future periods + Funds + not distributed profit + 1.4 whole property authorized captial income of realization +Z− = · 0.6 + · 1.0 reliability whole property
Z− =
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Table 1. The change in the bankruptcy risk indicator of Altman Z-account Indices
The risk level
0.8 and
Risk of bankruptcy
Altman Z-account is the final index of financial stability characterizing the bankruptcy risks. As the borderlines of such probability we can accept 1,81. If the Altman Z-account accept the value more than 1,81 the top managers of the legal entity can be certain that the bankruptcy probability is very low, but if the Altman Z-account is less than 1,81 the bankruptcy risk is increasing abruptly and top managers must carry out a thorough analysis of indicator integral parts and to take actions which have to be performed in the field of current assets increase, sales profit and basic activity profits, as well as the profit reservation and contributions to the funds, the establishing of more decisive structure of the share capital. When analyzing this indicator the legal entity management must take into account the fact that the indicator figures less than 1,81 do not prove the enterprise bankruptcy but indicate the unfavorable trend in the financial activity of the legal entity. The capital investment must give rise to effect under which the authors consider to be the profit indicator on every invested ruble. The efficiency of the revolving funds use is characterized first of all by their circulation. The indicators of turnover have great significance for the economic situation assessment of the legal entity as the speed of capital flow i.e. the speed of converting them into the monetary terms affects the solvency of the legal entity. Moreover, the increase of the capital circulation speed reflects at equal opportunities the increase of productive and technological potential. In this regard the calculations of funds turnover invested into stocks of inventory items and used by customers of services in the order of their commercial crediting are often calculated. The measurement of financial burden degree which is invested into the basic capital is of substantial interest. The great deal of interest is also the problem of all capital amount intensive degree as compared to the whole sales turnover and the ways of its solving. The most accepted indicator characterizing the turnover is the factor of output capital ratio: IR Fo.c.r =
TL
,
where IR – the indicator of sales revenue. The enterprise performance indicators are considered with the individual legal entities, the characteristics of which being taking into account. They depend on their functions in turn and affect the cost management system. The possibility of the company’s assets increase has an impact on the manufacturing processes where the production capacity is taken into account. The comparison of previous management systems provides an estimation that reveals what deductions have been made in comparison and
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what may be included as a stage of changing the legal entity operation or an enterprise. It is possible to use the following criteria for making analytical calculations showing the impact of expenses on the activities of a particular branch. There is an analogical factor of capital turnover: Fc.t. =
IR OC
This index characterizes the various aspects of legal entity activity. From the financial point of view it determines the capital turnover speed, from the economic point of view it determines the activity of monetary funds being in risk by the enterprise. If Fct is rather high, it means the considerable increase of sales level under the invested capital that may lead to the credit sources increase. It may cause the high limit achievement and the involving the creditors into the enterprise much more than the owners themselves. In this case the relation of obligations to equity capital is increasing, the safety of creditors is lowering and the legal entity can have serious difficulties connected with the income decrease and the whole tendency of prices lowering. On the contrary the low factor means the inactivity of some own capital parts. In this case the factor points out the necessity of own funds investment into another, more appropriate source of income. Not sufficiently high enough index of this indicator can be a problem in further activity connected with the shortage of funds for the stock formation, lack of turnover funds and consequently the increasing of the borrowed sources share in the structure of the legal entity stock formation. In order to avoid it the enterprise should increase the own capital turnover increasing the share of realization on one ruble to its own capital. When carrying out the analysis it should be mentioned the speed of turnover increase which is characterized by the factor of investing capital turnover: IR , where LTO – long-term obligations. Ft.i.c. = OC+LTO This indicator demonstrated the speed of all long-term capital turnover, i.d. the capitalized sources of legal entity stocks establishing. It is worth to mention that the denominator is calculated as the average annual year value. The increase of the turnover capital may occur by means of the speeding up the stock turnover with regard to the capital decrease in the analyzed period as well as price increase in the period of inflation.
3 Results The liquidity indicators of financial stability are interrelated, are complementary to each other and in conjunction and are available to give the idea about the creditworthiness of the legal entity. In case it reveals the low liquidity indicators but the financial stability is not getting lost, the legal entity can have the chances to overcome the situation. But if both liquidity indicators and financial stability indicators are unsatisfactory, the legal entity is the potential bankrupt. To overcome the financial instability is rather complicated, the process needs time and investment. For the problematic legal entity which has lost financial stability any negative set of circumstances coincidence can lead to bankruptcy. The business activity analysis allows the top manager to determine how effective the enterprise stocks are used. The index of business activity to a certain degree unites in itself the indicators of turnover and cost which in the field of decision making can affect
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the economic strategy of the legal entity. The cost indicators characterize the efficiency of the legal entity activity, its profits concerning the definite spheres of activity, cost recovery. These indicators demonstrate the final results of business activity even more than the profit itself as they are expressed in the relative values. The ratio of sales amount to the whole result of resources characterizes the efficiency of all available stocks use independently on the sources of their origination. It reveals how many times a year the complete cycle of production or the turnover making a profit are performed, and what monetary units from the total volume of production have been obtained.
4 Discussion In order to reach the economic efficiency of Russian railway transport enterprises the top managers can take into account in their business activity the cost indices obtained in the result of the suggested economic analysis. As the suggested indicators reflect the price ratio, volume of production and expenses, the dynamic of given indicators may reflect the combination of the following changes: 1) the prices of the products and services on sale; 2) the level of cost production; 3) the volume and structure of manufactured goods and services. The top managers of the legal entity should take into account that the changes in the volume of basic activity can have a positive impact in case the enterprise have the high level of constant charges.
5 Conclusion The continuous functional analysis of the legal entity assessment complex system requires the establishing the economic technologies of realization, the suggested system of balanced indices improving. Thus, in result of the conducted research the following conclusions have been made: 1. the studied framework of railway enterprises operating costs forecasting and management based on the three developed economic models with the help of correlative regressive analysis allows to work out the system of economic process improvement, the volume of input information on the indicators number being taken into account; 2. the analysis of operating costs is investigated according to every expenses element on every field of operating activity at railway transport enterprises.
References 1. Bagoula, C., Guillotreau, P.: Maritime transport in the French economy and its influence on air pollution: an input-output analysis. Marine Policy 116(2020) https://doi.org/10.1016/j. marpol.2020.103818 2. Alejandro Cardenete, M., López-Cabaco, R.: How modes of transport perform differently in the economy of Andalusia. Marine Policy 66 (2018). https://doi.org/10.1016/j.tranpol.2018. 02.015
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3. Yang, Q., Hu, X., Wang, Y., et al.: Comparison of the impact of China’s railway investment and road investment on the economy and air pollution emissions. J. Clean. Product. 293 (2021). https://doi.org/10.1016/j.jclepro.2021.126100 4. Carbajo, J., Sakatsume, T.: Plans, timetables, and delays: progress with railway reform in transition economies. Utilities Policy 12(4), 231–242 (2004) ˇ 5. Dedík, M., Cechoviˇ c, L., Gašparík, J.: Methodical process for innovative management of the sustainable railway passenger transport. Transp. Res. Proc. 44, 305–312 (2020) 6. Jaraš¯unien˙e, A., Sinkeviˇcius, G., Mikalauskait˙e, A.: Analysis of application management theories and methods for developing railway transport. Procedia Eng. 187, 173–184 (2017) 7. Chislov, O, et al.: Methodological bases of modeling and optimization of transport processes in the interaction of railways and maritime transport. Adv. Intel. Syst. Comp. 79–89 (2019) 8. Cuppi, F., Vignali, V., Lantieri, C., et al.: High density European rail traffic management system (HD-ERTMS) for urban railway nodes: the case study of Rome. J. Rail Transp. Plan. Manag. 17, 100232 (2021). https://doi.org/10.1016/j.jrtpm.2020.100232 9. Zhigunova, A.V., Shevkunov, N.O.: Ensuring economic security of the enterprise in anti-crisis conditions. E3S Web Conf. 157, 04030 (2020) 10. Makeev, V., et al.: Modeling and assessing the effectiveness of investment projects in the agricultural sector. IOP Conf. Ser. Earth Environ. Sci. 403(1), 012077 (2019) 11. Alireza Mohammadi, A, El-Diraby, T.: Toward User-Oriented Asset Management for Urban Railway Systems. Sustain. Cities Soc. 70, 102903 (2021) https://doi.org/10.1016/j.scs.2021. 102903 12. Chislov, O., et al.: Modelling of the rail freight traffic by the method of economic-geographical delimitation in the region of the South-Easter Coast of the Baltic Sea. Transp. Probl. 14(2), 77–87 (2019) 13. Szymula, C., Bešinovi´c, N.: Passenger-centered vulnerability assessment of railway networks. Transp. Res. Part B Method 136, 30–61 (2020) 14. Liu, G.J., Deitz, G.D.: Linking supply chain management with mass customization capability. Internat. J. Phys. Distrib. Logist. Manag. 41(7), 668–683 (2011) 15. Taylor, Z.: Railway closures to passenger traffic in Poland and their social consequences. J. Transp. Geogr. 14(2), 135–151 (2006)
Modern Systems for the Design Support of Railway Stations and Junctions Vladimir Khan(B) Rostov State Transport University, 2, Rostovskogo Strelkovogo Polka Narodnogo Opolcheniya Sq., Rostov-on-Don 344038, Russia
Abstract. The current order and perspective systems in the organization of the design of the railway infrastructure of the “Railway stations and junctions” complex are investigated. The ways of improving the design process of railway stations and junctions using modern software for automated design of railway infrastructure, tools for remote interaction, collaborative group work are presented. The existing available tools, including intellectualized are described that allow solving the assigned tasks and developing the necessary skills. The choice of applications is stipulated by the following parameters: support for group access, free, convenient and easy-to-learn interface. A transition from individual to group design work is proposed, with the widespread use of available modern software products and design tools, which will make it possible to use the periods of projects more efficiently. Keywords: Railway stations and junctions · Infrastructure · Training · Discipline · Automated design system · Skill development · Group project work · Software · Efficiency · Application · Remote mode
1 Introduction “Railway stations and junctions” is one of the main directions in the preparation and subsequent project work of railway transport specialists, the purpose of which is to understand the relationship between infrastructure and technology of railway transport management. The initial study of this course often causes difficulties for future specialists associated with the need to process a significant amount of technical information, including graphic information, as well as with the labour input of evaluating practical design solutions. This explains the need to improve the decision-making process using modern information technologies. The initial stage of railway stations design pursues the following aim: the designers themselves evaluate their theoretical knowledge in terms of their effective application in practice. The practical task consists in the formation of skills, both directly related to the content of the discipline, and of a social, personal and professional nature.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1563–1571, 2022. https://doi.org/10.1007/978-3-030-96380-4_172
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1.1 Literature Review According to the research and the forecast of promising labour markets [1–4] in the coming years, in the long term, the priority of the skills required for project work will shift to the skills of effectively solving complex transport problems, social skills of organization and interaction (teamwork, time management, formation of position and argumentation) [5–7]. A number of works [8–10] are devoted to the formation of a theoretical base for the methods of integrated assessment and design of transport infrastructure and the results of the activity of railway elements. Foreign experience in the design of junctions and stations is based on the design and development of circuit design for railway junctions in Europe and the United States [11–13]. Nowadays, digital literacy is in demand for highly qualified design specialists in the context of changes in communication methods due to a pandemic and maintenance of technological processes at workplaces. Digital literacy implies the ability to use information resources of the Internet effectively, possession of the skills of a user’s interaction with interface of any software product and quick adaptation to changes in the digital environment [14, 15]. To implement the set tasks, it is necessary to create an environment as close as possible to the conditions of future professional activities during the training of design engineers.
2 Materials and Methods Mastering design skills in the block “Railway stations and junctions” is built as follows: – – – – – – – – –
Theoretical training; Giving individual assignments; Practical group lessons; Practical individual lessons, explanation of the stages of the project; Consultations (group and individual); Informational and methodological support for the implementation of the project; Examples of independent project implementation; Checking each project; Public defence of the project.
The existing approach to teaching the skills of designing stations and junctions has many options for training, supporting the implementation of practical tasks that are in demand on totality of their skills by the labour market and directly by the profile industry in which they are implemented. The main goal is to create a project environment that matches the real production environment in the following parameters: – The type of interaction. The modern real design environment for such objects as the railway transport infrastructure implies the complexity of the implementation of the task in the form of individual work. An individual task, involving the implementation
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of all design stages alone (feasibility study, calculation part, work technology, development of a plan and profile, etc.) does not always provide an opportunity to develop the skill of teamwork, without which even the most outstanding indicators of a trainee in the cognitive sphere may be unclaimed in a real workplace; – The process of setting a task and support for implementation: in a real production environment, the designer is given a technical task and a set of norms and standards. The customer does not explain in detail the entire process of project implementation (as it happens in practical classes). When questions arise, the performer has several ways to get an answer: literature (in the educational environment for the design of stations and junctions - these are manuals, textbooks, a lecture course), an archive of previous projects (samples / project templates), colleagues (in the educational environment they are other learners), a guidance (in a learning environment, this is a teacher). To develop the skill of effectively searching for the necessary information in the learning environment, it is recommended to use the same channels with the same hierarchical structure of sequence and frequency of calls as in the workplace; – Enforcement of schedules. Project work is of a staged nature in its essence, and adherence to the schedule for the implementation of each individual stage is of particular importance. Accordingly, not only the completion of the project as a whole by a certain date of submission, but also the degree of correlation between the passage of individual stages with a pre-developed schedule should be important; – The type and the format of documents. All modern design organizations work in a “CAD” environment and provide graphic documentation for the project in an electronic form. Variants of educational projects without the use of computer technology (drawings and an explanatory note made by hand) do not provide training for specialists who have at least basic skills in working with the appropriate tools for computer-aided design and documentation. At the same time, not a single program is capable of replacing a person; therefore, a human-computer automated design system is needed, where the capabilities of the program are increased by introducing the user’s intelligence, and the user’s capabilities - by automating the solution of routine calculations. Automated design systems of railway stations have the following principles of operation: human-computer principle (close interaction of the designer and the system with the ability to solve routine tasks by means of computers); the principle of consistency (uniform construction of technical, mathematical means and software complex); the principle of evolution (gradually avoiding from purely manual design methods), the principle of independence from technical means (replacing “morally and physically” deteriorate technical means with new ones), the principle of modularity (supplementing programs and algorithms (modules) for solving applied problems). The automated system in accordance with the principle of development and implementation of schemes of railway stations and junctions is shown in Fig. 1. – Methods of presentation and evaluation of results. In the design organization, the discussion of the finished project before submission to the customer is usually public and it is accompanied by a discussion. Individual defense of a project does not always
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Establishing a set of functionality for evaluating qualitative and quantitative indicators of placement schemes
Functional dependence of criteria on the location of elements
Computer
Development of software for selecting options for rational schemes
Analysis of the obtained options and selection of the best one
Large-scale construction of a rational structure
Fig. 1. The sequence of solving the problem of automated calculation and design of railway stations and junctions
provide opportunities for developing public speaking skills, presenting a student’s work, and active argumentation. At the same time, public defense allows to assess the degree of mastery of the material objectively, the depth of understanding of the theoretical basics and features of their practical application on a specific example.
3 Results Thus, in its current form, project teaching within the framework of the discipline block “Railway stations and junctions” provides a number of opportunities in the development of theoretical material, as well as the development of a set of skills for the effective practical use of the knowledge gained. The process of ensuring design, based on the following principles, seems to be promising: – – – –
Group work; Increasing the level of autonomy; The obligatory use of modern software for design, documentation preparation; Development of skills to improve the efficiency of communication, teamwork and productivity in the design process.
The need to use group work in design is explained by the fact that the project group at the initial stage of preparation can recreate for the student the environment of the
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team, in which theoretical skills will find practical application. Each designer has the opportunity to develop such necessary interaction skills as the distribution and delegation of responsibilities, the formation of his position, argumentation, constructive criticism (both of others and in his own address), respect and objective perception of someone else’s opinion. Close interaction in the production process within the framework of creating a specific project will help to form the most correct idea of a student’s strengths and weaknesses, of his preferred role in future professional activities. The final product of a rationally organized group project activity always surpasses the individual one, because at each separate stage it implements the best proposals of different participants. This allows students to learn from the best examples. Group work trains the practice of using various sources of information and the rational organization of these sources, which contributes to the development of a stable pattern of professional behavior for a design specialist. The methods of forming groups (according to the level of training, with forced or independent formation) depend on the specific conditions of the project work and cannot be the same for all cases. Such an approach will allow developing not only cognitive, but also social, professional, personal skills necessary for successful further work. The practice of working in this format will provide the necessary experience for the actively developing direction of distance learning, in which the use of joint remote work is an urgent need to organize the process of designing the railway infrastructure. An increase in the level of autonomy ensures an increase in activity in the use of alternative sources of information (independent search, other project groups), the choice of a work schedule. Within the deadline for submission of the project, a student sets the schedule for passing separate stages for himself. This approach is directly related to the individualization of learning. When developing this schedule, various factors can be taken into account: individual abilities that affect the timing for the completion of separate stages, their loading in other subjects. For different project groups, various types of project tasks (calculations, design, drawing up an explanatory note) may be critical, which requires different options for distributing time between them. The group must adhere to its individual schedule and it is responsible (including in the form of influencing the final assessment) for its implementation. When developing projects for the discipline blocks “Railway stations and junction”, the tasks of designing the most complex structural elements of stations are being solved. The “AutoCAD” system is the most common software system for computeraided design in transport and industry. The calculations accompanying the design can be performed using special programs integrated into “AutoCAD” and forming the basis of the automated design system for stations and junctions. The following advantages are distinguished for solving the assigned tasks: – Widespread in the professional design environment in various industries, including in the design organizations of the railway profile. It makes it possible to recreate as closely as possible the process of work in a real workplace; – Has built-in collaboration tools. It allows all team members to work on a drawing synchronously or asynchronously, contributing to the development of a common project; – Has a free packet.
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Automated design systems that can be successfully applied in educational design are not limited to “AutoCad”. There are several analogs with similar characteristics, so both teachers and students can make the choice of the optimal software product, guided by their personal preferences, relying on the functional set of tools necessary for solving the tasks and taking into account the observance of licensing restrictions and cost. An alternative to “AutoCad” can be such computer-aided design systems as “CorelDraw” and “KOMPAS-3D”. “CorelDraw” is a graphics editor based on the principles of vector graphics. This editor can be used in almost all areas, one way or another related to design. The basic principle of the “CorelDraw” program is based on the use of primitives elementary geometric objects. It is this principle that distinguishes “CorelDraw” from other graphic editors, since here the designer deals with drawing shapes that depend on the specified mathematical functions. That means that the result obtained in the editor can be scaled to any size: the image quality will not suffer from such changes. All values will be calculated by the program, and their increase or decrease will be absolutely proportional. “KOMPAS-3D” is a Russian 3D design system that has become a standard for thousands of enterprises and tens of thousands of professional users. “KOMPAS-3D” is integrated with other programs. Everything created in “KOMPAS” can be transferred to other CAD systems and work with the original data without any problems. The advantages of “KOMPAS-3D” include: ease of use, an extensive library of standardized products, the Russian-language support and a lot of additional information in Russian, affordable price, large-scale and thoughtful design in 2D, the ability to take into account the properties of a large number of materials. A rational option seems the work with ready-made templates for elements of arrangement of tracks on a modular basis (as in real design). This will allow to use time more efficiently. The development of standard templates (modules) is a labour-intensive process (it is assumed that at the start of the project students have already had a good idea of the type and symbolic designation of the main elements of arrangement of tracks). A set of ready-made templates (including standard design sheets) saves time for creative design work. In determining the rational options for the layout of the railway infrastructure, one of the important factors is the reliability of its operation. Transport and technological schemes of railway junctions are complex, multifactorial and difficult to investigate. To solve this problem, the author’s automated method for assessing the structures and levels of organization of junction transport and technological processes was developed on the basis of the entropy and graphic-analytical approaches. Coefficients of connectivity and reachability are used as a characteristic of the structure of junctions. The connectivity coefficient K s of the junction characterizes the density of the junction with connections, its “strength” in relation to possible external influences: n degxi KS = 1 (1) n where degxi – communication between stations in a junction,
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n – the number of junction stations. Removal of any connections between stations entails a decrease in the corresponding connectivity coefficient. Thus, the coefficient of connectivity characterizes the density of the junction with connections, its “strength” in relation to possible external influences. The reachability coefficient K d is an important characteristic of a railway junction design, reflecting the “speed” of interaction between stations: n n i=1 / j=1 dxij Kd = (2) n · (n − 1) where dxij – the number of transit lines on the route from point i to point j. When designing and operating any junction structures, the most important criterion is their reliability. As a method of measuring reliability, it is proposed to use the stability coefficient of a junction - the probability of maintaining connectivity and manufacturability under external and internal negative influences: Kstab. = min{Kext; Kint}.
(3)
The level of organization of the junction railway structure (the entropy approach) is taken as the coefficient of internal stability of the junction Kint. The entropy approach describes the probabilistic indicators of processes occurring in railway junctions, for which the concept of “relative organization” R is used. The level of organization of the railway system is defined as: R=1−
H , Hmax
(4)
where R – the level of relative organization of the system or “redundancy”, H – the current value of the system uncertainty, Hmax – the maximum possible uncertainty of the system. In modern conditions of operation of transport systems, the assessment of the structure of railway junctions can help in choosing an option for the development of infrastructure and substantiating the issue of its sufficiency, and improve the quality of decisions. For ongoing work on a project, several free available tools can be used to solve various problems and support the development of the necessary skills. The choice of these applications is due to the following parameters: support for group access, free, convenient and easy-to-learn interface. “Zoom” is a cloud-based conferencing platform that has become even more popular after schools, institutions and companies switched to distance learning and work due to the global pandemic. “SketchBookExpress” is a program that allows you to draw with the mouse, fingers on the tablet. It is a popular sketching tool. It is free (except for “Enterprise”, “Sketchbook Pro” versions). It works on “Windows”, “Mac”, “Android”, “iOS” operating systems. This is a mobile application from “Autodesk” that allows to make a sketch and save it in *.jpeg or *.png formats. “Miro” (formerly “RealtimeBoard”) is a platform for remote collaboration using an online whiteboard. The board is suitable for drafting projects, creativity, design concepts,
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brainstorming, and educational purposes. You can add uploaded files and documents to the whiteboard, draw, take notes, and insert stickers. To create a board, you can use ready-made templates or create it from scratch. “Trello” is a service for teamwork that allows to plan and publish current tasks, organize them and monitor their execution. Based on the Japanese “Kanban” board system, a handy device for organizing work. The main advantages of “Trello” are simple interface; almost unlimited free access; ease of use and the ability to integrate with other popular tools for online work. “Google” documents (“Docs”) is a web-based document management application. It is used to create and edit private and public spreadsheets and text documents. Edited and created documents can be saved online in the “Google” cloud or on a personal computer. “Google Docs” can be accessed through a full-featured browser and a computer with an Internet connection. The document can be viewed by group members with the permission of the owner.
4 Discussion Changing requirements for qualifications and skills of future designers should become a driver for improving the organization of teaching such complex disciplines as “Railway stations and junctions”. The use of information technology allows to improve the design process, to make multivariate calculations of objects. The transition from individual to group work, with the widespread use of available modern software products and tools for designing railway stations and junctions, will allow students to develop both cognitive and social, professional, personal skills necessary for successful work in the future. The practice of working in this format will provide the necessary experience for the actively developing direction of distance learning and project work. Acknowledgments. The reported study was funded by RFBR, Sirius University of Science and Technology, JSC Russian Railways and Educational Fund «Talent and success», project number 20–38-51014.
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5. Ramskogler, P.: Labour market hierarchies and the macro-economy – do labour market dualities affect wage growth in Europe? Struct. Change Econ. Dyn. 56, 154–165 (2021). https:// doi.org/10.1016/j.strueco.2020.10.001 6. Roeger, W., Varga, J., Veld, J., Vogel, L.: The distributional impact of labour market reforms: a model-based assessment. Eur. Econ. Rev. 131, 103638 (2021). https://doi.org/10.1016/j.eur oecorev.2020.103638 7. Marinescu, I., Ouss, I., Pape, L.: Wages, hires, and labor market concentration. J. Econ. Behav. Organ. 184, 506–605 (2021). https://doi.org/10.1016/j.jebo.2021.01.033 8. Chislov, O.N., Bogachev, V.A., et al.: Modelling of the rail freight traffic by the method of economic-geographical delimitation in the region of the South-Easter Coast of the Baltic Sea. Transp. Prob. 14(2), 77–87 (2019) 9. Chislov, O., Zadorozhniy, V., Lomash, D., Chebotareva, E., Solop, I., Bogachev, T.: Methodological bases of modeling and optimization of transport processes in the interaction of railways and maritime transport. In: Macioszek, E., Sierpi´nski, G. (eds.) TSTP 2019. AISC, vol. 1083, pp. 79–89. Springer, Cham (2020). https://doi.org/10.1007/978-3-030-34069-8_7 10. Chislov, O.N., et al.: Time parameters optimization of the export grain traffic in the port railway transport technology system. Smart and Green Solut. Transp. Syst. 1091, 126–137 (2020) 11. Jacyna, M.: Cargo flow distribution on the transportation network of the national logistic system. Int. J. Logist. Syst. Manag. 15(2–3), 197–218 (2013) 12. Luptak, V., Lizbetin, J., Bartuska, L.: A case study of the evaluation of the quality of connections on the railway transport network in the south bohemian region. Transp. Res. Proc. 53, 66–71 (2021). https://doi.org/10.1016/j.trpro.2021.02.009 13. Cuppi, F., Vignali, V., et al.: High density European Rail Traffic Management System (HDERTMS) for urban railway nodes: the case study of Rome. J. Rail Trans. Plan. Manag. 17, 100232 (2021). https://doi.org/10.1016/j.jrtpm.2020.100232 14. Fu, Y., Li, N., Feng, J., Ye, Q.: Incongruent skills and experiences in online labor market. Electr. Comm. Res. Appl. 45, 101025 (2021). https://doi.org/10.1016/j.elerap.2020.101025 15. Ti¸ ¸ tan, E., Burciu, A., Manea, D., Ardelean, A.: From traditional to digital: the labour market demands and education expectations in an EU context. Proc. Econ. Finan. 10, 269–274 (2014). https://doi.org/10.1016/S2212-5671(14)00302-5
Application of Automatic Aerosol Extinguishing in Vehicles on the Territory of the Russian Federation Valeriy Yakovlev(B) Department of Technosphere Safety, M. K. Ammosov North-Eastern Federal University, 58 Belinsky Street, Republic of Sakha (Yakutia) 677000, Russia
Abstract. The article deals with the actual problem of fire in motor vehicles on the territory of the Russian Federation and the method of its solution as the use of a fire extinguishing aerosol agent. At the beginning, the relevance of the research topic is formulated. The three most acutely affected are listed as the causes of the fire. The solution to this problem, based on the review and our own conclusions, is selected aerosol series “Doping”, which further provides a brief description, diagram and image of the aerosol generator itself, as well as a table with two versions of the electric igniter and connector. As a conclusion, the expediency of using automatic aerosol extinguishing in the form of conclusions and recommendations is justified. Keywords: Automatic aerosol · Vehicles · Fire · Automatic fire extinguishing systems
1 Introduction Cars nowadays are becoming available to all categories of citizens. But with the availability of automobile technology is a complex constructive device, which is a fire and explosion hazardous object. In production, non-metallic parts with a low degree of fire resistance are increasingly used. The elements of the system are close to each other, which affects the increase in the fire load, the spread of the fire center. Unforeseen events may occur with vehicles during operation. The most dangerous for a hundred cars is a fire in their vehicle. The entire structure of the machine burns out, only metal remains. If a fire occurs in a parking space or next to other vehicles, the fire can spread to neighboring cars, which leads to massive car fires. In the future, the flame can spread to the residential sector, buildings, forests. At the moment, an extremely topical issue is the development of infrastructure in the cities of the Russian Federation. It is worth noting here that the level of the urban population in Russia is 73%, while the world indicator is 50%. Thus, it becomes extremely urgent to meet the needs of the urban population of Russia. At the same time, it is necessary to pay attention to vehicles, since every year the risk of their fire increases significantly due to various factors.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1572–1578, 2022. https://doi.org/10.1007/978-3-030-96380-4_173
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According to statistics from the Ministry of the Russian Federation for Civil Defense, Emergencies and Elimination of the Consequences of Natural Disasters, 17,896 fires were recorded in transport in 2019, which is 3.8% of the total number of fires. The Russian Federation has a rather harsh climate characterized by low temperatures. Extremely low temperatures are recorded in some regions of Russia. In this aspect, the winter in Yakutsk is extremely cold, the average January temperature is below −40 °C, sometimes frosts reach 60-degree mark. Winter lasts from October to April inclusive, spring and autumn are very short. Thaws in the period from December to February have not been recorded in the entire history of meteorological observations. Control of the chemical combustion processes is responsible for the effectiveness of the aerosol fire extinguishing system: when the device is triggered, the reagent suppresses the chain reaction and makes it impossible for the further spread of the flame. The working body of such a system is a generator with a charge of an aerosol-forming composition (AOC), which has a separate self-cooling system and a starting mechanism. The charge is placed in a metal case and has a large margin of safety. The principle of aerosol fire extinguishing is as follows: when a fire source appears in the starting unit of the generator, the production of a cloud of active substance is activated due to a pyrotechnic impulse. Within a few seconds, the reagent fills the volume of the room and stops the spread of the flame, reducing its intensity to zero. Aerosol fire extinguishing has a long-lasting effect: the particles of the extinguishing agent are very small (up to 10 µm), therefore they remain in the form of a fine cloud for half an hour, preventing the fire from spreading again. In addition to directly extinguishing the fire, the aerosol reduces the temperature of the environment in the room, preventing damage to property.
2 The Most Common Causes of Fire Vehicle fires can occur for a wide variety of reasons. Such reasons can be both shortcomings from the manufacturing plant, and due to improper operation of the vehicle [1]. The following are the main causes of vehicle fires: 1. Factory defects and design flaws. Such cases also occur at the current level of design and production of cars. Consumers sometimes face the fact that their cars are unsafe, in particular, they may catch fire. In such cases, the manufacturing plant often conducts a recall campaign and removes the dangerous defect free of charge. Of course, this does not raise the rating of the company, but it is much more important to prevent a fire, even in one of a thousand cars [2]. 2. Improper service. When carrying out maintenance, violations of safety rules are possible, and at the same time, various elements of the vehicle’s systems may catch fire. It is possible that some fasteners or fixing elements were not tightened or sealed properly. The result is a leak of flammable fuel and the possibility of fire in the future. A fuel leak can lead not only to a fire, but also to an explosion of a mixture of gasoline vapors with air in a certain proportion. Gasoline ignites spontaneously without exposure to open fire at a temperature of 257 °C, that is, it only needs to hit
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the exhaust manifold of a running engine or other hot part. And from a spark, a flash occurs even at + 7 °C. 3. Malfunctions of electrical equipment are usually manifested by the failure of fuses that protect the circuit from short circuits. Before replacing the fuse, the cause of the blown must be eliminated [3]. Always comply with the fuse rating required by the vehicle owner’s manual to prevent fires in the vehicle wiring. Insulation sometimes touches sharp edges of metal parts. Constant vibration and friction can damage the insulating cover. A short circuit in unprotected areas of the starter or generator power circuits causes sparking, heating and melting of the wire core, ignition of its insulation and combustible materials nearby. A loose or oxidized contact of the power wires has increased resistance, sparks and heats up very much when consumers are turned on, which can lead to a fire in the car wiring. The most common cause of fires in vehicles is violation of the rules for the design and operation of vehicles. The largest number of fires in vehicles is recorded in the autumnwinter period of the year. This is due to the fact that, due to low temperatures, the engines are heated with the help of third-party technical means that are not included in the vehicle package, or an open fire. Due to the low temperatures, residents-car owners of the city are forced to insulate cars, install various auto-start systems and pre-heaters in them. Such tampering with the basic configuration of the vehicle may result in malfunction or damage. So, for example, in case of improper installation of additional equipment, overloads and a short circuit in the car’s electrical network, leakage of fuel and lubricants, coolant are possible. As a result, due to the superposition of these factors, a fire occurs. It is also worth noting that the causes of fires on vehicles are unpredictable and not always clear, and for the occurrence of any fire, conditions are necessary for the formation of a combustible medium and the presence of an ignition source that serves as an impulse for combustion. The fulfillment of all the conditions for the appearance of combustion serves a number of specific reasons that can occur in a car: – Leakage of flammable liquids (fuel and oil) from containers in cars; – Violation of the prescribed rules for the operation of the car; – malfunction of electrical wiring in cars, leading to a short circuit and fire (the most popular cause of fires in old cars); – Intervention by the driver in the structure of the car (incorrectly installed electrical devices can heat up to critical temperatures and cause a short circuit); – Damaging factors of weapons and weapons of attack on the car; – Gas leakage and concentration of explosive substances in an enclosed space in vehicles with gas equipment. In the event of such a nuisance, the motorist needs to help eliminate combustion as soon as possible, in order to further stop the spread. Practice shows that the burning time of middle class vehicles is very short and does not exceed 30 min. In some cases, the car is able to burn out completely in 4–6 min. The driver’s responsibility is to take good care of his car and securely park the car for a long time. The driver is invited to use a fire extinguisher provided for by the rules
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of the road in the event of a fire. It is allowed to use carbon dioxide and dry powder fire extinguishers. Fire extinguishers must be accessible and stored in the vehicle port cabins. Many drivers neglect the rules by leaving a fire extinguisher in the trunk. During a fire, the car owner will spend time looking for a fire extinguisher, those who do not know will have to study the instructions for use, which will still delay the time for a crime to extinguish the fire. If the fire has taken an open form, it becomes difficult to cope on your own. We’ll have to call the fire department. The most favorable scenario is to prevent the vehicle from catching fire and prepare in advance. Fire protection should be achieved by using one of the following methods or a combination of them: using fire extinguishing means and appropriate types of firefighting equipment; using automatic fire alarm and fire extinguishing systems. A modern car burns down in 5–6 min, and often this happens in front of the owner himself. Most often, a fire starts in the engine compartment, less often - in the passenger compartment, in isolated cases - in the elements of the chassis of the car from friction, for example, when a bearing or wheel is jammed while driving.
3 Solution to the Problem The solution to this problem requires an integrated approach, which includes compliance with elementary fire safety rules, as well as the use of automatic fire extinguishing. The most effective is a fire extinguishing aerosol [4]. Aerosol fire extinguishing involves stopping a fire through the use of aerosol formulations or automatic aerosol installations. Specifically for extinguishing vehicles, it is proposed to use an automatic aerosol fire extinguishing system of the “Doping” series (Fig. 1).
Fig. 1. Generator of fire extinguishing aerosol “Doping-2”.
The generator of fire extinguishing aerosol “Doping 2.160” / “Doping 2.160p” with end outlet of aerosol is designed to extinguish fires and ignitions in conditionally sealed volumes in accordance with GOST 27331–87 of the following classes:
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• Subclass A2 - combustion of solids, not accompanied by smoldering; • Class B - combustion of liquid substances; • Class E - fires occurring in rooms with cables, electrical installations and electrical equipment energized up to 140 kV; • For localization of fires of subclass A1 [5] (Table 1).
Table 1. The generator of fire extinguishing aerosol GOA name
Electric igniter version (Fig. 2)
Connector type
“Doping 2.160”
B
With electrical connection type 2PM14
“Doping 2.160p”
A
With pin contacts of the 6.3 series according to OST 7.003.032–88
The generator can be started both in automatic and manual mode (duplication principle) [6]. The generator is mounted in fire-hazardous places of the car (engine compartment, luggage compartment, heater compartment, fuel tank compartment, etc.) and starts automatically from heat, flame, sparks that appear during a fire, or manually by pressing a button installed on the dashboard in the driver’s cab.
Fig. 2. Fire extinguishing aerosol generator.
“Doping 2” is an automatic fire extinguishing system installed in fire-explosive compartments of a vehicle. It is a fire-extinguishing aerosol generator mounted through the vehicle’s power supply system. The “Doping 2” system is fastened by means of the bracket with the bolts and nuts included in the delivery set, so that the place where the extinguishing agent exits is directed to the likely place of fire. The system contacts are connected to the vehicle’s
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power supply with a current of 1.5–3 A and are isolated. The technical characteristics of the Doping 2 installation make it possible to provide protection with a volume of 2 m3. Weight - about 0.3 kg. Application temperature range is from −50 °C to + 95 °C. The dimensions of the device are compact - 78×160 mm. The automatic system is triggered when the temperature is more than 200 °C on the heat-sensitive cord of the fire extinguisher. After 2 s, the fire is extinguished within 4–10 s. The extinguishing process takes place under a hissing sound with a characteristic vigorous release of a gray-blue mixture. It is necessary to wait a couple of minutes until the fire completely stops. Subsequently, the flame-inhibiting mixture is removed through leaks in the protected space or by simple ventilation, leaving no traces. The bonus of using the “Doping 2” system is its use as an anti-theft device. When installing in an additional power source, it is necessary to connect a toggle switch located in a hidden place (steering column and others). At the moment when the engine is started by an intruder with the toggle switch operating, current pulses are sent to the device. Then the system is triggered, and, just like in a fire, bluish smoke is emitted. The fire extinguishing aerosol in the fire extinguisher goes into the combustion chamber and prevents the combustion of the fuel mixture. As a result, the car cannot be started for some time, and the hijacker will no longer be able to drive away in your car. Advantages of the Doping 2 automatic fire extinguishing system: no ozone-depleting substances; average price range; applied in a wide temperature range; the extinguishing agent released is easily removed. Disadvantages: a source of additional power supply is required; the engine will not start for some time; Due to the high starting temperature (200 °C) at the aerosol outlet, the plastic and rubber parts of the vehicle may bend.
4 Summary Here, first of all, it is worth noting that motor vehicles are a potential source of ignition, since they consist of various flammable materials and elements. The risk of fire will steadily accompany the driver, regardless of his movement or being in the garage. Constant monitoring is necessary, but even this will not reduce the risk of an adverse outcome to a minimum. The best solution for a motorist would be to install an automatic fire extinguishing system [7]. The market for goods offers different automatic extinguishing systems: from cheap to expensive. You should not save on your health and the lives of loved ones. It is better to spend money on a fire extinguishing installation once than to hope for luck. A burned-out car will cause more losses than installing the system. The vehicle is a potential ignition source. It contains such flammable materials as plastic, gasoline, electrical wiring, rubber, gas cylinders, oils, fabrics and others in the composition and in the device. The risk of a fire will accompany the driver constantly: he is in a heavy traffic stream or the car is just standing in the garage. Constant monitoring is necessary, but even this will not reduce the risk of an unfavorable outcome to a minimum. The best solution for a motorist would be to install an automatic fire extinguishing system [2]. The market of goods offers different automatic extinguishing systems: from cheap to ex-pensive. You should not save on your health and the lives of loved ones. It is better to spend money on a fire extinguishing installation once than to hope for luck. A burned-out car will cause more losses than installing the system.
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References 1. Kurnosov, N., Lebedinskiy, K., Salmin, V., Morev, A.: Design of the device for fire extinguishing the sub-body space of the car. Sci. J. Truck 3, 41–43 (2019) 2. Lugovaya, N., Stepanova, M.: Automatic fire extinguishing systems in cars. Fire and Techno. Safety: Prob. Ways of Improve. 3(7), 287–291 (2020) 3. Kornilov, A., Borodin, A., Bulatova, V., Krudishev, V.: The results of the tests of fireextinguishing aerosol generators with extinguishing the engine compartment of the car. Techno. Safety 2(15), 27–37 (2017) 4. Dianov, A., Amirseyidov, S., Kuzin, G.: Principles of car fire safety formation: Materials of the XXI International Scientific and Practical Conference (Vladimir: Vladimir State University named after Alexander and Nikolai Stoletov), pp. 233–8 (2019) 5. Nedobitkov, A.: Specific features of short circuit in automobile electrical system. Fire Explos. Safety 5, 34–49 (2018) 6. Ayapbergenov, A., Buzurkayev, M., Darwin, E.: Modelling of development of the fires in the cars called by emergency operation in the electrical wiring Collection of articles of the International Scientific and Practical Conference (Penza: Publishing House Science and Education), pp. 65–8 (2019) 7. Nakashidze, Y., Sekirin, K., Morozov, Y.: The main causes of car fires: Collection of articles of the VI All-Russian Scientific and Technical Conference for Young Scientists and Students with International Participation (Penza: Penza State Agrarian University), pp. 121–4 (2020)
Prospects for the Use of Free Software Systems of Corporations in the Automotive and Oil and Gas Industries Nina Krasovskaya(B)
, Anastasia Sycheva , Olga Krasovskaya , and Anton Leshchev
Industrial University of Tyumen, 38, Volodarskogo Street, Tyumen 625000, Russia
Abstract. Enterprises that practice centralized repair of aggregates and systems according to technical condition (CRTC) have become widespread in the structure of repair enterprises of special equipment in the oil and gas industry. The growing interest in modular and distributed approaches to the design and management of technological production structures creates new problems. One of the main problems that has not yet been properly solved is the monitoring, diagnostics and distribution of technological processes of CRTC in specific production systems. In this paper, the analysis of generalized methods for forming the quantity and composition of repair work complexes for various ways of implementing centralized repair of car aggregates according to technical condition is carried out and recommendations for choosing the most rational of them for various organizational and management systems are developed. Three methods of optimization of technological processes of CRTC aggregates of special equipment were subjected to efficiency comparison. In this case, the performance indicators were evaluated on a five-point scale. The apparatus of multidimensional cluster analysis is used as a mathematical optimization tool. In the work carried out by order of PJSC “Surgutneftegaz”, the analysis of generalized methods for forming the quantity and composition of repair work complexes (RWC) for various forms of organization of CRTC of car aggregates was carried out and recommendations were developed for choosing the most rational of them, taking into account the appropriate structure of the production process. It is taken into account that the parameters of learning algorithms are heuristic in nature, depending on the types of artificial neural networks. Keywords: Free software systems · Industries · Technical condition · Software development
1 Introduction Recently, operating systems (OS) other than the Windows family (for example, Linux) are gaining more and more popularity. Europe, the United States and Asian countries have already chosen the path of transition for their state institutions to free software (FS). © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1579–1585, 2022. https://doi.org/10.1007/978-3-030-96380-4_174
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In September 2020, Russian President Vladimir Putin at a meeting with representatives of Russian software development companies stated the following: “If Russia is not independent in the field of software, then all other areas in which we want to be independent and competitive will be under threat” [1]. Software development of the usual type due to the closed source code can collect personal confidential data and send it to the developer. Thus, when using proprietary software, there is a high probability of information leakage from the country. Another important point is that when purchasing and using closed source software, we fully trust the developer company. However, there are no guarantees that this company will not close in a couple of years, and we will not have to look for analogues, pay again and transfer our accumulated data to another developer’s software. But everything can happen again if this developer closes in a couple of years. When it comes to free software, the customer immediately receives the source codes. Therefore, it is absolutely right and reasonable that the programs should be released under a free license and be publicly available, in order to allow society to take the next step to improve the software products and use them. For example, if a particular company developed something for some state customer, and then disappeared somewhere or decided that it was no longer dealing with this problem, the codes remain, the development is transferred to another company and the work continues. It remains to choose the right direction for further development, to form the appropriate document flow, so that the program operates with open standards for information exchange and can be easily changed when changing the developer. Thus, free software is much safer than commercial software. In addition, new products in the field of automotive equipment and diagnostic tools are increasingly running under Linux OS. For example, the Launch X-431 is a powerful diagnostic computer scanner for cars of foreign and domestic production. It follows from this that the data obtained in Linux software may not be able to be used for further research in Windows OS. There are a number of reasons for switching to this system, but the main ones are: 1. This is a freely distributed open source code OS. The GNU GPL (GNU General Public License) allows to freely and for free install Linux OS on an unlimited number of computers, which will avoid problems associated with the possible use of “pirated” software, as well as significantly reduce financial costs. 2. Freedom from viruses, Trojans programs, hidden advertising in closed source code applications, etc. 3. Flexibility and convenience in the organization of the user interface. More extensive options for configuring the system “for yourself” than other paid analogues. 4. The user gets the opportunity to freely distribute, save, transfer, burn to disks and install FS on their home computers/laptops without fear of violating license and copyright rights, as well as the possibility of organizing cloud computing – a distributed data processing technology in which computer resources and capacities are provided to the user as an Internet service.
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2 Materials and Methods This paper presents an example of the development with the participation of the authors of free software in the form of original software for the formation of adaptive technologies for centralized repair of aggregates and systems of cars and special oil and gas field equipment (SOGFE), taking into account their technical condition (CRTC), which can be reduced to three technically feasible and economically feasible methods. In the work carried out by order of PJSC “Surgutneftegaz” [2, 3], the analysis of generalized methods for forming the number and composition of repair work complexes (RWC) for various forms of organization of CRTC of car aggregates was carried out and recommendations were developed for choosing the most rational of them, taking into account the corresponding structure of the production process. In contrast to capital repairs, the production process of CRTC has its own features, which consist in the fact that the entire repair fund of car aggregates entering the CRTC passes pre-repair diagnostics, according to the results of which each unit is assigned its own repair complex, (Fig. 1) [4–11]. This form of organization of CRTC is called two-stage (according to the number of stages of control of the repair object–pre-repair diagnostics and acceptance of finished products) and is currently practiced at the repair enterprises of PJSC “SNG” [3, 5]. Errors of the first and second kind that occur in the process of recognizing defects of incoming CRTC components of vehicles during pre-repair diagnostics contribute to a significant increase in production costs, which can be reduced by conducting pre-repair diagnostics-step-by-step control of individual elements of the repaired aggregates during their disassembly (Fig. 1). Some complication of the technology of performing repair work with the introduction of pre-repair diagnostics at CRTC allows to localize such malfunctions that, in principle, cannot be detected by means of pre-repair diagnostics, without reducing the reliability and unambiguity of the diagnostic information obtained [3]. The original software written in the Delphi programming language in the development environment of the same name is used for calculations [4]. This software allows to calculate the coefficient (φjs ) of exceeding the losses from recognition errors of the j-th and s-th RWC by means of pre-repair diagnostics over the losses from combining the RWC data into a single complex [5–15]. ϕjs =
Cjser Cjstotal
.
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where Cjser -total losses due to the erroneous assignment of the unit to the j-th RWC, when actually it is needed to carry out s-th RWC b and vice versa. Cjstotal -the total cost of performing unnecessary repairs due to erroneous attribution. In the FS developed by us to optimize the number and composition of RWC, the calculation stages are considered as a convergent iterative process, where at each iteration one pair of j-th and s-th RWC is combined into the k-th RWC. At each iteration, a certain number of steps are performed. This technique is described in more detail in the works of V. N. Krasovsky, A.V. Korchagin, et al. [3–6]. M −1 M Cjs Pjs kj + Csj Psj ks . (2) CjsOIII = N j=1
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Fig. 1. The organization of the CRTC at the introduction of the third stage of the appointment of the RWC
where Cjs - total losses due to the erroneous assignment of the unit to the j-th RWC instead of the s-th; Csj - total losses due to the erroneous assignment of the unit to the s-th RWC instead of the j-th; Pjs - the probability of incorrectly assigning the aggregate to the j-the RWC instead of the s-th; Psj - the probability of incorrectly assigning the aggregate to the s-th RWC instead of the j-th; kj , ks - repair coefficients, respectively, for the j-th and s-th RWC. Cluster analysis is used as a model in this study [7, 8]. The optimization process using the cluster analysis apparatus consists in splitting the set of parameters G into n (n–integer) clusters (subsets) based on the data contained in the initial set X, so that
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each parameter Gj belongs to one and only one subset of the partition, and so that the parameters belonging to the same cluster are similar, while the parameters belonging to different clusters are heterogeneous (Fig. 2). Xj
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3 methods of optimization of technological processes of CRTC of SOGFE aggregates were subjected to efficiency comparison (estimates of efficiency indicators are set on a 5-point scale): Method No 1 - optimization by typical combinations; Method No 2 - clustering optimization; Method No 3 - optimization using neural networks. Figure 3 shows a graph of the curves of the calculated estimates for the blocks of indicators.
Fig. 3. Graph of curves of calculated estimates for blocks of indicators
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y = 0,0717x 2 - 0,4538x + 1,0155
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Fig. 4. Graph of the curve of the generalized quality indicator
3 Conclusion Based on the graph of the curve of the generalized quality indicator (Fig. 4), it can be concluded that the introduction of the methodology for optimizing the technological processes of the RWC of SOGFE aggregates according to standard combinations will give the best results, unlike other methods considered. This follows from the fact that the optimization method for typical combinations is the simplest, most reliable, has an intuitive algorithm and is more economically profitable. Optimization of technological processes of RWC of the SOGFE aggregates using the method of multidimensional taxonomy shows quite good results, while labor costs for finalizing and automating most of the options for forming a set of clusters are of great importance. The results of the formation of an optimal set of clusters may have different interpretations due to objective reasons: • there is no unambiguously best criterion for the quality of clustering. A number of heuristic criteria are known, as well as a number of algorithms that do not have a clearly defined criterion, but perform fairly reasonable clustering, all of them can give different results; • there are some subjective criteria that determine the number of clusters, usually unknown in advance; • the metric determined by an expert and having a subjective character shows a great influence on the clustering result [7]. Optimization of technological processes of RWC of SOGFE aggregates using neural networks has a high adaptation to the problem being solved, the ability to quickly adjust the optimization results when obtaining new data, and also allows you to find solutions for non-standard problems. However, artificial neural networks difficult to study, implement and have a number of significant disadvantages: • the inability to determine the logic of obtaining a particular solution; 1. the duration of the development of the FS is significantly long; 2. the network topology is quite difficult to form;
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3. the representativeness of the training sample should be sufficiently representative; 4. the parameters of the learning algorithms are heuristic in nature, depending on different types of artificial neural networks. Compiling new databases of typical combinations, improving (or creating your own) algorithm and introducing automation in terms of selecting the number of clusters (it is possible to implement a “bundle” with the artificial neural networks) clustering, selecting parameters in the best way, as well as long–term training of the artificial neural networksthis will allow the considered optimization algorithms to compare in quality and improve their output indicators. The formed databases of typical combinations in repair work complexes can have practical application in the CRTC of any names of aggregates of special oil and gas field equipment, as well as automotive and other complex transport systems.
References 1. Putin, V.V.: The plan of transition of federal authorities and federal budgetary institutions to the use of free software for the period from 2021 to 2025. http://www.cnevs.ru 2. Krasovsky, V.N.: Centralized repair of car aggregates according to the technical condition by manufacturers (Tyumen), p. 164 (2007) 3. Krasovskiy, V.N., Krasovskaya, N.I.: Increase in the effectiveness in the repair of the special gas and petroleum industry equipment. Modern Problems and Ways of their Solution in Science, Transport, Production and Education, vol. 4, SWotfd, 17–28 June 2014 4. Mushik, E., Muller, P.: Methods of making technical decisions (2010) 5. Karagodin, V.I.: Centralized repair of automobile engines according to the technical condition (Moscow Automobile and Road Construction State Technical University (MADI), Techpoligraftcentr, Moscow). ISBN 978-5-94385-059-2 (2011) 6. Kuznetsov, E.S.: Management of technical operation of cars (Transport, Moscow) (2008) 7. Starikov, A.: Application of neural networks for classification problems, Official website of the company. BaseGroup. http://www.basegroup.ru/library/analysis/neural/classification/ 8. Yasnitsky, L.N.: Introduction to artificial intelligence 2nd edn. Publishing Center “Academy”, Moscow (2008) 9. Wentzel, E.S.: Operations research: tasks, principles, methodology 5th edn. KNORUS, M (2010) 10. Gmurman, V.E.: Probability theory and mathematical statistics. Moscow, release date for litRes: 05 November 2020 11. Dyakov, I.F.: J. Automobile Transp. 11, 8–11 (2011) 12. Miroshnikov, L.V., Boldin, A.P., Pal, V.I.: Diagnostics of the technical condition of cars at motor transport enterprises (Transport, M.) (2008) 13. Cornak, S.: Machines, Technologies, Materials. Scientific-Technical Union of Mechanical Engineering, Bulgaria, vol. 2–3, pp. 14–16 (2007) 14. Shibanov, G.P.: Quantitative assessment of human activity in human – technical systems (Mechanical Engineering. Moscow) (1983) 15. Patan, K., Witczak, M., Korbicz, J.: Int. J. Appl. Math. Comput. Sci. 18(4), 443–454 (2008)
The Dynamic Traffic Modelling System Sergey Dorokhin1(B) , Dmitry Likhachev1 , Alexander Artemov1 , Aleksandr Sevostyanov2 , Alexey Kulikov3 , and Alexey Novikov1 1 State Voronezh State University of Forestry and Technologies Named After G.F. Morozov,
Timiryazeva Str. 8, 394086 Voronezh, Russia 2 Orel State Agrarian University, General Rodin Str. 69, 302019 Oryol, Russia 3 State Volgograd State Technical University, Lenin Ave. 28, 400005 Volgograd, Russia
Abstract. High rates of growth in the number of the rolling stock in the streets of cities and, as a result, an increase in traffic intensity, set the municipal authorities the task of increasing the efficiency of organizing the transport process. To solve this problem successfully, it is necessary to have complete information about traffic flows on specific sections of the road network. In the introductory part of the article, problematic issues caused by deficiencies in the organization of traffic are considered. The second part provides a brief description of modern methods for determining the intensity of the traffic flow. In the third part, an analytical review of the results of experimental studies on determining the time and speed of movement of vehicles on the busiest section of the road network of the city of Ryazan is presented and the possibility of their use to build a dynamic model of traffic flows in real time is considered. The next part of the article provides an overview of modern scientific research in the field of traffic modeling and optimization of the use of transport infrastructure. The final part presents a conclusion about the promising directions of the use of dynamic modelling of traffic flows in the development and implementation of projects for the organization of road traffic in urban conditions.
1 Introduction It is difficult to imagine the economic development of a modern city without wellorganized transport links [1, 2]. Ensuring a high level of transport mobility of residents is also one of the important social tasks facing the city authorities. Unfortunately, at present, the city people already consider it a habitual situation when in the morning and evening hours on the main transport routes there are difficulties in traffic caused, first of all, by the low capacity of the existing road network. As practice shows, the constantly increasing fleet of cars in cities has led to the creation of a critical situation in which the existing transport infrastructure cannot provide the required level of traffic intensity [3, 4]. Constantly formed traffic congestion entails the emergence of a number of negative aspects: an increase in the duration and cost of transport correspondence, environmental pollution by exhaust gas emissions and decrease in road safety due to an increased number of conflict situations Constantly formed traffic congestion entails the emergence of a number of negative aspects: an increase in the duration and cost of transport correspondence, environmental pollution by exhaust gas emissions and © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1586–1594, 2022. https://doi.org/10.1007/978-3-030-96380-4_175
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decrease in road safety due to an increased number of conflict situations [5–7]. Preventive measures taken by municipal authorities are aimed, as a rule, at restricting the movement of certain categories of vehicles in the central part of the city or introducing paid parking for cars [8, 9], but these measures have a short-term effect and in the medium term the situation remains practically unchanged.
2 Methods Due to the high cost of road infrastructure construction, more and more often extensive measures for the development of transport systems are used due to more efficient traffic management [10, 11]. This approach makes it possible to improve the quality and reliability of management of the transport system of a large city without capital investments. In this regard, the issue of developing systems for dynamic modelling of traffic flows in real time is becoming topical. Obviously, future management strategies can be characterized as user information systems (primarily dynamic signs and displays) and control systems (reversing lanes, toll collection systems, traffic detectors, adaptive coordinated regulation at traffic lights, access control systems to roadway). In order to achieve high efficiency from the use of the presented traffic control elements, it is necessary to predict the impact of the use of these tools on the formation and elimination of traffic congestion, as well as the overall efficiency of the entire urban system. Travel time is considered one of the most important indicators of the transport system, since this indicator is easily perceived by untrained people. This data can be transmitted to users through dynamic displays and mobile applications. There are three main ways to obtain travel time estimates: – “active” vehicles owned by the city administration, which transmit data about the driving time using GPS/Glonass (for example, public transport data); – a system for matching license plates of cars using image analysis; – receiving data from “passive” vehicles (for example, Google Maps). These three main technologies have been the most common means of obtaining travel time information over the past several decades. However, recently there has been an increase in interest in a new methodology for obtaining travel time measurements. The growing popularity of mobile devices, coupled with wireless connectivity in cars, used to connect these devices to each other and the Internet, has led to the development of a travel time tracking method based on the Media Access Control (MAC) address received from the Bluetooth module. One of the promising ways to obtain information about the traffic intensity is the development of a system for dynamic modelling of traffic flows in real time. Figure 1 shows the main block diagram of the system. The main elements of the system are: – a module for calculating traffic flows along the road network in the form of correlation matrices; – a module for describing traffic flows, in the form of a special mathematical model;
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Fig. 1. The scheme of the system of dynamic modelling of traffic flows.
– a module for working with initial data received from external devices (traffic flow detectors). To ensure high efficiency of the proposed modelling system, it is necessary to provide the most accurate data on the intensity of the traffic flow on the corresponding section of the road network [12, 13]. If traffic data is collected accurately, then this contributes to an increase in the level of model building and allows to correctly assess the prospects for the implementation of design decisions made on the basis of building a dynamic model of traffic flows. Currently, data collection is carried out by using detectors of various operating principles (inductive loop detectors, infrared, video, ultrasonic and acoustic detectors) [14–16]. Let’s take a quick look at some of these ways to get traffic information. Video detectors allow automatic analysis of video images with high accuracy when cars pass under them (Fig. 2). The images obtained with the help of video cameras allow to record various parameters of the traffic flow: the presence of a car, speed, lane occupancy, the lane, flow rate, etc. Traffic monitoring can be done with inductive loop detectors that can detect the presence of a vehicle (Fig. 3). One loop installed under the road surface can count vehicles. Dual loops in the same lane, separated by a fixed distance, can measure a vehicle speed. When the vehicle’s speed slows down below a certain threshold, loop detectors can signal traffic congestion. As noted above, the range of technical devices that allow the collection of information about the traffic intensity on a certain section of the road is quite wide. The choice of this or that method of obtaining data for the system of dynamic modelling of traffic flows depends on specific conditions of the road network and the
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Fig. 2. Video detector of transport: 1 - incoming traffic; 2 - detection zone (“free” mode); 3 detection zone (“active” mode).
Fig. 3. Inductive loop detector operation diagram.
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possibility of installing detectors on the simulated section. In the future, the possibility of monitoring traffic flows based on scanning Bluetooth MAC addresses is being considered.
3 Results To develop a dynamic model of traffic movement in real time, high-quality data on traffic flows are required. In the course of experimental studies, data were obtained on the congestion of sections of the road network in the central part of the city of Ryazan. Figures 4 and 5 show the results of measuring the time and speed of movement along the tracks of Moscovskoye highway in Ryazan. The measurements were carried out during the week from 25 to 31 January 2021. The graphs shown in the figures allow us to estimate the degree of uneven loading of the studied area in different periods of the week. We can see that the highest congestion is observed on Monday (red chart). On the rest of the weekdays, there is a decrease in the traffic load of the road network to the average indicators (blue graph), and on weekends, the traffic intensity significantly decreases and reaches the minimum values (green graph). It should be noted that at the entrance to the study area and at the exit from it, practically comparable indicators of driving time and speed of cars for all days of the week are recorded, and the peak values are reached in the middle part of the study area.
Fig. 4. The graph of the distribution of the average travel time on space intervals.
During the measurements, significant deviations in the average travel time during peak and inter-peak hours were revealed. In fact, there was a critically low efficiency of the system during the hours of greatest demand.
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Fig. 5. The histogram of the speed distribution on space intervals.
Figure 6 shows a model of the operation of the transport system of the central part of Ryazan during the morning peak period. The model made it possible to determine offline important indicators of the transport system operation (density, speed, intensity, congestion level), using the results of experimental studies as input data.
Fig. 6. Complex mathematical offline mesolevel model (on the example of the city of Ryazan): 1 - panel of GIS properties of software DTALite/NEXTA; 2 - nodes of the mesomodel; 3 - calculated velocity diagrams; 4 - a segment of the mesomodel graph; 5 - output of density parameters (graph of flux density); 6 - timeline; 7 - legend of indicators of velocity plots, %; 8 - cartographic base; 9 - accounting for the impact of incidents on the network.
4 Discussion Currently, there are many ways to obtain mobility plans. They can be roughly divided into static and dynamic plans. Static plans are based on demand models used in predictive
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modelling systems, based on special transport surveys and collected statistics on places of residence and employment. These plans are very coarse and do not allow analyzing the periods of unevenness when traffic congestion occurs. Dynamic plans are the ones usually obtained from various peripheral devices offline and online. The study of dynamic mobility plans has acquired an active phase in recent decades. The calculation of dynamic plans is based on a set of traffic data received from traffic detectors. The authors of [17] propose a detailed dynamic decision-making model to determine the degree of risk of congestion on roads and predict their impact on the future traffic flow. It was established that the use of dynamic speed control systems increases the throughput, maintains a stable speed, and increases road safety [18]. Italian researchers [19, 20] consider the possibility of using data from a microsimulation model of road traffic to carry out everyday traffic simulation in an urban environment. Others focus on investigating dynamic platoon dispersion models which could capture the variability of traffic flow in a cross-sectional traffic detection environment [21]. The article [22] presents a mathematical model of the zonal control system for the city’s transport processes, which provides an opportunity to organize optimal control with adaptation to changes in the external environment and make timely decisions in emergency situations based on knowledge about the dynamic state of the control zone. An analytical model of traffic for uncontrolled intersections is presented in one more work [23], which considers microscopic interactions of vehicles and allows traffic forecasting and optimization of road infrastructure. The issues of the influence of various characteristics of traffic flows on the traffic intensity in urban conditions are considered in other works [24]. The presented review of scientific research has shown that there is a wide range of directions for using the modelling of traffic flows in the field of optimization of traffic management.
5 Conclusion Experimental studies carried out on a section of Ryazan road network made it possible to form a dynamic mobility plan and develop a complex computer offline model of the mesoscopic level, using which it is possible to analyze parameters of the effectiveness of existing and projected activities in the field of traffic management. An intelligent dynamic platform for aggregation and modelling of traffic flows in real time will allow to approach the operational planning of traffic management in any large city at a qualitatively new level. The system can also be used as an analytical center in intelligent systems projects aimed at improving the efficiency of using road transport in urban environments. The use of traffic flow modelling systems in the development of traffic management projects is one of the ways to avoid mistakes at an early stage of design.
References 1. Gorin, E., Morozova, Y., Zatsepin, A., et al.: Improving the method of freight vehicles’ traffic modeling. Transp. Res. Procedia 36, 213–219 (2018). https://doi.org/10.1016/j.trpro.2018. 12.066
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Neuronetwork Support for Subdivision Management of Fire Extinguishing of Rolling Stock During Unloading at Metallurgical Enterprises Alexey Denisov(B)
, Mikhail Danilov , Irina Tsokurova , and Sergey Anikin
State Fire Academy of Emercom of Russia, 4 Galushkina Street, Moscow 129301, Russian Federation
Abstract. The article discusses the procedure for finding alternatives to management solutions based on weighted boundary conditions of fire extinguishing, taking into account deviations in fire extinguishing tactics. The purpose of the study is to substantiate the possibility of making reference decisions on fire extinguishing based on the analysis of alternatives to the choice of reference decisions in fire extinguishing tactics at various stages of fire extinguishing using software based on neural networks. This is necessary to ensure the relevant development of the management system of fire and rescue units in the context of a constantly evolving level of computerization and automation. As a result of the study, the authors come to the conclusion that the system for analyzing incoming fire data, based on software using neural networks, is capable of providing high-quality processing of information online in such a way that it will be able to provide support for managerial decision-making by the head of extinguishing the fire, in particular, when extinguishing a fire while unloading rolling stock at metallurgical enterprises. Keywords: Alternative of choice · Fire extinguishing management · Neural network · Metallurgical enterprise · Railway train
1 Introduction There has been a recent increase in research into management systems of various kinds, degrees of complexity and states. Therefore, the application of modern methods and tools for information and data processing is essential. This becomes a critical factor in the development of this field of knowledge, so the design and implementation of information systems where timely analysis before, during and after a fire is one of the most urgent tasks. Important features of fire information acquisition and management are important for fire management systems. Most data are often descriptive, expressed by formalisms subject to extreme variability. Data, even expressed by numbers, also in most cases cannot be well ordered and classified, including because they are subject to change due to © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1595–1604, 2022. https://doi.org/10.1007/978-3-030-96380-4_176
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external and internal factors, fire conditions, features of the control systems themselves, as well as from time to time and other parameters. In a first approximation, all problems solved by modern control systems can be conventionally classified into two groups: 1. Problems that have a known and defined set of conditions that require a clear, precise, unambiguous answer to a known and defined algorithm. 2. Tasks where it is not possible to take into account all the realistic conditions on which the answer depends, but only an approximate set of the most important conditions. Because some of the conditions are ignored, the answer is inaccurate, approximate, and the algorithm for finding the answer cannot be written out accurately. Traditional classical control systems research algorithms can be used to solve the first group with great success. Whatever the complexity of the control object and the components of the control system, the limited set of conditions (input and output parameters) makes it possible to create a mathematical control model, to identify the system and to solve the problem. The second group can be solved using neurotechnology. Their application is justified on all parameters, however, if two conditions are met: first, the existence of a universal type of architecture and a single universal learning algorithm (no need to develop them for each type of problem), second, the availability of examples (background, fixed experience) on the basis of which neural networks are taught. When these conditions are met, the speed of creation of expert systems increases by a factor of tens, and their cost decreases accordingly. The Operational Management of Fire and Rescue Units determines the architecture and fundamentals of the organization of firefighting and the carrying out of the related priority rescue operations. Compliance with the regulations is mandatory for all fire protection personnel and other fire-fighting forces. The Fire Service Code (hereinafter PSI), which was mainly a literature based on established experience, was the source of the operational fire control in the Russian Federation («Practical instruction of firewalls» 1818, «Fire tactics. Rules of fire suppression in questions and answers» E.E.A. Lund and P. A. Fedotova), in which was talked about fire hierarchy and relations in service, as well as the Fire Charter of the Russian Empire from 1832 Part of the Empire’s laws on fire-fighting, fire-fighting, fire-fighting, firefighting, compensation of damages and punishment of those responsible for failure to observe precautionary measures. The sequence of stages of transformation of the Russian Empire, the USSR and the Russian Federation is presented in the following order no longer in force and in force.
2 Boundary Conditions for Decision-Making In the classical representation, a fire passes through four main stages in time: initial stage (I), developmental stage (II), advanced stage (III), extinguishing stage (IV) (Fig. 1). Fire extinguishing factors are represented by the change: linear fire propagation rate (Vl), fire area (Sf), required (Qreq) and actual (Qf) water consumption. Furthermore, in the initial phase (t up to 10 min, I phase), the linear propagation speed (Vl table)
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Fig. 1. Stages of fire development, taking into account the factor of extinguishing the fire
increases to the maximum value characteristic of the category of the object of fire. From the moment of time, more than 10 min are taken as the maximum linear propagation rate for a given category of object and the fire moves to the next phase (II). The third phase is characterized by the introduction of combat action to extinguish a fire at the site of the fire, as a result of which the linear rate of spread of the fire can vary, depending on the methods and methods of extinguishing, therefore, in the period between the introduction of fire-extinguishing devices and the moment of limiting the spread of the fire (the moment of localization), its value is taken as the maximum value (Vl table) [1]. The localization condition is also considered to have been met at the moment when the linear rate of fire propagation is changed, which is facilitated by the actions of firefighting and rescue units if the conditions are simultaneously met: the threat to people is absent or averted and (or) animals, the possibility of further propagation of combustion is prevented, conditions are created for extinguishing of fire by available forces and means [2–8]. The purpose of fire suppression is to prevent the possibility of further propagation of combustion and to make it possible to eliminate it by the available forces and means (usually Vl = 0), namely, if the conditions are met simultaneously: stopped burning, no conditions for spontaneous combustion. Figure 2 illustrates the alternatives to decision-making processes in different time periods of fire-fighting, which are self-like multifractals, where x is a variable time parameter, and k is a function dependency parameter. The multifractals shown on the graph are characteristic for organising fire extinguishing over time. The input alternatives chosen by head of the fire extinguishing (hereinafter referred to as HFE) are consistent relative to each other, but the general multi-fractal type is quite similar due to the homogeneity of the management decision sequences, adopted to achieve the ultimate objectives and fire-dependent conditions, taking into account the discrete nature of the alternatives [9, 10]. As an example, Fig. 2 illustrates the sequence of implementable alternatives to PTP after the first fire unit arrives at the fire site, in fire rank 1 (k1), fire rank 2 (k2) or fire rank 3 (k3). Each of the management decision sequences is reflected as multifractals with a range of fractal dimensions.
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Fig. 2. Multifractal alternatives on fire extinguishing sections k1, k2, k3
At any fire, it is possible to identify a rough set of most important conditions for the current situation. A large part of the conditions may be ignored, so the answer will be imprecise, approximate, and as a consequence the algorithm for finding the answer cannot be determined with certainty. This is particularly the case when it comes to finding alternatives to certain stages of extinction that a properly trained neuronetwork can help to find.
3 Automatic Mode for Collecting Input Data The sequence of actions to solve combat tasks in extinguishing fires in the Russian Federation is formalized: receipt and processing of a fire report; leaving and leaving for fire; arrival at the scene of the fire; fire survey; rescue of victims; deployment of capabilities; immediate action to extinguish fires; carrying out special work; collecting and travelling to a fixed location; recovery upon arrival at the permanent deployment site (Fig. 3).
Fig. 3. The neural network data processing scheme in the event of a fire.
Specialized software based on neural networks with a fairly high level of automation and recording of parameters that are essential for organizing fire-fighting, is able to analyze a huge amount of input data and give probability predictions of possible decisions to fire extinguishers acceptable in a given situation. Federal statistics on fires in rail transport, including on unloading in metallurgical enterprises, represent a huge amount of data characterizing the time, capacity and economic parameters of the response of fire departments.
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The formalisation of the input data on the developing situation in a fire makes it possible to form a data set, which is then processed by a pre-trained neural network. The fire-extinguishing algorithm for the use of neural network-based software will look like this (Fig. 4):
Fig. 4. Algorithm for organizing fire-fighting in a neural network environment
The development and testing of software, the purpose of which is to predict the probabilistic outcomes of a given situation in the management of fire protection assets, is in demand. This is primarily due to the fact that, despite the great combat experience of fire-fighting, HFE is always subjectively appraising the factors influencing fire development, At the same time, a number of factors, due to human nature, are likely to be overlooked, especially in the first minutes of the fire, As the need to make rapid and regulatory decisions in the face of stress and uncertainty at the site of a fire may not be conducive to the most optimal course of action. As a rule, the effectiveness of management depends on the necessary skills acquired previously by RTP, or in the process of professional training in specialized training centers. It should be said that, from a specific location of a fire with an unsuitable environment, the only source of information for the formed fire authorities is the rescue brigade with air apparats. Its role in gathering information for the subsequent overall assessment of the situation and making the most constructive decision available at the moment is often a determining factor for the decision of the fire extinguisher. The neural networks can process the incoming information more quickly, because a neuronetwork trained on hundreds of thousands of fires can do this task hundreds of times faster. This is, of course, a fully trained and ready-to-use software that does not require as much computer resources as during training. One category of fires in which the above management schemes can be applied is that of rolling trains. Statistics on fires of railway rolling stock from 2016 to 2020 are given
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below, as well as a correlation of a number of indicators to identify the interrelationship of different factors characterizing fires of this category (Fig. 5).
4 Analysis and Interpretation of Fire Analysis of Rolling Stock Trains from 2016 to 2020
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The chart shows the development of the number of fires and the number of deaths in these fires over the period 2016–2020. If up to 2018 the total annual number of fires does not deviate much from the previous values, observing the general statistical trend, from 2018 to 2020 there is a significant increase (more than 4 times the trend line 2016–2018). First of all, it is explained by changes in the statistical accounting of fires, changes in which have arisen with the entry into force of the Order of MES of Russia from 24.12.2018 625 «On formation of electronic databases of accounting of fires and their consequences». The Order extended the list of fires to include fires. Due to this reason, the statistical sample was expected to increase in both 2019 and 2020. The estimated correlation coefficient for the 2016–2018 parameter sample is −0.9. This means that there is a strong inverse correlation between the displayed parameters (Fig. 6). Estimated correlation coefficient for the 2019–2020 sample. cannot be recalculated and evaluated adequately because too few data are analysed (Fig. 7). Analysis of the data leads to the conclusion that there is a correlation between the average number of supplied barrels and the average amount of equipment involved on average travel time. This dependence seems logical, since it is obvious that the time of travel depends on the free propagation of the flame. It should be noted that between 2016 and 2017 there is an inverse correlation between the average travel time and the number of vehicles involved. This is primarily due to the relatively small sample size (26 fires in 2016 and 27 fires in 2017). However, the design of the rolling stock often prevents the fire from spreading beyond the carriages of the convoy, except in the case
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of the discharge of petroleum products or other combustible substances in the event of the vehicle’s packaging being depressed in the event of a fire. This also explains the rather low average number of vehicles involved. In rare cases, the fire spreads beyond a
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single wagon, and 2–3 fire-fighting equipment is sufficient to contain and eliminate the fire (Fig. 8).
5 Analysis of Statistics and Interpretation of Fire Analysis at Metallurgical Enterprises from 2015 to 2020 Industrial production in the Russian Federation accounts for about 5 per cent of the world economy. At the same time, Russia ranks first in exports of petroleum products, natural gas, iron, metal and fertilizers. The Russian Federation has a large number of industrial plants and production facilities that are technically complex and have a high fire hazard. Analysis of statistical data from 2015 to 2019. Statistical data from 2015 to 2019. It has been concluded that fires are most frequent in the electricity, steel, forest, wood and paper industries, as well as in the food industry, generally around 1% of all fires (Fig. 9).
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Fig. 9. Distribution of fires in the Russian Federation between 2015 and 2019 by type of enterprise, organization or institution
The analysis of statistical data of the objects of metallurgical enterprises where fires occur showed that most of fires in the territory of the Russian Federation on metallurgical enterprises in the period from 2015 to 2019. is caused by defects in technological equipment - 42% of fires, short circuits and overloads - 31%, violations of fire safety rules during fire-fighting - 16%, violations of device rules and operation of electrical equipment - 7%, Other causes account for 4% of the total number of fires. Correlation analysis showed a clear direct strong relationship between average extinguishing time and average walking time, but the remaining dependencies are not considered strong. Thus, the larger-to-smaller dependency cascade will be represented as follows (Fig. 10):
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Кcorr=0,11 Fig. 10. Correlation of average extinction time, average time of journey, estimated area of extinction for 2016–2020.
6 Conclusion Separate emphasis should be placed on train fires arising from the offloading of ore in steel works, as potentially dangerous enterprises directly affecting the economic stability of the Russian Federation. Extinguishing fires arising from the unloading of ore by railroad in metallurgical undertakings is a phenomenon accompanied by serious destruction and damage [4]. The combination of factors characterizing this type of fire makes it possible to classify such fires as complex, involving a great variety of factors, including those that are not characteristic of a residential fire or of most production facilities. Such factors include, for example, electrification of the railway line to ensure rolling stock on the enterprise territory, as well as sufficient length of the train, which can clearly contribute to the propagation of flames in the space. In order to make the most practical use of the resources available for fire-fighting, from a number of factors characterizing the fire, it is proposed to form a fuzzy set of input data, to analyze it, to formalize it and to implement it through a program neuronetwork module. The above scheme and algorithm will eventually make it possible to significantly accelerate the decision-making of the fire extinguisher in such a situation and, as a consequence, to minimise the potential damage.
References 1. Denisov, A.N., Danilov, M.M., Tsokurova, I.G., Anikin, S.N.: Comput. Nanotechnol. 4, 39–47 (2020). https://doi.org/10.33693/2313-223X-2020-7-4-39-47 2. Denisov, A.N., Danilov, M.M., Tsokurova, I.G., Anikin, S.N.: Comput. Nanotechnol. 1, 59–67 (2021). https://doi.org/10.33693/2313-223X-2021-8-1-59-67 3. Denisov, A.N., Pankov, U.I., Korshunov, I.V.: Fires and emergencies: prevention, elimination 2, 25–31 (2021). https://doi.org/10.25257/FE.2021.2.25-31 4. Topolskiy, N.G., Mokshantsev, A.V., Meshalkin, E.A., Ovsyanik, A.I., Kafidov, V.V., Korobko, V.B.: Technology of technosphere safety 3(85), 45–55 (2019). https://doi.org/10. 25257/TTS.2019.3.85.45-55 5. Stepanov, O.I., Zaitseva, E.E., Khudyakova, S.A.: Bulletin of the Dagestan State Technical University. Tech. Sci. 47(1), 117–125 (2020). https://doi.org/10.21822/2073-6185-2020-471-117-125 6. Tuzhikov, E.N.: Bulletin of the Dagestan State Technical University. Tech. Sci. 45(4), 124–132 (2018). https://doi.org/10.21822/2073-6185-2018-45-4-124-132
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7. Lorek, M.: National fire-fighting and rescue sysytem in emergency situations. Police Rev. 139(3), 174–184 (2020). https://doi.org/10.5604/01.3001.0014.5585 8. Grinchenko, B.B.: Technology of technosphere safety 3(85), 77–85 (2019). https://doi.org/ 10.25257/TTS.2019.3.85.77-85 9. Stepanov, O.I., Denisov, A.N., Stakheev, M.V.: Technology of technosphere safety 4(85), 56–64 (2019). https://doi.org/10.25257/TS.2019.3.85.56-64 10. Konduktorov, D.A.: Fires and emergencies: prevention, elimination 2, 63–69 (2019). https:// doi.org/10.25257/FE.2019.2.63-69
Aspects of the System Approach to Using Information Modelling Technology in Organization of Construction Production Ruben Kazaryan(B)
and Elen Bilonda Tregubova
Moscow State University of Civil Engineering, 26 Yaroslavskoe shosse, Moscow 129337, Russia
Abstract. The paper considers the possibility of studying the potential for the effectiveness of the economic and visual model and reducing operating costs in the development of construction facilities. Methods of visual modelling are presented, which make it possible to effectively implement construction organization projects. The economic and visual model contributes to the formation of the element base of rational economic, organizational and technological solutions. The following methods were used: system analysis, logical-mathematical modelling, systems theory, economic and visual modelling, research methods of operations, economic and mathematical methods. The modern experience of using the model has been studied. On the basis of an analytical review regarding economic and visual modelling, the works of domestic and foreign authors are studied. The element base of the optimal solution of organizational and technological processes is formed on the basis of the information model (BIM). The conducted analytical review of the study of materials on the practical application of the economic and visual model on the territory of the Russian Federation based on the results of the theoretical study confirms that there is no alternative to improving the formation of new information systems for modelling the organization of construction. Keywords: Economic and visual model (computer) · Efficiency of implementation of construction organization project (COP) · Work performance project (WPP) · Project of organization of work (POW) · Space-time collisions · CAD · Software · Activity progress chart (APC) · Critical path · Synergy · (XYZ)
1 Introduction In the conditions of risk and uncertainty, there is a need for continuous management of economic processes in the public sector. Changes of the last decades have shifted the focus financial and managerial accounting from cost management and financial flows onto economic processes’ management (financial standing, risks, backup enterprise system, reorganization processes, value added control), based on the use of accounting engineering tools (monitoring, financial, hedging, or other derivative reports). The net assets indicator, in conjunction with net liabilities, represents one of the most important measures of assessing economic processes, efficiency, and sustainable development of © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1605–1612, 2022. https://doi.org/10.1007/978-3-030-96380-4_177
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a nonprofit enterprise. However, as concerns businesses that are not focused on profitmaking or satisfaction of public demand for services as the outcome of investment, this indicator is difficult to determine. Therefore, a lot of proven models and methods of accounting for net assets cannot be directly applied in this area. This situation leads to a mismatch between the urgent need for scientific methodology in the field of information and analytical support of management and evaluation of the efficiency by using the net assets indicator [1–17]. As a result, it becomes necessary to introduce certain methodologies and additional tools that will make it possible to design in three-dimensional space not the object itself, but its construction process in time. In other words, the design process from this point on is not static, but dynamic. This technique is a completely new method in architectural and construction design. The concept of economic and visual modelling of the construction process is a new and progressive approach to the development of organizational and technological solutions and the identification of spatial and temporal collisions, which in turn leads to a reduction in construction time and minimization of unplanned budget expenditures.
2 Efficiency Criteria and Restrictions Construction companies set themselves tasks, the solution of which will make it possible to effectively implement construction projects. The solution of the assigned tasks is possible due to well-developed organizational and technological solutions. An obligatory criterion is the possession of deep and extensive knowledge of the object under construction [2, 3]. At present, during the construction of objects, software systems are widely introduced into the design process, which make it possible to model the object being built in three-dimensional space (3D). These software systems allow further automation of receiving layout drawings. Each correction that is made to the model is automatically modified in the corresponding drawings. This method significantly improves the quality of products produced by the personnel, organizational and technological solutions become well-developed, which in turn minimizes the likelihood of collisions in the area of joining spatial models. With the help of automation and visualization, the probability of spatial inconsistencies is reduced to 98% [1–3]. The advantages of three-dimensional modelling are reflected at all stages of the construction of an object, while the development of 3D models at present can cost significantly more than the well-known classical two-dimensional drawings. However, the improvement in the formation of new information systems for modelling the organization of construction objects, subject to the introduction of appropriate adjustments and changes in the organizational and technological processes, will reduce the cost of ongoing design work by 5–10% [4, 5]. For the effective implementation of projects, time-tested methods are used: 1. The activity progress chart (APC) of a project is a process model that reflects the sequence and dependence of work performance. APC allows calculating the most favourable way in terms of time parameters, which allows effective performance of the most complex works. APC is mainly used in the construction of particularly complex and large facilities with a large number of construction and installation works. The critical path method is used in the design of APC.
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2. The critical path method makes it possible to estimate the amount of full, private and free time reserve that is available in each work. Work that is not included in the critical path can be carried out in stages - as appropriate, or even begin later, since it does not affect the total duration of the construction of the facility. The critical path method allows setting the optimal time for completion of the construction of a facility for a given budget. 3. The flow line method of organizing construction work is a rational organization of labour. A mandatory element in using the flow line method is to minimize downtime and maximize resource utilization. The above methods have some limitations. For example, APC may contain a large number of errors related to the one-time use of space at a construction site (different works in the schedule are independent). This kind of situation at a construction site creates certain time costs of individual teams due to the impossibility of starting the performance of the previous or subsequent work [3–5]. Synergy is achieved with the simultaneous use of the above methods, when organizational and technological decisions are made on the basis of a visual model. The model is often referred to as 4D-, 5D-, 6D-, MULTI-D- modelling. Multidimensional modelling combines a three-dimensional model of an object under construction, 3D and APC [6, 7]. The economic and visual model (computer), which allows the interconnection of construction processes presented in three-dimensional space with reference to time, makes it possible to make rational organizational and technological decisions in the design of construction organization project (COP), work performance project (WPP), project of organization of work (POW), clearly argue them for the developer, technical customer, general contractor and all participants in the process. APC does not provide an opportunity to consider the adopted organizational and technological decision visually in the space of the coordinate system (X, Y, Z). This fact creates certain difficulties in considering it. The development of computers makes it possible to consider the adopted organizational and technological decisions with reference to the 3D model of an object, taking into account information about the equipment and the cost of certain types of work [6–8], while the computer may contain information about the labour force, the materials used at certain stages of the construction, cost rates, multiple elements of economic visualization coefficients [12–17]. Figure 1 shows a facility under construction using a computer. It should be noted that when creating a scale model that ensures the functioning of the economic and visual model, extended integration into the CAD system is required, based on the element base of BIM standards (Fig. 2). In addition to the above tasks, the computer allows calculating and correct flaws in the APC, establishing the most rational terms, taking into account the arrangement of construction equipment, schemes for the provision of equipment and materials, visual analytics for comparing organizational and technological solutions, search and elimination of spatial, temporal and space-time collisions [17]. Figure 3 shows the methodology for the development of information models in order to eliminate inconsistencies: project risks in the design of COP, WPP, POW, and space-time collisions [7–9, 15–17].
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Fig. 1. An illustrative example of a visual model of a facility under construction.
CAD system supporting computer standards
System complexes
Grandsmeta, А0, etc.
Visual modeling system
Synchro PRO
ERP-systems
Galaxy, 1С
BIM
Autodesk, Bentley, Intergraph, Aveva, Dassault, etc.
Activity progress planning systems
Oracle Primavera, MS Project, etc.
Investment and financial analysis system
Alt-invest, MS Excel, etc.
Fig. 2. CAD systems supporting computer standards.
Fig. 3. Method for the development and validation of 4D and 5D models.
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3 Results and Discussions The first stage of the construction of a facility, which determines the future characteristics of buildings and structures, is the design process. At this stage, the issues of functional purpose, durability, architectural expressiveness, operational qualities of the object and so on are solved. For the effective implementation of the project, a rational approach to making organizational and technological decisions is required, the development of which is carried out within the framework of the construction organization project (COP). It is important to note that today it is impossible to build objects of increased complexity without introducing computer aided design systems (CAD) into the design process. The functional purpose of CAD is increasing every year, since it gets close attention of designers and software developers. As a result of progressively developing information modelling systems, the designers were faced with the need to develop organizational and technological solutions in a single information field. This approach is not possible when using traditional design methods in three-dimensional space. Economic and visual modelling as a tool for effectively implementing construction projects on the territory of the Russian Federation has not been widely used for certain reasons. At present, experience has been accumulated in the use of computers in the preparation of design estimates for some companies. Distinctive features include: – – – –
Lack of generation of economic benefits as the main goal of activities; Predominance of a non-market way of organizing activities; Production, distribution, and consumption of public goods; Lack/restriction of the ownership right to property and other resources administered by a non-profit institution, which are publicly owned and controlled by the state authorities; – Ensuring an economic equilibrium between demand and supply of public goods through state mechanisms (social institutions, infrastructure, and resources); – The ability, within acceptable limits, to carry out activities aimed at deriving additional economic benefit while maintaining the objective functions of the public goods distribution and achievement of goals of the state in meeting social needs. One of such projects is the object of using atomic energy in the city of Dimitrovgrad (developer - JSC “SSC RIAR”). A computer element base was formed for it. The introduction of computers in the development of COP provided an opportunity to identify and eliminate design flaws. The results obtained in the process of testing the computer at this facility are presented in Table 1 [11–15, 17]. Based on the results of the adjustments made to the design documentation, it was possible to reduce the construction time, the deadline for the construction of the reactor block, and the total cost of the construction. As a result of the analytical study, the main provisions regarding the development of project documentation using the economic and visual model were identified: • A computer can provide the ability to make rational organizational and technological decisions in the design of COP, WPP, POW;
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Characteristics of the tested object
Base values
Values of computer testing
Duration of construction, including:
55 months
50 months
- Preparation period
5 months
6 months
- Foundation pit
4 months
4 months
- Construction of a reactor block excluding 46 months the foundation pit Construction cost
40 months
10.04 billion roubles 8.37 billion roubles
• A computer can provide the ability to analyze the adopted organizational and technical decision visually in space in the coordinate system (X, Y, Z); • A computer can provide the ability to assess the adopted organizational and technological solutions with reference to the 3D model of an object, taking into account information about the equipment and the cost of certain types of work; • A computer can provide the ability to generate information about labor resources, materials used at certain stages of construction, cost prices, numerous elements of the economic visualization coefficients [12–17].
4 Conclusions • A computer is a progressive method for the development of construction management projects. The methodology contains a specific algorithm that allows using appropriate tools to effectively implement construction projects. • A computer has certain disadvantages. The main disadvantage is the costly restructuring of companies (the need for a position - a system manager to manage and coordinate processes in a single environment in the CAD system, partial replacement of working personnel for the effective implementation of projects in the CAD system, loss of personnel for a very significant period of time) • The greatest effect when using a computer is achieved when designing standard facilities. The efficiency of using computers in the construction of unique facilities is currently economically inexpedient • Russian construction companies are taking their first steps. There is an experience in designing nuclear power facilities, civil engineering, oil and gas facilities. In western countries, computers were introduced much earlier. Data provided by McGraw-Hill Construction shows that in 2007, 26% of general contractors used computers, and in 2012 - 71%. • Design with the use of economic and visual modelling makes it possible to improve the quality of decisions based on modelling development options with an assessment of their cost and time characteristics, to solve problems of assessing the coefficients of economic visualization that are optimal in terms of the efficiency of using the element base in the interests of the developer, when implementing organizational and technological solutions for the construction project of the facility
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• The net assets are formed as an increase of economic benefits arising in the operation process, of the result of changes in the value of assets. However, disputable remains the question of recognition of value of the investments of the owner directly in the composition of net assets, which may be seized without the consent of the institution at the time of liquidation of the organization or other cases stipulated by the law. However, as noted above, the obligation arises only in relation to a physical object in the volume and condition of wear on the liquidation date. The amounts of accumulated depreciation and residual value of this object does not, in our opinion, reflect the true assessment of the property. As depreciation, although they may be correlated with a tendency of loss of physical and moral characteristics by the object in some cases, as a whole, are predominantly a tool to compare the income and expenses of the organization and the resulting residual value cannot give a reliable valuation of the asset at the current date.
References 1. Bachurina, S., Sultanova, I.: The concept of creating an economic and visual model - a tool for increasing the efficiency of investment and construction projects. Urban Plan. 1(35), 11–14 (2015) 2. Bachurina, S., Sultanova, I.: Organization of construction production: stages of development and current state. Actual Prob. Soc.-Econ. Develop. Russia 4, 67–70 (2014) 3. Application of Advanced Construction Technologies of New Nuclear Power Plants: MPR2610, Revision 2 U.S.: Department of Energy (2004) 4. McGraw, H.: ConstructionThe Business Value of BIM in North America: Multi-Year Trend Analysis and User Ratings (2007–2012). Smart Market Report (2012). www.construction. com 5. Lapidus, A., Avetisyan, R., Mirzakhanova, A., Kazaryan, R.: Prospects for the development of BIM technologies on the territory of the Russian federation system engineering in construction. Cyber-physical building systems 331–334 (2019) 6. Talapov, V.: Series of articles: Building Information Modeling (BIM) PLM Electronic Encyclopedia (2010). http://isicad.ru/ru/97 7. Kolosova, E., Sukhachev, K.: An innovative approach to the implementation of design methods of construction management. Atomic strategy 54 (2011) 8. Grachev, V., Klimov, Y., Lim, V., Zakharov, P., Belyaev, A.: Problem-oriented methods of modelling information and computing systems for the design of construction production STI. Organ. Method. Inf. Work 5, 18–22 (2006) 9. Balakina, A., Simankina, T., Lukinov, V.: 4D modeling in high-rise construction. E3S Web of Conf. 33, 03044 (2018) 10. Boton, C., Kubicki, S., Halin, G.: Method to design coordinated multiple views adapted to user’s business requirements in 4D collaborative tools in AEC. In: Proceedings of the 15th International Conference Information. Visualisation (IV). 13–15 July 2011, London, UK (2011) 11. Sultanova, I.: Methodology for the development of projects for the organization of construction on the basis of the economic and visual model. Abstract of the thesis for the degree of candidate of economic sciences (2015) 12. Kazaryan, R., Andreeva, P., Galaeva, N.: Integrated transport system-basis of Russia’s security. In: E3S Web Conference, vol. 157, p. 04009 (2020)
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13. Kazaryan, R., Andreeva, P., Galaeva, N.: Organization of planning in transport construction. In: E3S Web Conference vol. 157, p. 04006 (2020) 14. Kazaryan, R., Andreeva, P.: Aspects of the system Approach to inventory management. In: IOP Conference Series: Materials Science and Engineering, vol. 753 no. 3, p. 042038 (2020) 15. Chulkov, V., Kazaryan, R.: Advances in economics. Bus. Manag. Res. 138, 371–376 (2020) 16. Chulkov, V., Kazaryan, R., Shatrova, A.: Innovative water proofing of exploitable roofs in high-rise construction. J. Mech. Continua Math. Sci. Special Issue 8, 144–154 (2020) 17. Kazaryan, R.R., Khvan, V.A., Chulkov, V.O.: On certain development aspects of an ISPASbased system-target approach to evaluation of net asset sustainability level of construction production. Constr. Tech. Bullet. (BST) 7, 44–45 (2018)
Technical Diagnostics of Equipment Using Data Mining Technologies Evgeniya Tsarkova1,2(B) 1 Research Institute of the Federal Penitentiary Service of Russia, Zhitnaya Street, 14,
119991 Moscow, Russia 2 Tver State University, Zheliabova Street, 33, 170100 Tver, Russia
Abstract. The paper considers the problem of implementing a practical approach to predictive maintenance (maintenance based on the actual technical condition). With this type of service, the state of the system is analyzed continuously or periodically. Based on the data obtained, a forecast of the technical condition of the equipment for a certain period of time is carried out, programs and maintenance plans are formed and, if necessary, adjusted. The aim of the work is to develop a generalized approach to building a predictive service system based on data of some complex technical object, collected by the SCADA system, with their further processing using computer modeling and machine learning methods. Implementation of this approach minimizes the likelihood of an unplanned system shutdown. As a result, it should be noted that to predict the remaining useful lifetime of the unit (RUL), both linear and nonlinear models are studied, including parametric and nonparametric types. Various transformations for the out-put data are tested in order to select the best prediction form. The best form is chosen based on the predictive characteristics of the models. Keywords: Equipment · Mining technologies · Technical systems
1 Introduction 1.1 A Subsection Sample The most widely used approach to the maintenance of technical systems during their operation is to carry out planned activities, the schedule of which is prepared by specially trained personnel based on the performance characteristics of the equipment, data from manufacturers and guidelines [1]. In many cases, the system of scheduled preventive maintenance can be taken as the basis for servicing simple machines and mechanisms, but for the main non-standby equipment its use is impractical. Therefore, further development of the repair system should include: – The establishment of differentiated criteria for assessing the resource of parts, assembly units and items of mining equipment, taking into account the specific conditions of their operation; © The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1613–1622, 2022. https://doi.org/10.1007/978-3-030-96380-4_178
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– The establishment of specific terms and volumes of work during the repair of mining equipment, depending on the actual technical condition of its parts, assembly units and items. One of the most effective ways to maintain the health of the system is technical diagnostics of the state of critical units and components, carried out in real time. However, the implementation of this approach is hampered by the complexity of the software and hardware and their cost. Predictive diagnostics of production equipment allows predicting the onset of an emergency based on the analysis and monitoring of its current state and predicting failures. As a result, the enterprise can take early action to correct the problem or mitigate the adverse effect. An additional effect of predictive diagnostics can be a shift from preventive maintenance and repairs based on events to maintenance based on the actual condition of the equipment, which reduces the number of production downtime and operating costs. The creation of predictive analytics and diagnostics systems covers a number of stages: – Primary collection of operational data of the equipment, including the history of its work; – Data analysis and construction of predictive models (based on mathematical algorithms, training neural networks, pattern recognition methods); – Verification and check of the accuracy of the models. It is possible to minimize negative factors by using modern technologies, for example, the Arduino platform and a set of sensors compatible with it, which allow recording vibration load, temperature, pressure, humidity and other important parameters. With the help of additional extension modules, it is possible to transmit the obtained values both via wired (Ethernet module) and wireless data transmission channels (Bluetooth and WiFi modules) for centralized storage of logs and analysis of values using large computational capacities relative to the microcontroller. Work [2] describes an example of the implementation of a compact system for online monitoring of the state of an electric motor based on a bundle of an Arduino microcontroller, temperature and vibration sensors, as well as a Bluetooth module for communication with smartphones, which is necessary for processing the received data. The authors concluded that the use of such devices can significantly reduce the cost of diagnostics, and also noted the ease of connection. In [3], a description of a system based on an Arduino microcontroller and a compatible accelerometer for vibration diagnostics of the state of a vehicle gearbox is given. The authors of the work also noted the advantages of the Arduino-based solution in comparison with industrial devices, which were lower cost, a variety of sensors and expansion modules available for connection, as well as good prospects for modernizing the program code for different tasks.
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2 Methods In practice, there are cases of operation of equipment beyond the originally designed service life, service life up to the 1st repair, interrepair life and overhaul life in hours. Failures of functional systems of equipment during its long-term operation are largely caused by the processes of degradation of their properties, leading to the loss of their performance, depletion (remaining life), and their prevention largely depends not only on the efficiency of the technical operation system, but also on the completeness and quality of scientific and technical support, including: – Periodic monitoring of the technical condition, the studied equipment park (for example, industrial in the form of machine tools, furnaces, conveyors) and equipment (transport); – Identification of patterns, trends and dynamics of changes in the main quantitative and qualitative indicators of equipment reliability; – Operational and mid-term planning of organizational and technical measures to improve reliability and maintain the equipment fleet at a given level of operability. In view of this, studies on a comprehensive assessment of reliability are becoming increasingly important both in terms of maintaining the operability of the equipment fleet according to resource reserves and service life, and in terms of the need for periodic analysis of the dynamics of changes in values. 2.1 SCADA (Supervisory Control and Data Acquisition) The structure of technical solutions in industry and transport has significantly evolved over the past decades. And the principles of building mobile transport and the organization of production lines in industry implies the division of the entire facility into structural elements depending on the tasks performed, which allows ensuring the performance of individual functions at a higher level. When considering the processes of industrial production, it can be seen that many subsystems are involved in ensuring the functioning of a separate unit. This includes production automation tools, management information systems and decision support systems, operator workstations, etc. All of these units generate a significant amount of useful data that needs to be processed. Integration of these subsystems into a single, basic one allows their interaction in order to achieve a higher level of automation of production processes, which is the main goal of the CIM approach. Based on the history of formation and development for SCADA systems, the following classification can be presented: 1. Monolithic. These are independent systems that operate separately without a common network for communication using special network protocols for exchanging data between microcontrollers; 2. Distributed. They are distinguished by the addition of a LAN interface (organization into a local network), which unites a set of systems for joint processing of control commands. Solutions of this class are designed to work in the local network
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of an enterprise. Most often, non-standardized communication protocols with an insufficient level of security were used; 3. Network. They are a further development of the class of distributed systems, in which complex systems were divided into separate executive modules with control over the network (LAN – PCN). These systems have already incorporated the functionality for the management and coordination of geographically distributed objects. This class also implies the ability to use HMI (Human-Machinery Interface) in a browser on various devices, as well as making changes to a «live» project without the need to stop and create intermediate copies; 4. Internet Of Things (IOT). The emergence of systems of this class is caused by the spread of wireless communication methods and cloud technologies, which in practice means further steps towards decentralization and unification (controllers, communication methods, data collection and processing). Examples of ready-made industrial SCADA systems of the 4th generation are: AggreGate SCADA/HMI [4–6], Mango Automation, PROMOTIC SCADA Visualization software, WINLOG Lite, IGSS, FREESCADA and others [4, 5]. Most of them are cross-platform, use NoSQL solutions as a DBMS for managing and storing data on controlled systems (for the possibility of storing large logs), support various communication protocols with microcontrollers and industrial standard sensors, and also have the ability to provide information in different interfaces - in a browser window, in an application on a mobile device, in a desktop application. The figures below show the graphical interface displaying the parameters of controlled systems, which is provided by SCADA systems. Often, the appearance of these software solutions is identical, not replete with artistic design, because when it was created, requirements were laid to preserve visibility even with a large number of objects, ensure performance and reduce the minimum requirements for the machine on which the software will be installed (Figs.1, 2, 3 and 4).
Fig. 1. OpenSCADA, demo project, graphical interface
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Fig. 2. OpenSCADA, graphical interface of the main menu
Fig. 3. Open Source SCADA System [10], demo project, graphical interface
Fig. 4. PROMOTIC SCADA Visualization software, demo project, graphical interface
The graphical interface of SCADA systems (both a developer’s tool and a working instance) allows operating with mnemonic diagrams, which are used to visualize controlled processes, simplify the definition and finding of the necessary information, and facilitate decision-making. It displays a diagram of the system as a whole and the relationship between the main objects, and also provides data on the state of individual components. To determine the place occupied by SCADA systems in automated process control systems (APCS), one should refer to the APCS architectures, which can be divided into three levels [6]:
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The upper level is the Human-Machinery Interface (HMI), SCADA, operator panels, communication with the PLC. The middle level - programmable logic controllers (PLC), regulators, programmable relays, counters, etc. This level is responsible for the operational control and management of the technological object. It includes equipment designed to perform the following tasks: receiving (various status signals from lower-level devices), processing (controllers generate control signals according to the programmed program), transmission (control signals to lower-level devices) and aggregation (collection and transmission to devices of the middle and upper levels) of data. This includes PLCs, communication controllers, computer-process interface (CPI), data collection and transmission unit (DCTU), regulators, programmable relays, etc. Lower level - sensors, actuators. Figure 5 shows a typical diagram of the components involved in the description of an automated process control system using SCADA systems.
Fig. 5. The structure of the monitoring and control system using SCADA systems
SCADA systems are used to solve such problems as: 1. Data exchange in real time between the control object, the managing server (or controller), and the data collection server (for analytics); 2. Information processing and the formation of control actions (in the case of automatic control) or options for the operator’s actions (in the case of DSS and automated control) in real time; 3. Display of information in a form suitable for human perception; 4. Handling emergency situations (signaling, automatic switching off/switching on by the mechanism, protection systems); 5. Formation of reporting files on the progress of the controlled processes; 6. Communication with external software. The functioning of the automation of most systems in the industrial and transport industry involves the participation of a person (dispatcher, operator). The module that ensures the interaction of a person and a system is called a Human-Machinery Interface (HMI).
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Timely detection of anomalies in the technical processes of individual elements is a paramount task to ensure the efficient and safe functioning of the entire system. As a rule, during the operation of a complex technical object, a certain amount of historical data on the state of important hosts, obtained using SCADA systems, is accumulated. These data are most often used in the analysis of the main causes of emergency situations that have already occurred and in the analysis of the consequences. Presumably, a higher level of understanding of the true causes of equipment failures can be achieved by analyzing the same data, but using more advanced analytical methods, such as artificial intelligence and machine learning. In the long term, this should allow the transition from the paradigm «diagnostics – mitigation» (analysis of root causes) to a more desirable, from a practical point of view, approach «detection - forecasting analysis of the forecast – prevention». Machine learning methods can be used to analyze data obtained from SCADA systems in order to identify situations that do not necessarily manifest themselves as an alarm from a security system, but, nevertheless, can lead to emergency system behavior. When it comes to the use of machine learning and artificial intelligence methods to solve predictive diagnostics problems, it should be understood that, in fact, there are several tasks: 1. Detection of malfunctions (anomalies in work). 2. Classification of malfunctions (failures). 3. Estimation of the residual life, the very forecasting of future failure. Fault detection is the main step in preventive maintenance, in which data on the condition of the operating object is used to determine if the system is operating in a normal or abnormal state. This process is often referred to as anomaly detection or outlier detection in machine learning. To detect anomalies, special frameworks and program code libraries are used, such as ELKI [7] or Scikit-Learn [8], containing implementations of special algorithms. The most used mathematical methods for detecting anomalies are the principal component analysis (PCA) and its modifications - the PCA-T2 basic component estimation graph and graph that takes into account the squared prediction error (PCA-SPE), the K-Means method, autoencoders based on a special ANN topology (AutoEncoders) and Gaussian mixture models (GMM).
3 Results In [9, 10], using a program developed in the R language, an analysis of the operation of a metal valve that closes the bypass channel between the compartments in a certain technical device is carried out. Four different states are recorded (system at rest, normal operation, and two unbalanced starts), the results of measurements taken during startup are split into four different csv files. First, the data is read using the read.csv() method. The figure below shows a piece of data where time is the time between samples, ax is the x-axis acceleration, ay is the y-axis acceleration, az is the z-axis acceleration, and aT is the control signal indicating the generated force. Data was collected at a sampling rate of 100 Hz (Table 1).
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ax
ay
az
aT
0.002
−0.3246
0.2748
0.1502
0.451
0.009
0.6020
−0.1900
−0.3227
0.709
Table 2. Statistical information Time Min: lst Qu:
ax
ay
az
aT
0.002 Min:
−2.11880
Min:
−2.143600 Min:
−4.1744 Min:
0.032
16.507 lst Qu:
−0.41478
lst Qu:
−0.625250 lst Qu:
−0.7359 lst Qu:
0.848
Median: 33.044 Median:
0.02960
Median: −0.22050
Median: −0.1468 Median: 1.169
Mean:
33.037 Mean:
0.01233
Mean:
0.008697 Mean:
3rd Qu:
49.535 3rd Qu:
0.46003
3rd Qu:
0.641700 3rd Qu:
0.4298 3rd Qu:
1.579
Max:
66.033 Max:
2.096203 Max:
2.003000 Max:
4.9466 Max:
5.013
−0.1021 Mean:
1.277
It is possible to immediately get statistical information about the read data (Table 2). Then it is necessary to apply methods to detect anomalies in the sample (in this case - PCA-T2) (Fig. 6).
Fig. 6. The result of the PCA-T2 algorithm
Analyzing this graph, we can see that the values recognized as atypical are below the line. A similar result can be achieved using the K-means method. Its purpose is to divide the dataset into predefined clusters depending on the metric (a measure of the distance between the objects in question). In the example, Euclidean distance was used (Fig. 7). After determining the very fact of the presence of an anomaly in the work, one should proceed to determining its type, to the classification task, i.e. assigning an object to one of the species on the basis of its distinctive features. Linear classification models include logistic regression and support vector machines. In a nonlinear, more complex classification, the most commonly used decision tree model is the k nearest neighbors (kNN) method.
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Fig. 7. Result of the K-means method
For the further use of the results obtained in the previous steps from trained models, the capabilities of the Scikit-Learn module for Python can be used as data for failure prediction methods, as it shown in [9, 10].
4 Discussion As a result, it should be noted that to predict the remaining useful lifetime of the unit (RUL), both linear and nonlinear models are studied, including parametric and nonparametric types. Various transformations for the output data are tested in order to select the best prediction form. The best form is chosen based on the predictive characteristics of the models. Performance is measured by root mean square error (RMSE) for predic1 is the best form of output. The input tions using test data. For this data, the inverse RUL data has been standardized in order to exclude the influence of predictor data blocks on prediction models. Once the RUL estimates are acceptable, they can then be integrated into dashboards used by operators or into intrusion alarm systems under the supervision of maintenance personnel. This will allow responding to changes in equipment condition faster, with less impact on the workflow.
References 1. Vorobiev, A.A., Spitsyn, I.N., Anisimov, A.V., Bryukhanov, I.S., Chmyrev, I.A.: Technical diagnostics of technological equipment based on the Arduino controller. Reshetnev’s Read. 19, 344–356 (2015) 2. Gordienko, V.V.: Analysis of faults in transmissions of tractors of the MTZ family and a method for diagnosing them based on the Arduino microcontroller board Free Open Source SCADA (Supervisory Control and Data Acquisition) 3. Merchan, D., Peralta, J., Vázquez-Rodas, A., Minchala, I., Astudillo, D.: Open source SCADA system for advanced monitoring of industrial processes. In: International Conference on Information Systems and Computer Science (INCISCOS), Quito, Ecuador, 23–25 November (2017). https://doi.org/10.1109/inciscos.2017.9 4. Lukov, D.K.: Automated process control systems (ACS TP). Eur. Sci. 2(44), 19–21 (2019) 5. Shravan, I.V.: Top Open Source Data Mining software. OSFY Magazine (2017). https:// www.pressreader.com/india/opensource-for-you/20170210/282716226749899. Accessed 15 Jan 2021
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6. Nagdev, A., Tarun, G.A.: Research study on unsupervised machine learning algorithms for early fault detection in predictive maintenance scikit-learn toturials point simply easy learning. In: 5th International Conference on Industrial Engineering and Applications (ICIEA), pp. 355– 361. IEEE (2018) 7. Kraus, M., Feuerriegel, S.: Forecasting remaining useful life: Interpretable deep learning approach via variational Bayesian inferences. Decis. Support Syst. 125, 113100 (2019). https:// doi.org/10.1016/j.dss.2019.113100 8. Tsarkova, E., Belyaev, A., Churakov, D., Andreeva, E.: Reliability forecasting for optimal planning of measures for maintenance of security systems of transport infrastructure facilities. IOP Conf. Series: Mater. Sci. Eng. 8, 012090 (2020). https://doi.org/10.1088/1757-899X/918/ 1/012090 9. Churakov, D.Y., Tsarkova, E.G., Grechishnikov, E.V., Marchenko, N.D.: Analysis of methods of processing of expert information by optimization of administrative decisions. J. Phys: Conf. Ser. 973, 012030 (2017). https://doi.org/10.1088/1742-6596/973/1/012030 10. Taha, H., Sakr, A., Yacout, S.: Aircraft engine remaining useful life prediction framework for industry 4.0 (2019). https://www.researchgate.net/publication/337311736_Aircraft_Engine_ Remaining_Useful_Life_Prediction_Framework_for_Industry_40. Accessed 25 Dec 2020
Author Index
A Abramov, Valery, 1239, 1247, 1256, 1264 Abujwaid, Husam, 627 Abu-Khasan, Mahmud, 597, 647 Abu-Khasan, Makhmud, 171 Afonin, Dmitriy, 250 Akhtyamov, Rasul, 710 Al-Shumari, Adnan, 211 Andreev, Andrey, 853 Anikin, Sergey, 1595 Anisimov, Konstantin, 1315 Anufrieva, Yulia, 531 Anyigba, Hod, 1324, 1390 Artemov, Alexander, 1586 Atroshenko, Svetlana, 586 Awwad, Talal, 735 B Balakhonov, Denis, 880 Barmuta, Karine, 1204 Belash, Tatiana, 334 Belashov, Mikhail, 334 Belousov, Igor, 1417 Beltiukov, Vladimir, 853 Benin, Andrey, 286, 577, 674, 915 Besedina, Elena, 1492 Besedina, Valentina, 1351, 1360 Bik, Yuriy, 1141 Bimberekov, Pavel, 1120 Bobrov, Alexey, 1011 Bobylskaya, Viktoriya, 1148 Borodulina, Svetlana, 1315, 1324, 1342, 1390 Botasheva, Fatima, 37 Botvinkov, Ilya, 1133
Bozhko, Lesya, 74, 790 Brovkina, Aleksandra, 1370 Bubnov, Vladimir, 889 Bujanova, Lyudmila, 1436 Buneev, Viktor, 1076 Burlov, Vyacheslav, 1281 Burmistrov, Eugene, 1159 Burmistrov, Evgeney, 1120 Burmistrov, Evgeniy, 1111, 1186 Buryanina, Nadezhda, 992 Butsanets, Artem, 1307, 1474 C Cerfus, Diana, 260 Chechenova, Liana, 136, 445 Chekmareva, Gelera, 1545 Chekunova, Olga, 1351, 1360 Cherenovich, Andrey, 1168 Cherepkova, Ekaterina, 1176 Chernikov, Nikolay, 656 Chernysheva, Yulia, 418, 745 Chetchuev, Maksim, 390, 906 Chistyakov, Alexander, 964 Chizhov, Sergei, 637 Chulkov, Oleg, 1426 Chusov, Alexander, 1239, 1247, 1256, 1264 Chuyan, Sergey, 936 D Danilenko, Andrey, 1426 Danilov, Mikhail, 1595 Davidenko, Egor, 28 Davydkin, Andrey, 55 Dedyukhina, Natalia, 818
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG 2022 A. Manakov and A. Edigarian (Eds.): TransSiberia 2021, LNNS 402, pp. 1623–1626, 2022. https://doi.org/10.1007/978-3-030-96380-4
1624 Demin, Anton, 799 Denisov, Alexey, 1595 Dergachev, Alexey, 617 Diachenko, Leonid, 295, 607 Dmitrenko, Alexey, 992 Domnina, Olga, 1076 Dorokhin, Sergey, 1586 Drozdova, Maria, 200 Dubrakova, Ksenia, 1225 Dudkin, Evgeny, 627 Dyussembinov, Duman, 735 E Egorov, Vladimir, 171, 597, 647 Egorov, Yuriy, 83 Eliseev, Nikolay, 127 Eliseeva, Natalia, 127 Emelyanov, Sergey, 1225 Evstaf’ev, Andrey, 162 F Fedorenko, Konstantin, 454 Fomina, Inga, 1333 Fursova, Elena, 200 G Galkina, Lolita, 1225 Garbaruk, Victor, 772 Gavrilov, Vladimir, 1290 Gavrilova, Irina, 1351, 1360 Gelver, Fedor, 1417 Golikova, Ulia, 754 Gorskiy, Anatoly, 418, 745 Grachev, Andrey, 683 Grachev, Vladimir, 936 Grafkina, Marina, 1018 Grebennikov, Ivan, 1035 Grigoryan, Martin, 1436 Gromov, Konstantin, 1044 Gryzunov, Vitaly, 1281 Gultyaev, Alexander, 1299 Gulyi, Ilia, 945 Guzikova, Liudmila, 436, 818 I Istomin, Evgeniy, 1273 Ivanov, Artem, 607 Ivanov, Viktor, 862 Izotov, Oleg, 1299 K Kabanov, Alexander, 10, 19, 827 Kalashnikov, Arseny, 1133 Kalenkov, Aleksandr, 1086 Kanaev, Andrey, 665
Author Index Kapinos, Olga, 559 Karagacheva, Maria, 260 Karetnikov, Vladimir, 1474 Karpova, Tatyana, 781 Kavkazskiy, Vladimir, 28, 915 Kazaku, Ekaterina, 399, 754 Kazanskaya, Liliya, 483 Kazarinov, Nikita, 577 Kazaryan, Ruben, 1605 Khamidov, Otabek, 230 Khan, Vladimir, 1518, 1563 Kharlov, Maksim, 64, 463 Khlebnikova, Maria, 1554 Kibalov, Evgeny, 974 Kim, Konstantin, 153 Kim, Konstantin I., 726 Kim, Konstantin K., 726 Klycheva, Nataliya, 762 Kofeev, Vadim, 1141 Kolankov, Sergey, 46, 503 Kolpakhchyan, Pavel, 162 Kolycheva, Zhanna, 1204 Konkov, Alexander, 568 Konon, Anastasia, 493 Kononov, Dmitry, 427 Konshina, Vera, 55, 91, 549 Korenyakina, Natalia, 1527 Korenyakina, Natalya, 1509 Kornienko, Elena, 1536 Korobkova, Marina, 1483 Korolev, Konstantin, 568, 915 Koroleva, Elena, 1483 Koryagin, Mark, 964 Koryakina, Alina, 1281 Kosenko, Sergey, 1545 Kosheleva, Tatiana, 719 Kostenko, Vladimir, 906 Kotenko, Alexey, 512 Kotenko, Oksana, 512 Kotesov, Anatoly, 1195 Kotesova, Anastasia, 1195 Kotov, Sergey, 1370 Kovalev, Konstantin, 701 Kovalev, Sergey, 1307 Krasovskaya, Nina, 1579 Krasovskaya, Olga, 1579 Kravchenko, Lubov, 200 Krotov, Sergey, 427 Ksenofontova, Tatiana, 10, 19, 436, 540, 719 Ksenofontova, Vera, 781 Kudryashov, Alexander, 1141 Kuklev, Denis, 352 Kukleva, Natalya, 352 Kulikov, Alexey, 1586
Author Index
1625
Kuranova, Olga, 617 Kurbanov, Khudaynazar, 808 Kuten, Maria, 1011 Kuzenkova, Galina, 1095 Kuzmin, Vyacheslav, 1168 Kuznetsov, Anatoly, 799
Nikiforova, Guzel, 145 Nikitin, Victor, 162 Nikolaev, Sergey, 674 Novichikhin, Alexey, 701 Novikov, Alexey, 1586 Novozhilova, Nadezhda, 1380
L Labutin, Nikita, 286, 295 Lang, Andrey, 295 Lanin, Viacheslav, 1445 Lanis, Aleksey, 1035 Larina, Elizaveta, 1186 Lavrenteva, Elena, 1370 Ledyaev, Alexandr, 28 Legostaeva, Nadezhda, 1380 Leschenko, Alexey, 1168 Leshchev, Anton, 1579 Lesnykh, Alexey, 992 Lesnykh, Elena, 992 Likhachev, Dmitry, 1586 Lin, Hong, 808 Login, Elina, 665 Loginova, Natalya, 436, 540 Loktev, Alexey, 1026 Losin, Leonid, 627 Lukpanov, Rauan, 735
O Obolensky, Anton, 1044 Okulov, Nikolay, 906 Ol’Khovik, Evgeniy, 1307, 1474 Olenich, Dmitry, 915 Oparin, Sergey, 221, 925 Ostanin, Ilya, 91, 549
M Magomedova, Natalia, 1554 Magomedova, Natalya, 1527 Mahmudova, Tatiana, 1454 Maier, Sergei, 586 Maier, Sergey, 371 Maistruk, Aleksandr, 1018 Maksimova, Evgenia, 762 Malichenko, Victor, 1095 Mandryka, Olga, 1239 Marshavina, Olga, 827 Martyn, Irma, 1273 Maslennikova, Ludmila, 380 Mazgaleva, Ada, 1148 Menzilova, Marina, 1111 Merkusheva, Victoria, 250 Migrov, Alexander, 835 Mikheeva, Tatiana, 1111 Moiseev, Vladimir, 781 Muhammadiyev, Nematzhon, 493 Muradova, Safura, 1204 N Naumov, Viktor, 1086 Neelova, Natalia, 818 Nesitih, Ksenia, 1231 Nikiforov, Oleg, 181
P Pak, Maria, 37 Pakhomova, Lyudmila, 1053, 1060, 1067 Panchenko, Maksim, 936 Pantina, Tatiana, 1324, 1342, 1390 Panychev, Alexander, 100, 109 Parshina, Valentina, 190 Petriaev, Andrey, 493 Petrov, Yaroslav, 1247, 1256, 1264, 1273 Petrov, Yuriy, 577 Pichkurova, Natalia, 46 Pilipenko, Tatayna, 1133 Plastinin, Andrey, 1086 Pletnev, Dmitri, 1231 Poddaeva, Olga, 1026 Pokrovskaya, Oksana, 100, 109 Ponomarev, Andrey, 314, 324 Popov, Dmitrii, 835 Popova, Yuliya, 955 Postnova, Elena, 343 Puzanova, Yulia, 118 Pyataev, Maksim, 974, 983 R Rachek, Svetlana, 37 Razuvaev, Denis, 1035 Reshetnikov, Maxim, 1148 Ripol-Saragosi, Lyudmila, 1509 Rizakulov, Sherzod, 483 Rodin, Vladimir, 772 Rodina, Natalia, 1086 Ronnov, Evgeny, 1186 Runev, Evgeniy, 343 Rusinov, Igor, 1492 Rybkina, Alina, 240 S Satsuk, Tatiana, 37, 190 Satsuk, Tatyana, 454 Saushev, Alecsandr, 1408
1626 Saveleva, Marina, 1333 Sergeeva, Tatiana, 361, 844 Sevostyanov, Aleksandr, 1586 Sharutina, Vera, 1053, 1060 Shcherbakova, Irina, 1454 Shcherbakova, Maria, 925 Shcherbakova, Ol’ga, 1067 Shcherbinin, Nikita, 1492 Shedko, Natalia, 617 Shestakova, Ekaterina, 399 Shilin, Mikhail, 1239, 1247, 1256, 1264 Shishkin, Roman, 790 Shmatchenko, Vladimir, 862 Shtykov, Valeriy, 324 Shvarts, Mikhail, 772 Shytkov, Valeriy, 314 Sichkarev, Viktor, 1168 Sidorenko, Artem, 1273 Sikarev, Igor, 1239, 1247, 1256, 1264 Sinitsyn, Mikhail, 1076 Sirgiya, Anna, 1426 Sitnov, Alexander, 1141 Smirnov, Anton, 1399 Smirnov, Vladimir, 371, 408, 521, 586 Smirnova, Larisa, 1399 Smolokurov, Evgeniy, 1399 Soataliev, Rakhimjon, 1213 Sokornov, Anton, 568 Soloviova, Valentina, 898 Sorokin, Evgeniy, 1103 Sorokina, Ekaterina, 1026 Sorokina, Galina, 808 Stepanov, Evgeniy, 1231 Stepanov, Sergey, 1273 Stepanova, Irina, 898 Strinyuk, Svetlana, 1445 Studnev, Sergei, 1159 Sugorovsky, Artem, 692 Sultonov, Shokhrukh, 889 Sycheva, Anastasia, 1579 T Tabachnikova, Ekaterina, 1465 Talantova, Klara, 278 Taranukha, Svetlana, 1333 Tashev, Dilmurod, 1213 Tatarintseva, Svetlana, 454 Terekhov, Lev, 871 Titova, Tamila, 710 Tkalenko, Natalia, 1053, 1060
Author Index Toloknova, Olga, 1408 Tolstolutsky, Vladimir, 1044, 1095 Tregubova, Elen Bilonda, 1605 Trofimova, Liudmila, 1324, 1390 Tsarkova, Evgeniya, 1613 Tsokurova, Irina, 1595 Tsverov, Vladimir, 1076 Tvardovskaya, Nadezhda, 559, 656, 871 U Udalova, Daria, 230 Ukraintseva, Daria, 1281 Urakov, Aslidin, 1213 Usov, Dmitriy, 1035 Uzdin, Alexander, 808 V Valiullin, Damir, 637 Vatulin, Yan, 153 Veselov, Vitaliy, 269, 278 Vidyushenkov, Sergey, 408, 521 Vikulov, Stanislav, 1067 Vladimirova, Tatiana, 190 Volkova, Elena, 1 Vorobev, Aleksandr, 463 Vorobev, Alexander, 64, 880 Voronova, Svetlana, 754 Voroshilova, Marina, 1103 Vvedenskii, Ilia, 1380 X Xametov, Zamirbek, 1213 Y Yakovlev, Valeriy, 1572 Yashchenko, Elena, 304 Yudnikova, Elena, 472 Yue, Wang, 719 Z Zamorin, Valery, 1536 Zavyalov, Anton, 1026 Zhelamskaia, Alla, 1370 Zhitinev, Petr, 531 Zhukov, Vladimir, 1290 Zhuravleva, Natalia, 531 Zhutiaeva, Svetlana, 190 Zubkov, Artyom, 1002 Zuev, Andrey, 1067 Zuev, Valery, 1186