emerging issues in the natural and applied sciences - UM Expert

ISBN: 978-9952-8071-4-1

EMERGING ISSUES IN THE NATURAL AND APPLIED SCIENCES Academic book

“PROGRESS” Baku, Azerbaijan-2011

Academic book LCC: AY10-29 UDC: 002

Editorial board: Ángel F. Tenorio, Prof. Dr. Polytechnic School, Pablo de Olavide University (Spain) Maybelle Saad Gaballah, Prof. Dr. National Research Centre, Cairo (Egypt) Manuel Alberto M. Ferreira, Prof. Dr. ISCTE-Lisbon University Institute (Portugal) Eugen Axinte, Prof. Dr. "Gheorghe Asachi" Technical University of Iasi (Romania) Sarwoko Mangkoedihardjo, Prof. Dr. Sepuluh Nopember Institute of Technology (Indonesia) Cemil Tunc, Prof. Dr. Yuzuncu Yil University (Turkey) Peng Zhou, Prof. Dr. School of Medicine, Wake Forest University (USA) Editor-in-chief: J.Jafarov Coordinator: A. Alimoglu

Emerging issues in the natural and applied sciences. “Progress” LLC, Baku, 2011, 308 p. This research book can be used for teaching modern science, including for teaching undergraduates in their final undergraduate course in all fields of natural and applied sciences. More generally, this book should serve as a useful reference for academics, sciences researchers.

ISBN: 978-9952-8071-4-1 © Progress IPS LLC, 2011 © IJAR, 2011

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EMERGING ISSUES IN THE NATURAL AND APPLIED SCIENCES

TABLE OF CONTENTS Chapter 1. Ali Hakan Işık, Osman Özkaraca, İnan Güler EVALUATION OF BIOTELEMETRY SYSTEMS AND NOVEL PROPOSAL FOR CHRONIC DISEASES ANAGEMENT…………………...……………5 Chapter 2. Sarwoko Mangkoedihardjo APPLIED PHYTOTECHNOLOGY IN ENVIRONMENTAL SANITATION FOR THE TROPICS AND THE OCEAN COUNTRIES.........................20 Chapter 3. Khalisanni Khalid, Rashid Atta Khan, Sharifuddin Mohd. Zain A RELATIVE NEW TECHNIQUE TO DETERMINE RATE AND DIFFUSION COEFFICIENTS OF PURE LIQUIDS......................................................36 Chapter 4. Manuel Coelho, José António Filipe, Manuel Alberto M. Ferreira “CRIME AND PUNISHMENT”: THE ETHICAL FUNDAMENTS IN THE CONTROL REGIME OF COMMON FISHERIES POLICY………................…...45 Chapter 5. Ussy Andawayanti SEDIMENT DISTRIBUTION İN THE ESTUARY OF SENDANG BIRU COAST, MALANG REGENT-INDONESIA.........................................................58 Chapter 6. Abu Hassan Abu Bakar, Arman Abd Razak, Mohamad Nizam Yusof ESTABLISHING KEY DETERMINANTS CONTRIBUTING TO GROWTH OF CONSTRUCTION COMPANIES: AN EMPIRICAL EXAMINATION..….................73 Chapter 7. Manuel Alberto M. Ferreıra, Marina Andrade DIFFUSION MODEL FOR THE FINANCING OF A FUND THAT RISKS RUIN…......89 Chapter 8. Dwi Priyantoro, Lily Montarcih L. SPAN WELL, AN INNOVATION IN IRRIGATION DESIGN.......................................102 Chapter 9. Mahyuddin Ramli, Amin Akhavan Tabassi ENGINEERING PROPERTIES OF POLYMER MODIFIED MORTAR......................119 Chapter 10. Mohammad Bisri WATER CONSERVATION AND ANALYSIS OF SURFACE RUN OFF SPATIALLY AT KALI SUMPIL WATERSHED, EAST JAVA-INDONESIA.................136

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Academic book Chapter 11. Amin Akhavan Tabassi, Mahyuddin Ramli, Abu Hassan Abu Bakar TRAINING AND DEVELOPMENT OF WORKFORCES IN CONSTRUCTION INDUSTRY..............................................................................150 Chapter 12. Lily Montarcih SYNTHETIC UNIT HYDROGRAPH FOR WATERSHED IN SOME AREAS OF INDONESIA............................................................................167 Chapter 13. B.S.E. Iyare F.E.U. Osagıede THE MATHEMATICS OF VECTOR - BORNE DISEASES........................................179 Chapter 14. Marina Andrade, Manuel Alberto M. Ferreıra FORENSIC IDENTIFICATION WITH BAYES’ LAW………………................….…….206 Chapter 15. Khalisanni Khalid, Khalizani Khalid PRODUCTION OF BIODIESEL FROM PALM OIL VIA TRANSESTERIFICATION PROCESS - THE RECENT TRENDS......................221 Chapter 16. Lasmini A., A.K. Indriastuti PEDESTRIAN FACILITIES AND TRAFFIC MANAGEMENT CAUSED BY INAPPROPRIATE ACTIVITIES ON SIDEWALK AT CENTRAL BUSINESS DISTRICT IN CITY OF DEVELOPING COUNTRY................................232 Chapter 17. Khaled Smaili, Seifedine Kadry IMPACT OF SOFTWARE AND HARDWARE TECHNOLOGIES ON GREEN COMPUTING...........................................................251 Chapter 18. Ishak Aydemir, Elif Gökçeaslan RESTRUCTION OF MEDICAL SOCIAL WORK IN TURKEY....................................276 Chapter 19. João Pedro Couto, Armanda Bastos Couto ESTABLISHING MEASURES TO MINIMIZE CONSTRUCTION SITES IMPACTS: A STUDY OF PORTUGUESE HISTORICAL CENTERS.........................293

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EVALUATION OF BIOTELEMETRY SYSTEMS AND NOVEL PROPOSAL FOR CHRONIC DISEASES MANAGEMENT Ali Hakan Işık, Osman Özkaraca, İnan Güler The Department of Electronics and Computer Education, Gazi University, 06500 Ankara (TURKEY) E-mails: [email protected], [email protected], [email protected]

ABSTRACT During recent years, aging population is the most important challenge especially for developed countries. Therefore they seek cost-effective healthcare solutions to overcome this problem. New innovations in electronic and communications technologies provide reliable and long-term solutions for this issue. Developments and excellence in biotelemetry also support elderly and vulnerable people in their own homes comfort and offer health services at anytime and when they wish. In order to meet these changes, emerging innovations must be evaluated carefully. It is found that one of the most challenges of chronic diseases care that biotelemetry applications encounter is patient’s cooperation and compliance. These problems can be accomplished by using supervised, unsupervised or blended method. In supervised method, doctor or nurse visit patients in their home. Insufficient number of supporting person and extensive cost are main challenges of this method. In unsupervised method, patients are informed and tracked by using distance learning and application software. Patient computer competence and usability, internet accession problem are main challenges of this method. In blended method, firstly medical expert person visit patients and they are informed about computer, drug usage and their disease. Then treatment plan is carried out by using video enhancement distance learning and application software. With this way, major problems of both systems can be overcome. Main aims of this chapter are comprehensive analysis of biotelemetry systems and suggestion of innovative solution for chronic diseases management in home environment. With this chapter finding, scientists can receive detailed infor5

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mation about biotelemetry in all aspects and innovative solution is proposed for chronic diseases management. It is believed that wireless technology such as zigbee or bluetooth to obtain biological and physiological data, data transmission technology such as third generation (3G), patient management and tracking method, decision support system will be used together in one unique application to provide effective and efficient solution in the future. Key words: Biotelemetry, chronic diseases, mobile communication, distance learning 1. INTRODUCTION In today's information age, rapid developments in information and communication technologies have led to fundamental changes in the areas of people's cultural, social, educational, health care. Without the concept of time and space, providing our needs at any time and anywhere has emerged. This change showed it's effect in health care field. These changes in health care field led to the emergence of new concepts [1, 2]. In this context, general access to information and health resources that result will contribute importantly to individual and community health, as well as to the health care systems that support it, especially in the realms of chronic disease monitoring and management. It is, therefore, essential that barriers to universal broadband access be overcome, and that obstacles to adequate reimbursement for such tele-health services are removed. Biotelemetry is one of the typical examples of such a success, or the application in biomedical measurement [3]. It provides remote measurement of biological or physiological quantities and transmission of these data from patient environment to the remote center. Chronic diseases and it’s management are very important issue in biotelemetry. By 2020, chronic diseases accounted for 80% of deaths of in the world. Each year, many people lose their life due to various chronic diseases which shows the importance of ECG signals monitoring that is heart's electrical activity [4]. In first part of this study, we deal with biotelemetry and telehomecare with all aspects. In the last part of this study, chronic 6


diseases management and distance learning is offered as a solution method, obtained findings are discussed and founded results are presented. Main aim of this study is to evaluate past, present and future of biotelemetry systems and predictions about the future application. It is also presented an innovative proposal for chronic diseases management in home environment. 2. BIOTELEMETRY Biotelemetry means collecting and transmitting biological or physiological data from one location to another location so as to interpret the data [5]. Biotelemetry measurements are biological data such as ECG, EEG and physiological data such as blood pressure, temperature, glucose [6]. Biotelemetry can be employed for the measurement of a wide variety of applications. Most important ones are follows; In many areas ambulances and emergency rescue teams are equipped with telemetry equipment to allow electrocardiograms and other physiological data to be transmitted to a nearby hospital for interpretation. Collection of medical data from a home or office. Research on unrestrained, unanesthized animals in their natural habitat. Isolation of an electrically susceptible patient from power line operated ECG equipment to protect him from accident or shock. Measurement of the temperature and position of the egg in a nest by telemetry system. This works describes a biotelemetry system for continuous monitoring of temperature and position of an artificial radio transmitter egg in a mall bird nest. Space life sciences research [7]. As it shown in figure 1, wireless systems are designed to provide “anytime, anywhere” service, enabling data entry and data access by medical personnel at the point of care, direct data acquisition from medical devices, patient and device identification, and remote patient management [8].

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Fig. 1. Wireless biotelemetry system [8]. 2.1. Biotelemetry for emergency case Continuous connection in biotelemetry provides immediate intervention to the patient who is in the emergency condition. In Pavlopoulos and colleagues’ study, by using the GSM mobile telephony network, they transmitted vital biosignals and images of the patient from the emergency site such as ambulance to the consultation site. This study concludes that early and specialized prehospital management contributes to emergency case survival [9]. 2.2. XML based bio-information transmission With the development in biotelemetry, there is a need to make the electronic medical information (EMI) exchange, sharing the huge amount of data, accession data through any type of web application. In this context, XML provide simple, standard, platform and operating system independent data transmission and retrieval. In this field, donglan’s study takes advantages of XML and web technology. This system is platform, system- and application-independent as well as user-driven and open standard for exchanging data via the Internet. Study show that XML based electronic medical information (EMI) 8


does not only increase the readability and exchangeability of EMI, but also make our system compatible with PACS and Hospital information system [10]. 3. BIOTELEMETRY AND TELE-HOMECARE STUDIES There are so many studies related to the biotelemetry and tele-homecare. It is important to evaluate these studies so as to understand biotelemetry and tele-homecare with all aspects. To achieve this goal, most important ones are presented below; In a tele-homecare research project conducted in Sacrament, researchers concluded that tele-homecare is capable of maintaining quality of care while producing cost savings [11]. In another study, authors found that tele-homecare can provide home monitoring services to the same number of patients at lower cost than in person [12]. Cerny and colleagues article focused on the designing of homecare system that include patient’s movement and circadian rhythm parameters. The Circadian rhythm measurement and its usage in the homecare system are discussed [13]. In Krejcar and colleagues article, researchers create a system that controls important information about the state of a wheelchairbound person (monitoring of ECG and pulse in early phases, temperature or oxidation of blood). Values are sent to the smart device communicates with the module for processing via Bluetooth wireless communication technology. Most of the data (according to heftiness) is processed directly in PDA or Embedded equipment to a form that is acceptable for simple visualization [14]. In home healthcare study that is performed in Minnesota, patients divide into three groups. In first one, patients received traditional nursing care at home. In second one, virtual visits using videoconferencing technology. In third one both virtual visits and physiologic monitoring is performed. Within six months of study, these participations that received both virtual visits and physiologic monitoring required that lower level care [15]. In Fidan’s study, four channel biotelemetry device was designed and implemented for monitoring body temperature, respiratory rate, heart rate, electrocardiogram (ECG) and electromyogram (EMG) signals of the patients at indoor [16]. Cleland and colleagues concluded that 9

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remote monitoring of patients with congestive heart failure (CHF) and patients using implantable cardiac defibrillators can lead to better management of medications and patient behavior. CHF is a deadly disease and one of the primary causes of hospital admissions. Once a person has been hospitalized with CHF, there is a 25 percent chance that he or she will die or be re-hospitalized within three months. In Cleland study, home visits were reduced 65 percent for the remote monitoring group [17]. In another study, home monitoring device that captured and transmitted weight of heart failure patients reduced the six-month mortality rate 56.2 percent [18]. Benefits of Biotelemetry and Tele-homecare Many studies show that biotelemetry and tele-homecare are cost effective and supportive solution. It is believed that increased intensity of disease monitoring and management will create improved patient healthcare with resulting reduction of acute and chronic complications, and that these will translate directly into decreased consumption of expensive emergency health care resources (emergency room visits and rehospitalizations) and decreased long-term disease complications. This, in turn, should translate directly to decreased consumption of expensive medications, personnel, equipment and hospitalization days required to manage those long-term complications [19, 20, 21, 22]. Management of energy and power in biotelemetry A crucial attribute of anybody sensor system is its power consumption and management. Researchers have proposed many solutions to tackle the power problem. One solution is energy scavenging - using circuits powered by energy from the environment to power sensor nodes autonomously. A second solution is sub threshold circuit design, in which voltages are significantly less than the nominal supply voltage. A third solution, improved network protocols, is based on the fact that the wireless radio’s transmission is often the most power-hungry element of a circuit. Relatively new networking standards, such as Zigbee (IEEE 802.15.4), Bluetooth LowEnergy Wireless Technology, and the work-in progress Body Area 10


Network protocol (IEEE 802.15.6), target the resource constrained embedded-systems market [23]. In many applications of short range biotelemetry, long operational life of the remote unit is a prime requirement. Many different types of biotelemetry systems featuring low battery drain have been developed over the years, but adequate battery life can still be a problem [24]. Implantable Units in Biotelemetry Implantable sensors measure parameters inside the body. Because surgery is often involved, they’re subject to stringent requirements. Wearable sensors, although not as invasive as their implantable counterparts, nevertheless must withstand the human body’s normal movements and infringe on them as little as possible. These sensors must coexist with the body, both inside and outside, whereas other types of sensors - for example, environmental sensors - might have no such constraint. They provide bidirectional communication interfaces between a person and a remote information system that provides healthcare services, diagnosis, or upgrades [25]. One of the most important challenges of implantable units is battery life, transmission signal length, and encapsulation. There are some requirements for the usage of an implantable telemetry. Implantable units must have relatively small size and be lightweight. Internal power source has to be used for a long time. Miniaturization and long-term use of implant electronic systems for medical applications have resulted in growing necessity for an external powering system. Another requirement is encapsulation of the unit. Implantable parts of the system must be encapsulated in a biocompatible material. The use of implantable units also restricts the distance of transmission of the signal. This disadvantage has been overcome by picking up the signal with a nearby antenna and external power [26, 27]. Long operating life of implantable electronic circuits can be obtained by using low power transmission techniques. For example, pulse code modulation combined with remote switching systems to turn the circuit on only when monitoring is necessary [28]. Inductive powering of implantable monitoring devices is a widely accepted 11

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solution for replacing implanted batteries. Inductive powering is based on the magnetic coupling between an internal coil and an external coil that is driven by an alternating current.[29] Chronic diseases management Remote monitoring is increasingly recognized as valuable tools for enhancing care quality in chronic disease management. They have the potential to deliver new savings for both patients and providers. For patients, this means fewer office and emergency room visits, fewer and reduced duration of hospitalizations, reduced patient travel time and expense, and increased access (for the elderly, the physically challenged, the homebound, and especially for rural patients). For clinicians, it means more informed decisionmaking, enhanced patient compliance and more efficient outreach case management [30]. Monitoring of this kind can enable more sophisticated home care, detect deterioration prior to symptom development and minimize the need for complicated and cumbersome patient transportation to hospital/office appointments. Because they can now be reliably monitored at home, home-bound COPD patients may be able to receive better care in other ways. When the home-care program is carefully designed and implemented, early release from the hospital will not endanger patient health, will reduce patient exposure to hospital-acquired infections and will minimize risks associated with return to the hospital/office for routine clinical examinations [31, 32, 33]. Further, although it is not possible to make the home environment as safe as the intensive care unit, clearly defined steps can be taken to minimize risk [34]. In all these contexts, biotelemetry studies have demonstrated health benefits in terms of reduced hospitalization days, reduced clinic visits, enhanced quality of life and satisfaction with technology. Cost benefits have been demonstrated for patients, home care agencies and the health care system [35].

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4. DISTANCE LEARNING Distance learning is a new trend in education that gives a chance to everyone and offers options to learn better under the constructivist approach [36]. Similarly, Moore defines distance learning as “the family of instructional methods in which the teaching behaviors are executed apart from the learning behaviors so that communication between the teacher and the learner must be facilitated by print, electronic, mechanical or other devices” [37] Distance learning and training result from the technological separation of instructor and learner which make free the learner from the necessity of traveling to “a fixed place, at a fixed time, to meet a fixed person, in order to be trained” [38]. Service that gives the clinician the ability to monitor and measure patient health data and information over geographical, social and cultural distances using video and non-video technologies. Remote monitoring may include video-conferencing, messaging reminder and surveillance questioning, and/or one or more sensors - such as electrocardiogram, pulse oximetry, vital signs, weight, glucose, and movement or position detectors [39]. In this context, by using distance learning in chronic patients care provide time independent, cost effective, interactive solution. 5. CONCLUSION An ease of use, replaceability, wearability are key issues and most important features of the biotelemetry system. Through the development in sensor, communication, decision support system, increase in patients number and demand, decrease in power consumption and cost, it is possible to perform many offline advanced applications in real time accompanying with the real-time detection of signal. Main applying areas of the biotelemetry are diabetes, congestive heart diseases and chronic obstructive pulmonary diseases. Biotelemetry ensures significantly greater improvement with reducing visiting number of doctors, health expenditure in the field of chronic patient treatment. Recent studies demonstrated that chronic pulmonary patients often makes mistake in self management and

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drug usage. Evaluated studies concluded that biotelemetry solutions for healthcare are feasible and acceptable. In addition, evaluated studies concluded that it is required to developed new approach to follow their own treatment plan. In this context, in proposed system firstly expert person visit, then interactive audio/video enhancement distance learning emerged as an innovative solution to overcome this issue. Another important component of proposed system for chronic pulmonary patients include next generation sensors, zigbee as a transmission technique between patient and remote environment, xml format as flexible data exchange, smart mobile phone as a communication device, advanced decision support system as a processing unit. There was a rapid growth in medical technology especially telemetry. By using biotelemetry, wireless measurements of biological and physiological data and monitor of patients’ symptoms and movements, decision making regarding this data, treatment plan are provided. One of the main aims of the biotelemetry is to provide quality healthcare by means of innovative technology. We can evaluate biotelemetry by using cost-effectivity, patient satisfaction, and benefit and improvement for health. This study introduces a general survey and evaluation of biotelemetry system and innovative solution for chronic pulmonary patients care. In addition, findings of this study showed the usability and benefit for healthcare. Application areas of biotelemetry system tend to increase. It enhances the health services and management of chronic and complex disease. Other benefits are reductions in hospital admissions, patient visits and the overall cost of the patient’s care. Continual growth of biotelemetry is driven by the ease of use and installation, flexibility. Mobile solution provides ease of use and XML technology provides flexibility. XML based bio-information transmission and retrieval provide more flexible data exchange, integration, standardization in biotelemetry. In promising results obtained revealing the feasibility of biotelemetry system for patients. Today more effectively decision support systems are used than ever before. Most important ones are artificial neural network, support vector machine, fuzzy logic. These algorithms processed data and produced useful information about patient healthcare. In 14


addition, Infrared, Bluetooth, ZigBee, Wi-Fi and GPRS wireless communication technologies are widely used in biotelemetry. Among these communication technologies, ZigBee provide network enhancement, effective, long term and low power solution in implantable unit. In this study, two-way interactive audio/video telecommunication is proposed as innovative solution for chronic diseases management together with medical expert person consultation. In distance learning people's educational background and computer usability is very important. The average age of COPD or other chronic pulmonary patient is very high, so their educational background and computer usability is not enough. They need face to face consultation before remote tracking and treatment. Therefore we propose blended method to track and support patients in home environment. By using this solution emerging challenges can be eliminated. With time and place independent concept, Future biotelemetry applications will use smaller implantable device such as cardiac pacemakers and defibrillators, radio interface of implantable device provide signal amplification and use advanced modulation techniques. In addition, application will integrate with other system such as hospital information system. It is believed that main role of biotelemetry is support traditional personal care and not to replace. REFERENCES 1. Zach S., “Telemedicine overview and summary”, Nineteenth Convention of the IEEE, 1996; 409-412. 2. Kyriacou E., Pavlopoulo, S., Koutsouris D., “Multipurpose Health Care Telemedicine System”, Proceeding of the 23rd Annual EMBS International Conference of the IEEE, 2001; 3544-3547. 3. Shimizu K., “Optical Biotelemetry”, Advances in Electromagnetic Fields in Living Systems, Springer Science+ Business Media, New York, 2005; 131-154. 4. World Health Organization, Chronic diseases and health promotion, http://www.who.int/ 2011. 15

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5. Wolcott T. G., New options in physiological and behavioral ecology through multichannel telemetry. J. Exp. Marine Biol. Ecol. 1995; 193:257-275,. 6. Cromwell L., Weibell F. J., Pfeiffer E. A., Biotelemetry. In Huebner, V. (ed.), Biomedical Instrumentation and Measurements, Prentice-Hall, Englewood Cliffs, 1980; 12: 316343. 7. Mathew T., Shanavas K. P., “Wireless Technology Based Biotelemetry”, 2010; 1-6. 8. Robert S. H. Istepanian, Swamy Laxminarayan, Constantinos S. Pattichis, “M:Health: Emerging Mobile Health Systems” Springer Science+Business Media, 2006; 3-617. 9. Pavlopoulos S., Kyriacou E., Berler A., Dembeyiotis S., Koutsouris D., “A Novel Emergency Telemedicine System Based on Wireless Communication Technology-Ambulance, IEEE Transactıons On Information Technology In Biomedicine”, 1998: 2(4): 261-266. 10. Donglan Y., Shuqun X., Xianli W., Zhensheng Z., Kuijian W., A XML-based remote EMI sharing system conformable to Dicom, International Symposium & Summer School on Biomedical and Health Engineering, China, 2008: 556-559. 11. Johnston B., Weeler L., Deuser J., Sousa K. Outcomes of the Kaiser Permanente Tele-Home Health Research project. Arch Fam Med., 20009: 40-45. 12. Dansky K.H., Palmer L., Shea D., Bowles KH. Cost analysis of telehomecare. Telemedicine Journal and e-Health 2001: 7(3): 225-232. 13. M. Cerny, M. Penhaker, “The HomeCare and Circadian Rhythm”, Proceedings of the 5th International Conference on Information Technology and Application in Biomedicine, China 2008: 245-248. 14. Krejcar O., Janckulik D., Martinovic J., “Smartphone, PDA and Embedded Devices as mobile monitoring stations of Biotelemetric System”, COMPUCHEM'08 Proceedings, 2008: 65-69.

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15. Finkelstein S.M., Speedie S.M., Potthoff S. Home Telehealth Improves Clinical Outcomes at Lower Cost for Home Health care. Telemedicine J and e-Health, 2006: 12(2): 128-136. 16. Fidan U., Guler N. F., “A Design and Construction of 4 Channel Biotelemetry Device Employing Indoor”, J Med Syst, 2007: 31: 159-165. 17. Cleland J., Louis A.A., Rigby A.S., and etc. Noninvasive Home Tele-monitoring for Patients with Heart Failure at High Risk of Recurrent Admission and Death, Journal of the American College of Cardiology 2005; 45(10):1654,. 18. Goldberg L.R., Piette J.D., Wals M.N., and etc. Randomized trial of a daily electronic home monitoring system in patients with advanced heart failure the Weight Monitoring in Heart Failure (WHARF) trial. Am Heart J 2003;146:705712,. 19. Hebert M.A., Korabek B., Scott R.E. Moving Research into Practice: A Decision Framework for Integrating Home Telehealth into Chronic Illness Care. International Journal of Medical Informatics 2006;75, 786-794. 20. Whitten P.S., Mair F.S., Haycox A., May C.R., Williams T.L., Hellmich S. Systematic review of cost effectiveness studies of telemedicine interventions. BMJ 2002; 234: 14341437. 21. Hersh W., Helfand M., Wallace J., Kraemer D., Patterson P., Shapiro S., Greenlick, M. A systematic review of the efficacy of telemedicine for making diagnostic and management decisions. Journal of Telemedicine and Telecare, 2002; 8:197-209. 22. Aoki N, Dunn K, Johnson-Throop KA, Turley JP. Outcomes and Methods in Telemedicine Evaluation. Telemedicine Journal and e-Health, 2003; 9:(4) 393-401. 23. Andrew D. Jurik, Alfred C., Weaver, Body Sensors: Wireless Access to Physiological Data, IEEE Software Journal, 2009; 26:(1), 71-73.

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24. Ko W. H., Liang S. P., Fung C.D. F., Design of radio frequency powered coils for implant instruments. Med. Biol. Eng. Comput. 1977; 15:634-640. 25. Andrew D., Jurik Alfred C., Weaver, Body Sensors: Wireless Access to Physiological Data, IEEE Software Journal, 26(1), 71-73 2009. 26. Park J., Choi S., Seo H., Nakamura T., Fabrication of CMOS IC for telemetering biological signals from multiple subjects. Sens. Actuat. A 43:289-295, 1994. 27. Guler N. F., Ubeyli E. D., “Theory and Applications of Biotelemetry”, Journal of Medical Systems, 2002; 26:(2) 159-178. 28. Leung A. M., Ko W. H., Spear T. M., Bettice J. A., Intracranial pressure telemetry system using semicustom integrated circuits. IEEE Trans. BE 1986; 33:386-395. 29. Donaldson N., Perkins N., Analysis of resonant coupled coils in the radio frequency transcutaneous links. Med. Biol. Eng. Comput. 1983; 21:612-627. 30. Stachura M. E., Khasanshina E. V., Telehomecare and Remote Monitoring: An Outcomes Overview, Advanced Medical Technology Association 2008;1-36. 31. Morlion B., Knoop C., Paiva M., Estenne M. Internet-based home monitoring of pulmonary function after lung transplantation. American J Respir Crit Care Med 2002; 165:694697. 32. Ruggiero C., Sacile R., Giacomini M. Home telecare. Journal of Telemedicine and Telecare 1999;5:11-17. 33. McIntosh A., Thie J., The development of a new model for community telemedicine services. Journal of Telemedicine and Telecare 2001; 7:( 1): 69-72,. 34. Simonds A.K., Discharging the ventilator dependent patient. Eur Respir Mon, 2001; 16: 137-1146. 35. Jennett P.A., Hall L.A., Hailey D., Ohinmaa A., Anderson C., Thomas R., Young B, Lorenzetti D, The socio-economic impact of telehealth: A systematic review. Journal of Telemedicine and Telecare 2003; 9:(6) 311-320.

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36. Galusha J. M. Barriers to Learning in Distance Education, Interpersonal Computing and Technology, 1997; 5(3) 6-14. 37. Moore M. Three types of interaction. The American Journal of Distance Education, 1989; 3(2), 1-7. 38. Keegan, D. Distance education technology for the new millennium: compressed video teaching, Germany: Institute for Research into Distance Education, 1995; 1-43. 39. Max E. Stachura, Elena V. Khasanshina, Telehomecare and Remote Monitoring: An Outcomes Overview, Advanced Medical Technology Association 20081-36.

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APPLIED PHYTOTECHNOLOGY IN ENVIRONMENTAL SANITATION FOR THE TROPICS AND THE OCEAN COUNTRIES Sarwoko Mangkoedihardjo Department of Envionmental Engineering, Sepuluh Nopember Institute of Technology (ITS), Surabaya (INDONESIA) [email protected]

ABSTRACT This paper presented an applied phytotechnology to increase the diversity of technology in solving complex problems of environmental sanitation. The selected technology was prospective for application in the tropics and the countries bordering the sea. Various studies had been collected, selected and evaluated to formulate the important and meaningful issues to management and environmental protection. The basic principle of phytotechnology was the management of materials and energy in a loop system, which was based on the basic theory of all life activities. Applied phytotechnology included quality management of air, water and land; management of sanitation practices, and reduction the impact of sea water overflow due to global warming to the mainland. Quantitative figures were shown for the practical implementation and emergency measures. Framework for scientific study was prepared for the further research direction, which would be suitable for the implementation according to local conditions. Key words: Environmental Protection, Quality Management, Sanitation Practices, İmpact Reduction, Practical İmplementation, Scientific Framework 1. INTRODUCTION Plants are natural sources, which can function as a source of food and environmental problem solving resources. Plants in the 20


terminology of "crops" are used for the production of foodstuffs, which become the field of agricultural sciences. Plants in the terminology of "plants" are used for the processing environment, which become the field of phytotechnology. Practically, phytotechnology is the empowerment plants for the solution of environmental problems. In accordance with the function of plants, the plant species in phytotechnology are a group of non-consumptive plant. In practical terms, when plant used as a processing environment, the postharvest uses are not used for food consumption. Similarly, if plants as food producer, the plants are not used in phytotechnology. Various studies have shown that plants are capable of processing wastes and contaminated environment [1-5]. As a processing environment, it is clear that the plant is part of environmental sanitation technology and explained by the formula respiration and photosynthesis. A short example is decomposition of organic waste by respiration, which processes organic material into carbon dioxide and then carbon dioxide is absorbed by plants into organic matter. In connection with the process of photosynthesis, the energy source is sunlight. ıt is well known that the tropics are exposed to sunlight throughout the year and almost 12 hours a day. Meanwhile, non-tropic regions, exposure of sunlight is fluctuating throughout the year and throughout the day. Therefore, the potential application of phytotechnology in tropical area is supposed to be more intensive than the application of phytotechnology in non-tropical regions. In addition, global warming is a major environmental issue, that one result is an increase in sea level [6-8]. The biggest pressure is the rising sea levels in coastal areas, where the beach is exposed to ocean waves. Responding to pressures on the coastal land, phytotechnology deemed capable of controlling the spread of sea water towards the mainland. Manning’s formula [9-10] can be used to explain the ability of plants to increase the roughness of the beach, so the dispersion of sea water can be shortened to the mainland. Therefore, this paper describes the application of phytotechnology to tropical regions and the countries whose territory borders the sea. The main objective is to provide phytotechnology as the technology to manage environmental sanitation and protection of coastal

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areas. As the potential of technology, of course phytotechnology adds technology diversity for maximum environmental protection. 2. LOOP SYSTEM OF MATERIAL AND ENERGY MANAGEMENT 2.1. Theoretıcal foundatıon for actıvıtıes of lıvıng organısms. The complexity of activities for all living organisms are represented as the process of respiration. In aerobic conditions for all living organisms and in anaerobic conditions for living organisms that do not require oxygen, respectively respiration process is as follows: nME + C6H12O6 + 6O2 ↔ 6CO2 + 6H2O + nME

(1)

nME + C6H12O6 + 6H2O → 3CO2 + 3CH4 + 6H2O + nME

(2)

In both equations, nME stands for a variety of materials and energies. Simplifying the process of equation (2) into the Global Warming Potential (GWP), where 1mol CH4 = 21mol CO2 [11] resulted in the following equation: nME + C6H12O6 + 6O2 ↔ 66CO2(e) + 6H2O + nME

(3)

In equation (3), CO2(e) stands for CO2 equivalent. By comparing the equation (3) and equation (1), then the GWP in anaerobic conditions amounted to eleven times the GWP in aerobic conditions. Clearly, by equation (1) and (3) to suppress the GWP, the environment should be maintained in aerobic conditions. Aerobic conditions can be achieved naturally using phytotechnology, because only plants are living organisms that capable of running the process of equation (1) towards the left, namely photosynthesis. 2.2. Phytotechnology for sustaınable envıronmental sanıtatıon Application of the above theory on environmental sanitation can be explained as follows. Environmental sanitation is defined as an intervention to cut the chain cycle of human disease [12]. By tra22


dition, a way to cut the cycle chain disease intervention was implemented through the disposal and processing of human waste, garbage and sewage, control of disease vectors, and provision of facilities and domestic hygiene. The conventional approach to environmental sanitation is man-made process technology and waste management is characterized as linear. An example is a septic tank, which treat wastewater and dispose of the effluent into the ground. The management system pointed linear nutrients contained in waste is wasted. Referring to Annan [13], a concrete format of sustainable environmental sanitation includes water supply and sanitation, biodiversity and ecosystem management, energy, agricultural productivity and health. The format of sustainable environmental sanitation takes clearly into account the components of living organisms, which in particular is a plant. When the wastewater used for agricultural irrigation, the nutrients contained in them can be used to plant needs. Wastewater management that provide opportunities for utilization of wastewater content makes the management of it is the loop. The historical record shows that the practice of environmental sanitation is already done in Greece in 3000 years BC [14]. The next period of history there is darkness sanitation integrated with agriculture for 4,500 years. However, the history of sanitation reappears in the period of 1531-1897, when Germany and the countries of Europe and the United States of America use of land including a wastewater processing plant [15]. It is clear that loop system of wastewater management has actually done a long time. It is generally agreed that phytotechnology is the application of science to study and prepare a technology solution to environmental problems using plants [16-20]. Therefore, the practice of recovery of materials and nutrients has been promising positive output through the approach of phytotechnology. 3. SECURING THE QUALITY OF PHYSICAL ENVIRONMENT The physical environment consists of the compartment air, water and soil. In practice, these three are an integral compartment 23

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to give an impact on living organisms. Conversely, the results of the dynamic activity of living organisms give effect to all compartments. However, to understand where the main problem, it is deemed necessary to study the three separate compartments. 3.1. Air quality The complexity of resident life activities are represented as the process of respiration. Release of carbon from fossil fuel combustion is known as primary carbon footprint, the rest is secondary carbon footprint. Release of carbon into the air is in the form of carbon dioxide (CO2). The gas is used to be an equivalent parameter to evaluate the GWP for all greenhouse gases (CO2, CH4, N2O, HFCs) [11]. The increase of CO2 in air has resulted in global warming and climate change. Natural approach to reduce CO2 is the gas absorption by the plant according to equation (3). It is clearly pointed that phytotechnology has important role in maintaining air quality. 3.2. Water qualıty In line with a release of carbon into the air, releases carbon into the soil and water is in the form of organic compounds, expressed as BOD and COD. The proportion and concentration of BOD and COD stated condition of water quality, whether it is toxic, easily biodegradable or stable [21]. Consequences of hot air temperature is to increase soil water evaporation, thus decreasing soil water availability. Despite the attenuation technique with injection of CO2 into the ocean waters [22-24], but this can cause water to become acidic and negative impacts on marine life. Water acidity dissolves heavy metals and other salts, resulting in increased water salinity and declining availability of fresh water. Air temperatures also decrease the water solubility of oxygen (DO), so that the carrying capacity of the waters to be down. Accordingly, organic waste is thrown into the waters of lower DO. Combinations can spend DO, which indicates septic waters and undergo an anaerobic process and produces gases such as methane (CH4). The decline of organic matter in waste water can of course be done with various techniques of physical, chemical and biological. But naturally, the decrease of organic materials can be used phyto24


technology. Biodegradable organic matter would be decomposed by microbial plant roots, whereas non-biodegradable portion would be absorbed by plants. As a results, the waste effluent BOD/COD ratio approaches to stable level. In addition, water temperature and water bodies could be reduced by shade plants, so as to increase DO. Clearly, phytotechnology is promising to maintain water quality. 3.3. Land qualıty Land cover refers to cover an area of natural and man-made coverage. Natural land cover, for example, forests tend to decline as a result of increased activities and human settlements. The relationship between land cover and the spread of pollutants into water bodies has been documented by researchers [25-26]. It was stated that the increase in impermeability of land cover will increase runoff. Increased runoff will cause erosion of soil and contaminants in the eroded soil and carried into surface water bodies. Thus, there is a relationship between increasing impermeability of land cover and increased pollution in surface water bodies. In these conditions, it is clear that the way to reduce pollution of surface water bodies is the reduction of impermeability or increased permeability of land cover. Therefore, an extension of greenspace for the city is an approach of phytotechnological measure in order to increase permeability of land cover and reduce surface water pollution. 3.4. Quantıtatıve fıgures for determınıng cıty phytostructure Reviews of environmental quality within each compartment above point out the important phytotechnology in the form of greenspace. City phytostructure is defined as the greenspace area and its distribution as part of the physical structure of the city. Determination of greenspace area is based on equation (1), where the nME is substituted by nH2O. The substituent of nH2O is used to calculate the volume of water reservoirs on the basis of the number of people in using energy (C6H12O6). The result is a number of releases of CO2, which is absorbed by a number of plants. By analogy in determining the volume of water reservoir, the reservoir volume of CO2 can be known. Carbon dioxide reservoir volume is none other 25

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than the greenspace area. Thus there is the quantitative relationship between greenspace area with a population of an area, which was formulated by Samudro and Mangkoedihardjo [27] as follows: GA = [29P 0.7 – 3.2P]

(4)

Where GA is a greenspace area in units of km2 and P is the total population in units of millions of people. As an example is given to the largest coastal cities in Java, namely Surabaya, Semarang and Jakarta. Prediction of the total population in 2025 for each city is respectively 3.2, 1.8 and 11.0 million inhabitants. The data is entered into the equation (4) and each city should provide greenspace area for 55, 38 and 120 km2 respectively. Along with the establishment of greenspace area is the distribution of greenspace in urban areas. The distribution of greenspace area is based on equation (1), where the nME substituted with nH2O Absorption of CO2 can be maximized by maximizing the exposure of sunlight on plants for north-south direction (if the greenspace distribution in east-west direction, so not all greenspace get the same sunlight all day). Similarly, the process of maximum photosynthesis is near to the water sources, ie along the water bodies or rivers. As an example, the idealized city phytostructure is presented for the city of Surabaya (fig. 1).

Fig.1. Idealized city phytostructure for the city of Surabaya 26


4. SANITATION PRACTICES In addition to the way the expansion of greenspace use of plants for planting gardens, along rivers, along roads, cemetery, etc., then the expansion of greenspace can also be directed in the practice of sanitation. On-site sanitation system is a technique applied in many cities in Java in particular and Indonesia generally [2829]. On-site sanitation system in the form of septic tanks and the like, where the supply of wastewater from household activities and the effluent disposed through the soil absorption system. Thus, the on-site system depending on soil permeability. However, permeability of soil in the bed of waste can contaminate water recharge to ground water. How to reduce wastewater infiltration into the soil is to divert the flow of wastewater into the air, through the placement of plants on wastewater infiltration beds. Beds for wastewater treatment using plant known as evapotranspiration beds. Thus, evapotranspiration bed is phytotechnology application for transfer of wastewater into the air through plant absorption [30]. The treatment mechanism of wastewater is to drain water as well as reduce pollutants that escape into the soil and air. Similarly, the implementation of a centralized sanitation, for example in the constructed wetlands, which use plants as processing contaminants, is very significant for the reduction of pollution level [31]. In accordance with the mechanism of drainage of wastewater in evapotranspiration beds and constructed wetlands, the technology is not dependent on the impermeability of land. Therefore, both technologies can be applied in all conditions of the soil permeability, including in coastal urban areas. 5. SECURING THE LAND FROM THE SEA PRESSURE 5.1. Theoretıcal foundatıon for land protectıon agaınts overflow water Assuming the earth's surface is a channel of water flow, the velocity of water flow depends on the characteristics of the soil surface. Therefore, the Manning’s formula [9-10] for open channel hydraulics can be applied as follows: 27

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Vr = (1/n)*R2/3*S1/2

(5)

Characteristics of ground surface is represented as a soil surface roughness constant (n). R is the radius of the horizontal hydraulic face. Land slope (S) was defined as the hydraulic slope, the difference in water levels along the water spread, which is not less than the friction head loss (hf) over the length of the spread of water (L). In order to compare between coastal regions and coastal areas free greenspace, equation (5) is rearranged as follows: hf/L = n2*(Vr*R2/3)2

(6)

Hydraulic parameters in square brackets are the same in both conditions, and was assigned to be a constant factor (fc). Therefore the following equation to examine the long spread of water has been applied: hf/L = n2fc2 (7) 5.2. Quantıtatıve fıgures for the span of coastal greenspace As a result of global warming is rising sea water level, threatening land area of coastal cities. Field observations over the past few years, in several large cities on the coast of Java, such as Jakarta and Semarang has occurred storm tides. Storm tides is flowing water from sea that brings about inland flood. The flood can be seen as small tsunami. Hydraulic model using Manning’s formula for open channel (equation 5) and its simplifications (equation 6 and 7) were applied to reduce the wave travel. Based on observations of tsunami event that occurred in Aceh on 26 december 2004 shows the sea wave height is 15m (as hf) and spread to the mainland as far as 6km (as L). Before the tsunami, it is considered for the roughness of the land (n) of 0.05. Thus the amount of fc2 is 1 m/m. With the placement of greenspace along coastal zones, it would increase the roughness of the land (n) of 28


0.15. using the same constant factor and for the worst condition to prevent impact similar to tsunami Aceh, the greenspace length of 0.7 km is probably safe. The hypothetical coastal greenspace span to minimize the dispersion of tsunami wave into mainland is presented in fig. 2 [32-33]. Indeed, the greenspace length could be applied along the coastline for prevention safety reason in addition to the need of greenspace near the water bodies. The result would be valuable method for countries that potentially have similar seabased impacts.

Fig. 2. Hypothetical coastal greenspace span for aceh In recent years the study of re-vegetation processes on past landslide is increasing attention from both ecological and geomorphological prospective [34-35]. A variety of ecosystem protection services could be provided by plants in the form of greenspace. Plants could be applied to provide ecosystem structural services in excess sea wave mitigation instead of functional services such as food resources. 5.3. Suıtable plants In condition that the land coast is flat, the engineered greenspace is to provide salt tolerance plant species of various heights. According to PPRI [33], some plant species such as mangrove Bruguiera sp, sea pine Casuarina equisetifolia and coconut Cocos nucifera were shown to exist after tsunami disaster. These are the 29

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potential plants for mitigating tsunami-like wave impaction, however, more plant resistance species should be examined to find out roughness constant variability. Greenspace density is another ecosystem parameter that is an important in developing roughness constant. PPRI [33] reported that the densely coconut plants of 100m - 200m width was less impacted than mangrove of 250m width. In an ecosystem approach, the greenspace density could be engineered based on the biotic diversity, involving various native plants species such as avicennia, rhizopora sp, soneratia, xylocarpus, and terminalia catappa. For pollutant respon purposes, ecotoxicological study should be conducted to select the suitable plant species. Plants that have high evapotranspiration factor, high pollutant removal efficiency, low growth rate, no significant effect, adapted to local conditions, low maintenance, etc. are preferable. 6. PHYTOTECHNOLOGICAL SANITATION FRAMEWORK FOR COASTAL CITIES It is proposed a phytotechnological framework in response to inland sanitation practices and sea-based pressures that is emphasized for coastal cities. Steps are vary depending on prevailing conditions and whether the steps are to be a baseline for decision for the need of coastal greenspace. It is assumed that sea-based pressures are the limiting conditons for environmental management and therefore, the coastal greensapace is absolutely required. Coastal greenspace design requires at least two steps. Plants selection study is needed for plants resistance against flowrate, i.e. storm tides and tsunami wave, and roughness constant. The roughness constant is an input for hydraulic model, aiming to design greenspace size. For selected resistance plants, they need phytotoxicological study for broader ranges of pollutants to accomodate other pollution sources in addition to sanitation practices from mainland activities.

30


For mainland areas, greenspace should be provided in a sufficient area in accordance with long-term population. The remaining areas can be developed for residential and other urban infrastructure, where on-site and off-site sanitation systems are attempted to use phytotechnology. Those are the way to reduce pollution of groundwater, surface water pollution, and to ensure the recycling of materials as well as addition an area of greenspace. It is possible to use the existing on-site sanitation by using evapotranspiration bed. Since the off-site sanitation using conventional treatment is introduced, the effluent discharge has to be monitored. When the quality of effluent is frequently beyond the harmful level, an alternative phytotreatment could be introduced. Then, the effluent could be discharged safely to the existing water bodies or constructing wetlands inside the coastal greensapce. It is absolutely necessary to conduct phytotoxicological study to select effective plants for specific pollutants. 7. CLOSING REMARKS Applied phytotechnology with the provision of urban greenspace would protect environmental quality in general. Sanitation practices by using the plant as a waste treatment system to ensure that the material used is recyclable. As a result, pollution levels would decrease in the mainland area. The addition of greenspace along the coastline would be more significant in reducing the export of pollutants to the estuary and marine pollution. In response to the impact of global warming, coastal greenspace can reduce the negative impact of sea-based pressures, which leads to prevent mainland degradation. REFERENCES 1. Shimp J.F., Tracy J.C., Davis L.C., Lee E., Huang W., Erickson L.E. and J.L. Schnoor, 1993. Beneficial effects of plants in the remediation of soil and groundwater contaminated with organic materials. Critical Review in Environ. Sci. Tech., 23: 41-77. 31

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2. Schnoor J.L., Light L.A., McCutcheon S.C., Wolfe N.L. and L.H. Carriera, 1995. Phytoremediation of Organic and Nutrient Chemicals. Environ. Sci. Tech., 29: 318-323. 3. Bich N.N., Yaziz M.I. and N.B.K. Bakti, 1999. Combination of Chlorella vulgaris and Eichhornia crassipes for wastewater N removal. Water Res., 33(10): 2357-2362. 4. Coleman J., Hench K., Garbutt K., Sexstone A., Bissonnette G. and J.Skousen, 2001. Treatment of domestic wastewater by three plant species in constructed wetlands. Water, Air, and Soil Pollution, 128: 283-295. 5. Yirong C. and U. Puetpaiboon, 2004. Performance of constructed wetland treating wastewater from seafood industry. Water Sci. Tech., 49(5-6): 289-294. 6. Warrick R. A., C. L. Provost, M. F. Meier, J. Oerlemans, and P. L. Woodworth, 1996. Changes in sea level, in Climate Change 1995: The Science of Climate Change, 359-405, (Eds J.T., Houghton L.G., Meira Filho B.A., Calander N. Harris, A. Kattenburg and K. Maskell), Cambridge University Press, Cambridge. 7. Shriner D.S. and R.B. Street, 1998. North America in the Regional Impacts of Climate Change: An Assessment of Vulnerability, 253-330, Eds R.T. Watson, M.C. Zinyowera, R.H. Moss, Cambridge University Press, Cambridge. 8. Meehl G.A., W.M. Washington, W.D. Collins, J.M. Arblaster, A. Hu, L.E. Buja, W.G. Strand and H. teng. 2005. How Much More Global Warming and Sea Level Rise?. Science, 307 (5716): 1769-1772. 9. Dooge J.C.I., İn Channel Wall Resistance: Centennial of Manning’s Formula, Edited by B. C. Yen, Water Resources Publications, Littleton, Colorado, 1992. 10. Chow V.T. Open-Channel Hydraulics. McGraw-Hill, New York, 1988. 11. USEPA, 2005. Metrics for Expressing Greenhouse Gas Emissions: Carbon Equivalents and Carbon Dioxide Equivalents. EPA420-F-05-002. http://www.carbonfootprint.com/carbonfootprint.html (accessed 1 September 2010). 32


12. Simpson-Hébert M., and S. Woods (Eds), 1998. Sanitation Promotion. Who, Geneva. 13. Annan K.A. 2002. Toward A. Sustainable future. Environment, 44 (7): 10-15. Proquest, USC, Los Angeles, 8 May 2004. 14. Angelakis A.N., MHF Marecos D.E. Monte, L. Bontoux and T. Asano. 1999. The Status of Wastewater Reuse Practice in the Mediterranean Basin: Need For Guidelines. Water Res., 33 (10): 2201-2218. 15. Shuval H.I., A. Adin, B. Fattal, E. Rawitz and P. Yekutiel. 1986. Wastewater Irrigation in Developing Countries. Health Effects and Technical Solutions. World Bank TP 51, Washington D.C. 16. Flathman PE.. and G.R. lanza. 1998. Phytoremediation: Current Views on an Emerging Green Technology. J. Soil Contam., 7: 415-432. 17. ITRC-Interstate Technology Regulatory Council, 2001. Technical and Regulatory Guidance Document, Phytotechnology. Available at http://www.itrcweb.org 18. USEPA, 1999. Phytoremediation Resource Guide. EPA/542/B-99/003. Available at http://www.epa.gov/tio 19. USEPA, 2000. Introduction to Phytoremediation. EPA/600/R-99/107. Available at http://www.epa.gov/clariton/clhtml/pubtitle.html 20. USEPA, 2001. Ground Water Issue. Phytoremediation of Contaminated Soil and Ground Water at Hazardous Waste Sites. EPA/540/S-01/500, February 2001. 21. Samudro G. and S. Mangkoedihardjo. 2010. Review on BOD, COD and BOD/COD ratio: A Triangle Zone for Toxic, Biodegradable and Stable Levels. Int. J. of Acad. Res., 2 (4): 235-239. 22. Brewer P.G. 1997. Ocean chemistry of the fossil fuel CO2 signal: The haline signature of "Business as Usual". Geophys. Res. Lett., 24: 1367-1369. 23. Caldeira K. and M.E. Wickett. 2003. Anthropogenic carbon and ocean pH. Nature 425: 365.

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24. We J. and T. Ohsumi. 2004. Perspectives on biological research for CO2 ocean sequestration. J. Oceanogra., 60 (4): 695-703. 25. Frink C.R, 1991. Estimating nutrient exports to estuaries. J. Environ. Qual., 20 (4): 717-724. 26. McCreary S., R. Twiss B. Warren C. White S. Huse K. Gardels and D. Roques. 1992. Land use change and impacts on the San Francisco Estuary: a regional assessment with national policy implications. Coastal Management, 20:219253. 27. Samudro G. and S Mangkoedihardjo. 2006. Water Equivalent Method for City Phytostructure of Indonesia. Int. J. Environ. Sci. Tech., 3 (3): 261-267. 28. LPSU Jakarta, 2002. Annual State Environmental Review (ASER). Western Java Environmental Management Programme. CPSU Jakarta. 29. RISPKS, 2008. Rencana Induk Sanitasi Perkotaan Kota Surabaya, a project review by BPLHD Kota Surabaya. 30. Mangkoedihardjo S. 2007. Phytopumping Indices for evapotranspiration Bed. Trends in Appl. Sci. Res., 2 (3): 237240. 31. Coleman J., Hench K., Garbutt K., Sexstone A., Bissonnette G. and J. Skousen, 2001. Treatment of Domestic Wastewater by three plant species in constructed wetlands. Water, Air and Soil Pollution, 128: 283-295. 32. Mangkoedihardjo S. 2007. The Significance of Greenspace in Coastal Area of Indonesia. Global J. Environ. Res., 1 (3): 92-95. 33. PPRI, 2005. Lampiran 3 Peraturan Presiden Republik Indonesia Nomor 30 Tahun 2005 Tentang Rencana Induk Rehabilitasi dan Rekonstruksi Wilayah dan Kehidupan Masyarakat Provinsi Nanggroe Aceh Darussalam dan Kepulauan Nias Provinsi Sumatera Utara. Buku Rinci Bidang Lingkungan Hidup dan Sumber Daya Alam. 34. Bimala D.D., Omura H., Kubota T., Paudel P. and Inoue S., 2006. Revegetation condition and Morphological Characteristics of Grass Species Observed in Landslide Scars, 34


Shintategawa Watershed, Fukuoka, Japan. J. Appl. Sci., 6 (10): 2238-2244. 35. Puigdefabregas J., 2005. The Roles of Vegetation Patterns in Structuring Runoff and Sediment Fluxes in Drylands. Earth Surface Processes and Landforms, 30: 133-147.

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A RELATIVE NEW TECHNIQUE TO DETERMINE RATE AND DIFFUSION COEFFICIENTS OF PURE LIQUIDS Khalisanni Khalid*, Rashid Atta Khan, Sharifuddin Mohd. Zain Department of Chemistry, Faculty of Science, University of Malaya, 50603 Kuala Lumpur (MALAYSIA) *Corresponding author: [email protected]

ABSTRACT Reversed - Flow Gas Chromatography (RF-GC) is a relatively new technique in the area of physical and environmental sciences. It requires a gas chromatography machine with slight modification on it. The method is fast and precise. As the importance of the technique is concerned, the present paper will discuss on the application of RF-GC technique to determine the physicochemical properties (rate coefficients, diffusion coefficients) of pure liquids. Key words: RF-GC, physicochemical properties, diffusion coefficients 1. INTRODUCTION During the last decades, the environmental pollution issues have captured the attention of peoples from of world. The leaders from respective countries give the opinions on the control of pollution attack [1-2]. One and most contributed pollution type is via liquids effluence. A lot of analytical techniques were reported earlier to determine the physicochemical properties of sample under study [35]. However, it seems to say that those methods are relatively time consuming, tedious with high deviation of findings. In order to perform a robust analysis, the RF-GC technique is selected for quick, precise and effective methodology to characterize physicochemical properties of pure liquids [6-7]. 36


RF-GC is a novel inverse gas chromatography (IGC) method. In this technique, instead of basing physicochemical measurements on retention volumes of elution peaks, their broadening and their shape distortion, due to physicochemical processes is under study. The application of the method implies continuously switches the system under study from a flow dynamic one to a static system and vice versa, by repeatedly closing and opening the carrier-gas flows. Diffusion and other related phenomena, which are usually negligible during the gas flow, may become important when the flow is stopped [8]. The technique is based on reversals of the direction of the carrier-gas flow at various time intervals. In this way, a repeated sampling of slow rate processes taking place within the chromatographic column can be carried out. Using suitable mathematical analysis of the experimentally obtained chromatographic data, the physicochemical parameters can be estimated. As the matter is concerned, the technique of RF-GC is applicable and relevant for diverse research areas such as environment, pharmaceutical, medicine, food, physical and biological sciences [9-11]. 2. EXPERIMENTAL In this type of chromatography, the column was unfilled with any material and sampling process was carried out by reversing of the carrier gas from time to time producing sample peaks. Selected liquid (methanol, ethanol, etc.) of 99.9-9% purity will be used as solute, while carrier gas was nitrogen of 99.99% purity. After the injection of 1 cm3 s-1 of liquid pollutant at atmospheric pressure and selected temperature, a continuous concentration–time curve was recorded passing through a maximum and then declining with time. By means of a six-port valve, the carrier gas flow direction is reversed for 5 s, which was a shorter time period than the gas holdup time in both column sections l and l’, and then the gas was again turned to its original direction. This procedure creates extra chromatographic peaks (sample peaks) superimposed on the continuous elution curve. This was repeated many times during the experiment lasting a few hours. The height, h of the sample peaks from the con37

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tinuous signal, taken as baseline, to their maximum was plotted as ln (h-h) versus time, giving a diffusion band, whose shape and slope both depend on vessel L which is empty, as well as on the geometric characteristics of the vessel and the temperature. In all experiments, the pressure drop along l + l’ will negligible, while the carrier gas flow-rate will keep constant (1.0 cm3 s-1). 3. RESULTS AND DISCUSSION The results obtained from the preliminary experiments were evaluated for physicochemical quantities of the liquid under study.

Fig. 1. The rise of the sample peak height with time for the diffusion of liquid vapor into nitrogen (v=cm3 s-1), 313.15K and 1 atm

In Figure 1, the height, h of the sample peaks as a function of the time t0, when the flow reversal was made, was plotted on a semilogarithmatic scale [12]. It shows the steep rise and then the leveling off with time of the sample peak height. As an example using equation,

38

EMERGING ISSUES IN THE NATURAL AND APPLIED SCIENCES 2

ln(h-h)=ln h - [2(kcL+D)/L ]t0 1/2

ln[h(L/2t0

1/2

1/2

Equation 1 2

+ kct0 )] = ln[4kcc0/v(D/) ] – (L /4D)( 1/t0) Equation 2

which derived from Katsanos [13] to analyze the experimental findings, the data on Figure 1 were treated as follows. Iterated some points, which correspond to small times, the rest of the experimental points were plotted according to Equation 1, as shown in Figure 2.

Fig. 2. Diffusion of liquid vapor into nitrogen 3 -1 (v=1cm s ), t 3135K and 1atm

As infinity value h was taken the mean of the values found in the time interval, which differed little from one another. From the slope of this plot, which was equal to - 2(kcL+D)/L2, according to Equation 1, using the theoretically calculated value, and the actual value of L, a value of kc was calculated. This approximate value was used to plot all but the few point closed to h according to Equation 2 as shown in Figure 3. 39

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Fig. 3. Data from evaporation of liquid into nitrogen (v=1cm3 s-1), at 313.15K and 1atm. From the slope of this latter plot, a value of D was found. If this is combined with the slope of the previous plot (Figure 2), a second value for kc was calculated and further used to re-plot the data according to Equation 2. The new value for D found coincides with the previous one and thus the iteration procedure must be stopped. By using this chromatographic sampling equation, one can simply determine the experimental diffusion coefficients and rate coefficients of the interest analytes based on the perturbation of reversed-flow gas chromatographic methodologies [14]. The application of the sampling equation also contributes to analytical approach for determining physicochemical properties of the sample. The precision of the method, defined as the relative standard deviation (%), can be judged from the data of the theoretical values [15]. The experimental values of diffusion coefficient compared with those calculated theoretically by the Equation of Fuller-Schettlar-Giddings (FSG) equation [16]. The precision was a measure of the deviation of the values found by the RF-GC method from the calculated ones, defined as: 40


Precision (%) = 100[(Dfound-Dtheory)/Dfound] The precision between the experimental and theoretical values will give high precision [17]. This verifies the low deviation values between theoretical and experimental diffusion coefficients which obtained from RF-GC methodologies for analyzing interest analytes. In comparison of literature and experimental values of diffusion coefficients to find the accuracies of the data, the assessments are difficult because limited literatures were reported for the temperatures ranged from 40-100°C [18-19]. In addition, correlative studies with previous literature are impossible for the reason that earlier papers have used different temperatures, liquid pollutants samples and carrier gas flow rate [20-21]. However, the precision of the technique is undeniably amazing [22-24]. 4. CONCLUSION The uniqueness of the method is its precision and simplicity. The presented style of reversed-flow gas chromatography can be used to simultaneously determine correct absolute evaporation rates and vapours diffusivities of liquids. ACKNOWLEDGEMENTS The author is indebted to University Malaya, who supported the research project and Ministry of Science and Technology Malaysia (MOSTI) for the scholarship. Last but not least, special thanks to the staff from Department of Chemistry, University of Malaya for their technical support. REFERENCES 1. M. Matouq, N. Kloub and K. Inoue. The role of quality control and everyone’s participation in Japan to prevent pollution during last five decades. Am. J. Applied Sci. 4(1): 14-18 (2007). 2. A.E. Ghaly, D.G. Rushton and N.S. Mahmoud. Potential air and groundwater pollution from continuous high land appli41

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3.

4. 5. 6. 7. 8.

9.

10.

11. 12.

cation of cheese whey. Am. J. Applied Sci. 4 (9): 619-627 (2007). M. Tsuchiya, Y. Shida, K. Kobayashi, O. Taniguchi and S. Okouchi. Cluster composition distribution at the liquid surface of alcohol-water mixtures and evaporation processes studied by liquid ionization mass spectrometry. Int. J. Mass Spectrom. 235: 229-241 (2004). S.E. Friberg. Effect of relative humidity on the evaporation path from a phenethyl alcohol emulsion. J. Colloid Interface Sci. 336: 786-792 (2009). W.L.H. Hallett and S. Beauchamp-Kiss. Evaporation of single droplets of ethanol-fuel oil mixtures. Fuel 89: 24962504 (2010). N.A. Katsanos and G. Karaiskakis. Measurement of diffusion coefficients by reversed-flow gas chromatography instrumentation. J. Chromatogr. A 237: 1-14 (1982). N. A. Katsanos and G. Karaiskakis. Temperature variation of gas diffusion coefficients measured by the reversed-flow sampling technique. J. Chromatogr. A, 254:15-25 (1983). S. Reich, O. Trapp and V. Schurig. Enantioselective stopped-flow multidimensional gas chromatography: Determination of the inversion barrier of 1-chloro-2,2-dimethylaziridine. J Chromatogr A 892: 487-498 (2000). G.Ch. Lainioti, J. Kapolos, A. Koliadima and G. Karaiskakis. New separation methodologies for the distinction of the growth phases of Saccharomyces cerevisiae cell cycle. J. Chromatogr. A 1217: 1813-1820 (2010). S. Nikolakaki, Ch. Vassilakos and N.A. Katsanos. Chromatographic determination of the rate and extent of absorption of air pollutants by sea water. Chromatographia 38: 191-198 (1994). M. Pekar. Inverse gas chromatography for liquid polybutadienes. Polymer 43:1013-1015 (2002). G. Karaiskakis, P. Agathonos, A. Niotis and N.A Katsanos. Measurement of mass transfer coefficients for the evaporation of liquids by reversed-flow gas chromatography. J. Chromatogr. A 364:79-85 (1986) 42


13. N.A. Katsanos, A.R. Khan, G. Dimitrios and G. Karaiskakis. Flux of gases across the air-water interface studied by inverse gas chromatograph. J. Chromatogr. A 934:31-39 (2001) 14. A.K. Rashid, D. Gavril, V. Loukopoulos and G. Karaiskakis. Study of the influence of surfactants on the transfer of gases into liquids by inverse gas chromatography. J. Chromatogr. A 1023:287-296 (2004). 15. K. Khalisanni, A.K. Rashid and M.Z. Sharifuddin. Analysis of diffusion coefficient using reversed-flow gas chromatography-A review. Am. J. Applied Sci. 8(5):428-435 (2011). 16. G. Dimitrios, A.K. Rashid and G. Karaiskakis. Study of the evaporation of pollutant liquids under the influence of surfactants, AIChE. 52: 2381-2390 (2006). 17. G. Dimitrios, A.K. Rashid and G. Karaiskakis. Study of the mechanism of the interaction of vinyl chloride with water by reversed-flow gas chromatography. J. Chromatogr. A 919:349-356 (2001). 18. N.A. Katsanos. Physicochemical measurements by the reversed-flow version of inverse chromatography. J Chromatogr A 969:3-8 (2002). 19. G. Karaiskakis and G. Dimitrios. Determination of diffusion coefficients by gas chromatography. J Chromatogr A 1037:147-189 (2004). 20. G. Dimitrios, A.K. Rashid and G. Karaiskakis. Determination of collision cross-sectional parameters from experimentally measured gas diffusion coefficients. Fluid Phase Equilibria 218:177-188 (2004). 21. G. Dimitrios and A.K. Rashid. Inverse gas chromatographic study of the factors affecting surface diffusivity of gases over heterogeneous solids, Instrum. Sci. Technol. 36(1):56 - 70 (2008). 22. A.K. Rashid, G. Dimitrios and G. Karaiskakis. New methodology for the measurement of diffusion coefficients of pure gases into gas mixtures, Instrum. Sci. Technol. 30(1):67 78 (2002).

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23. A. Georgaka, G. Dimitrios, V. Loukopoulos, G. Karaiskakis and B.E. Nieuwenhuys. H2 and CO2 co-adsorption effects in CO adsorption over nanosized Au/γ-Al2O3 catalysts, J. Chromatogr. A 1205:128-136 (2008). 24. E. Metaxa, T. Agelakopoulou, I. Bassiotis, S. Margariti and V. Siokos. Time-resolved gas chromatography applied to submonolayer adsorption: Modeling and experimental approach. App. Surf. Sci. 253:5841-5845 (2007).

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“CRIME AND PUNISHMENT”: THE ETHICAL FUNDAMENTS IN THE CONTROL REGIME OF COMMON FISHERIES POLICY 1

2

Manuel Coelho , José António Filipe , Manuel Alberto M. Ferreira2 1

ISEG/UTL, 2ISCTE - Lisbon University Institute (PORTUGAL) E-mails: [email protected], [email protected], [email protected]

ABSTRACT Monitoring and enforcement in fisheries have been largely neglected in the study of management in this field. A formal model of fisheries law enforcement is presented to show how fishing companies perform their activities and how fisheries policies are affected by costly, imperfect enforcement of fisheries law. The model developed combines standard Economics of Fisheries analysis (Gordon/ Schaefer model) and the Theory of “Crime and Punishment” of Becker. The Common Fisheries Policy (CFP) is discussed. And in the model presented is considered its possible use. Key words: Ethics, Fisheries, Enforcement, Common Fisheries Policy 1. INTRODUCTION Resources and tragedies are very closely related in the fisheries’ literature. When people can access to a resource freely, usually the resource is overexploited and tragedies may happen. An ethical problem gets evident with its formulation. For transposing this kind of dilemma, agents are confronted with rules. Sometimes rules are violated and punishment is necessary. It is what happens with fisheries problem in which overexploitation is very usual and it is necessary to preserve species form extinction. Public enforcement of law, that is, the use of public agents to detect and sanction violators of legal rules is an obvious important 45

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theoretical and empirical subject for Social Sciences. First literature on the subject of law enforcement dates from eighteen century: Montesquieu, Beccaria and Bentham. Curiously, after the sophisticated analysis of Bentham, the subject of enforcement “lay essentially dormant in economic scholarship” (Polinsky and Shavell, 2000), until the influential article of Gary Becker (1968), “Crime and Punishment: An Economic Approach”. 2. CRIME AND PUNISHMENT IN FISHERIES ECONOMICS In the context of Fisheries Economics, the problem of crime and punishment can be seen as an externality arising when exclusive property rights are absent (Cheung, 1970) and that absence depends on, among other things, the costs of defining and enforcing exclusivity. Efficiency considerations, don't dictate, only by itself, the choice of a certain property rights regime. In some systems of property rights (as it is the case of “common property") the realignment of the property rights can have a very high or even prohibitive cost. The establishment and enforcement of a system of rights depends, of course, on efficiency considerations, but also on the individual preferences and the ethical, political and social realities in a community. These include the lack of means (or other insufficiencies) of the administration to control and enforce the execution of legal rules (Demsetz, 1967). Monitoring and enforcement considerations have been largely ignored in the study of fishery management. This chapter explores this issue with a formal model of fisheries law enforcement to show how fishing firms behave and fisheries policies are affected by costly, imperfect enforcement of fisheries law. This model combines standard Economics of Fisheries analysis (Gordon/Schaefer model) with the Theory of “Crime and Punishment” of Becker. The conclusions of the model are used to discuss ethical reasons in the design and reform of the control and monitoring regime of the Common Fisheries Policy. By definition, anything that is an infringement of the law is illegal. Illegal fishing therefore covers a wide range of behaviour, which 46


can take place at three levels for members of the European Union: national, Community and international. Illegal fishing has always existed, but, in recent decades, there has been a sharp rise in violating activities, due to technical progress: motorization, freezing techniques, improved gear, new forms of stocks detection and information. This process was majored by the evolution of the Law of the Sea, a “creeping jurisdiction” process which seems to have given an end to the principle of open access. Obviously it’s impossible to quantify or qualify infringements. They are known to take place at all levels and take different forms at different times; some violations are detected but many remain unnoticed. Infringements take the traditional forms of fishing over the quota or using non-permitted mesh-size, but are also in situations of non-permitted by-catches or transhipment; even in the fake world of convenience flags. Illegal fishing occurs at all stages of fishing activity. A large number of offenders are fishermen motivated by various interests, the fundamental being the lure of short term profit. But fishermen are not the only ones involved. Fraud can take place along the entire channel. Note that the possibilities after landing are tremendous. National administrations sometimes bear part of the blame. Every state is responsible for enforcing the existing rules and monitoring activities (policing its territory, conducting controls and penalising offenders). Its inefficacy in controlling activities is the reason of a lot of enforcement problems. 3. THE FUNDAMENTAL RESULTS OF THE THEORETICAL ANALYSIS The main basis to have in mind in order to perform a theoretical analysis of crime and punishment are the following:  First, the model sustains a rule of optimal behaviour for a rational (“homo economicus”) operator: For a given stock size x , the firm sets its catch rate at a level in excess of its quota, where marginal profits equal the expected marginal penalty. If there were no penalty for fishing beyond legal 47

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quota, or if there were no probability of being detected and convicted, the firm would set its catch at the open access catch rate. If the expected marginal penalty schedule lies above the marginal profit schedule for all catch level above the legal quota, the firm’s optimum catch equals its quota. So, firms with no quota have an expected net gain for entering, illegally, in the fishery, if their expected marginal penalty schedule begins below their marginal profit schedule.  Second, it can be concluded that the presence of costly, imperfect enforcement results in a smaller optimal stock size than otherwise, and, similarly, higher enforcement costs result in a lower optimal stock. The rationale is not difficult to follow. Assuming that some kind of quota system is in effect to ration access, enforcement activity would involve monitoring compliance with these quotas and assigning penalties on those found in violation. If the quotas were so large as to be consistent with free access equilibrium, enforcement costs would be zero because no enforcement would be necessary to ensure compliance. Moving away from free access equilibrium increases both net benefits and enforcement costs. For this model, as the steady-state population size is increased, marginal enforcement costs increase and marginal net benefits decrease. At the efficient population size, with enforcement costs, the net marginal benefit equals the marginal enforcement costs. This necessarily involves a smaller population size than the efficient population size ignoring enforcement costs, because the latter occurs when the marginal net benefit is zero (Tietenberg, 2003). 4. THE COMMON FISHERIES POLICY The conclusions of the model are used to discuss the design and the reform of Common Fisheries Policy control regulation. The main objective of the Common Fisheries Policy (CFP) is to provide sustainable exploitation of fish resources. In order to ensure the achievement of this objective, Community rules shall be applied, in an effective and uniform manner. The effectiveness of the Common Fisheries Policy depends on the compliance of the various operators concerned, with the CFP rules. Member States are responsible for 48


ensuring the correct application of the CFP rules on their territory and in the waters under their jurisdiction. They must also ensure that all vessels flying their flags comply with the rules. To ensure the equity and fairness of control and monitoring throughout the Community, Commission inspectors oversee the activities of the national enforcement services and report to the Commission. This Code of Conduct reflects the CFP philosophy of intervention. This philosophy has always insisted in the ethical framework of such a system of Regulation. In its early days, the Commission put the problem of control in terms of ethical reasons: “It’s the only way to assure that the sacrifices of some member states in the recovery of the stocks are not in vain because of the irresponsible action of others” (Comissão Europeia, 1976). Since 2003, Common Fisheries Policy (CFP) is developing a process of Reform. The Control and Monitoring Regime of common fisheries is one of the most important subjects where this reform takes place. Applying theoretical analysis to the guidelines of CFP reform, the following remark may be suggested:  Implementing Community policies in Member States is never easy, especially when myopic individual interests do not match with long term collective interests. This is the case in fisheries. Fishermen do not have greater propensity to altruism than the rest of the society; so, they are little inclined to refrain catches for the sake of a clear conscience, if they think their competitors are less scrupulous (European Comission/ DGF (2000)). Without a clear and effective policy of control and enforcement, the Commission is certain that the “Tragedy of the Commons” will result and that over-fishing and overcapacity will occur. 5. THE CFP AND THE IMPLEMENTATION OF PENALTIES According to Becker (1968), individuals rationally decide whether or not engage in criminal activities by comparing the expected returns to crime with the legitimate business. The analysis of the 49

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Commission proposals seems to give a special attention to the increase of the probability of detection as a means to deter criminal behaviour and increase compliance with regulation. Introduction of severe penalties is not in the first line of measures to control illegal fishing. Of course they are considered and an important effort to clear define the legal procedures to penalise the violators, is made. But they are not in the centre of the policy. The reasons stand, perhaps, in this: The Commission believes that the financial support will guarantee the indispensable means of surveillance and control to the Member States. This will increase the deterrence capacity of control in Member States, in uniform manner, and increase transparency and trust between partners. The Commission also knows that legal administration, in the Member States, have significant differences and that judicial machinery has a great inertia. The capacity and efficiency of Member States justice is not only a question of financial means devoted to his mission. It has also cultural and historical roots. It’s virtually impossible to put all the Member States in uniform position in terms of speed and severity of penalties application. 6. A CRIME AND PUNISHMENT MATHEMATICAL MODEL Law and ethics are very closely related. Law is the first pillar for a “rational” exploitation of commons’ resources and the support on the preservation of resources, as it is the case of fishing resources. Illegal fishing has been traditionally a big problem on this matter. Therefore it covers a wide range of behaviours. Any violation of national laws or international regulations, or any failure to comply with the recommendations of international bodies, especially those of Regional Fisheries Organisations, constitutes an infringement. The fundamental problem in fisheries management is to obviate the tendency towards overexploitation of the resources under common waters in the regime of open access. Regulation methods used to curb this tendency of overfishing and overcapacity includes gear restrictions, area and seasonal closures, TACs, ITQs, limiting entry and other forms of reducing fishing effort (Clark, 1980; Coelho & Lopes, 2000). 50


Public enforcement of law, that is to say, the use of public agents to detect and sanction violators of legal rules, is important for fighting illegal fishing (Polinsky & Shavell, 2000). A formal model of fisheries’ law enforcement is introduced to show how fishing firms behave and fisheries policies are affected by costly, imperfect enforcement of fisheries regulation (Sumaila, Alder & Keith, 2006; Sutinen & Anderson, 1985). This permits to give a very definite idea about the ethical problem created in such a situation. This model combines standard Gordon /Schaefer fisheries model (Clark & Munro, 1975) and the theory of crime and punishment of Becker, 1968. Let’s assume that, whatever means are applied to reduce catch rates, any catch level above the level of the permitted quota *

for a certain fishing, q , is illegal. If we suppose a system of individual non-transferable quotas, the amount of the individual firm catch above its quota ( qi  qi* ) is illegal. If detected and convicted, a penalty fee is imposed on the firm in an amount given by f ,

f  f (qi  qi *) , where f  0 , if qi  qi* ; and

f  0 , otherwise; being

f 2 f  0;  0 ;  qi > qi * . q q 2 An individual firm’s profit before penalty is given by i (qi,x) = pqi – ci(qi,x),

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where p denotes the price of fish, x is the size of fish stock and c (.) is the cost function. Let’s assume that firms are price takers. In an imperfect law enforcement regime not every violator is detected and convicted. Let the probability of detection and conviction be given by  , and, to simplify, let’ s assume that all firms face the same probability. If detected and convicted of a violation, a firm’s profit will be i(qi,x) - f ( qi  qi *) ; if not, i(qi,x). So, expected profits are

 i(qi,x) - f ( qi  qi *)  + (1- ) i(qi,x). Assuming that firms are risk neutral and maximising expected profits, each qi is determined by the first order condition (subscripts other than i denote partial derivatives)  q i (qi,x)   f q ( qi  qi *) . This solution has a clear economic meaning. For a given stock size ( x ), the firm sets its catch rate at a level in excess of its quota, where marginal profits equals the expected marginal penalty. If there were no penalty for fishing beyond legal quota, or if there were no probability of being detected and convicted ( f  0 or   0 ) the firm would set its catch at the open access catch rate. This approach reveals the importance of empirical studies trying to estimate the factors that ensure compliance with the regu52


lation (Sutinen & Gauvin, 1989). These studies give important basis for public authority decision about the actions to be implemented. Stigler (1970) argues that public authorities have four basic means to improve compliance:  minimising the chances that violations will go undetected,  maximising the probability that sanctions will follow the detection of violations,  speeding up the process from time to detection to assignment of sanction,  making the sanctions larger. There is a dispute among experts about the best alternatives. Some scholars have argued that the probability of being detected is more important than the size or magnitude of the sanction, while others argue that making the charging time follow as closely as possible to the detection of illegal behaviour is the most important factor in enhancing compliance. Others, also, put in evidence the level of expenditure oriented to monitoring activities (Tietenberg, 2003). An ethical vision is seen as a reflex of the model. That is, the authority practices of enforcement have an ethical reason. Governments can impose measures to create fairness and trust among the players and raise the compliance of fishermen because it is the only way to assure that the financial and economical sacrifices of some fishermen, who do not fish aiming the recovery of the stocks, are not in vain in consequence of the irresponsible action of others. 7. CONCLUDING REMARKS Ethics represents a set of principles and rules that are inherent to human behaviors. In this study, it is shown that law and penalties’ fees are a way to bring some commitment and conformity to the mode by which resources are exploited. The proposal of this model aims to show how ethics’ construct reflects the problem of human actions when exploiting common resources. The need of

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governmental measures on this field is patent to get mutual obligations in the fisheries. Common Fisheries Policy in EU shows how these principles are important in order to preserve the marine species. The European Union policies on this area reflect very important concerns about the tragedy of marine commons and intend, in a pragmatic way, to develop rules that oblige European countries fleets. Penalties were established for the violators taking in account, for instance in the establishing of the amounts, the maximization of their efficiency in imposing the acceptance of the rules by the fleets. REFERENCES 1. Alchian A. & Demsetz H. (1973), The Property Rights Paradigm, Journal of Economic History, 33, 16-27. 2. Becker G. (1968), Crime and Punishment: An Economic Approach, Journal of Political Economy, 86, 169-217. 3. Bjorndal T. & Conrad J. (1987), The dynamics of an open access fishery, Canadian Journal of Economics, 20(1). 4. Buchanan & Yoon (2000), Symmetric Tragedies: Commons and Anticommons, Journal of Law and Economics, 43(1), 1-13. 5. Clark C. W. (1974), «Possible effects of schooling on the dynamics of exploited fish populations», Journal du Conseil Internatinal pour L'Exploration de la Mer, 36(1). 6. Clark C. (1980), Towards a Predictive Model for the Economic Regulation of Commercial Fisheries, Canadian Journal of Fisheries and Aquatic Sciences, Vol.37, pp. 1111-1129. 7. Clark C. (1985), Bioeconomic Modelling and Fisheries Management, John Wiley & Sons. 8. Clark C. & Munro G. (1975), The Economics of Fishing and Modern Capital Theory: A Simplified Approach, Journal of Environmental Economics and Management, Vol. 2, pp. 92106. 9. Coelho M. & Lopes R. (2000), The Common Fisheries Policy and the Feasibility of ITQs, in Hatcher e Robinson (eds),

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10.

11. 12. 13.

14.

15. 16.

17.

18.

The Definition and Allocation of Use Rights in European Fisheries, CEMARE/university of Portsmouth. Coelho M., Filipe J. A. & Ferreira M. A. M. (2010), On Commons, Anti-commons and Tragedies. Livro de Homenagem ao Prof. Dr. Adelino Torres, in António Romão, Joaquim Ramos Silva and Manuel Ennes Ferreira (Org). Almedina, Colecção Económicas, 2ª Série, nº 14, pp 587-600. Lisboa. Demsetz H. (1967), Toward a Theory of Property Rights, American Economic Review, Vol. 57, pp. 347-359. DGPA (2007). Programa Operacional da Pesca 2007-2013, DGPA Filipe J. A. (2006), O Drama dos Recursos Comuns. Um caso de Aplicação da Teoria dos Jogos aos Comuns da Pesca. Estudo da Cooperação aplicada à pesca da sardinha nas Divisões VIIIc e IXa do ICES. Unpublished doctoral dissertation, ISCTE. Lisboa. Filipe J. (2007), The Drama of Fishing Commons: CournotNash Model and Cooperation. Working Paper ISEG/DE. http://www.iseg.utl.pt/departamentos/economia/wp/wp0302 007de.pdf. Filipe J. A., Coelho M. & Ferreira, M.A.M. (2005), Sistemas Dinâmicos, Caos e os Comuns da Pesca. Revista de Economia Global e Gestão. N.º 2/2005. ISCTE. Lisboa. Filipe J. A., Coelho M. & Ferreira M.A.M. (2006a), A Tragédia dos Anti-Comuns: um novo problema na gestão da pesca? ISEG. UTL. Seminário do Departamento de Economia (Nº15/2005/2006). Working paper. Filipe J. A., Coelho M. & Ferreira M.A.M. (2006b), The Drama of the Commons: an application of Cournot-Nash Model to the sardine in Portuguese Waters. In Thirteen Annual International Conference on Advances in Management (ICAM 2006). Lisboa. Filipe J. A., Coelho M. & Ferreira M.A.M. (2007), O Drama dos Recursos Comuns. À Procura de Soluções para os Ecossistemas em Perigo. Lisboa. Portugal. Sílabo.

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19. Filipe J., Ferreira M., Coelho M. & Pedro M. (2008), AntiCommons: How tragedies happen. Some cases and the evidences on Fisheries, China - USA Business Review, Volume 7, Number 11, pp. 9-13. 20. Filipe J., Ferreira M., Coelho M. & Pedro M. (2009), Complexity, Theory of Chaos and Fishing, in Update International Special Edition, Wirtschaft FH Mainz, University of Applied Sciences, pp. 28-33. 21. Filipe J. A., Ferreira M. A. M. & Coelho M. (2011), Utilization of Resources: An ethical issue. The anti-commons and the aquaculture case, in Costa, G. J. M. (Ed.), Ethical Issues and Social Dilemmas in Knowledge Management: Organizational Innovation (pp. 63-78), Hershey, USA: IGI Global. 22. Hardin (1968), The Tragedy of the Commons, Science, 162, 124-148. 23. Maynard Smith, J. (1968), «Mathematical Ideas in Biology», Cambridge University Press, Cambridge. 24. Neher P. (1990), «Natural Resource Economics: Conservation and Exploitation», Cambridge University Press. 25. Polinsky A. & Shavell S. (2000), The Economic Theory of Public Enforcement of Law, Journal of Economic Literature, Vol. 38, pp. 45-76. 26. Scones I. (1999), «New ecology and the social sciences: what prospects for a fruitful engagement? », Annual Review of Anthropology, 28. 27. Scott A. (1979), Development of Economic Theory on Fisheries Regulation, Journal of the Fisheries Research Board of Canada, Vol. 36, pp. 725-741. 28. Stigler G. (1970), The Optimum Enforcement of Laws, Journal of Political Economy, 78, 526-536. 29. Sumaila U., Alder J. & Keith H. (2006), Global Scope and Economics of Illegal Fishing, Marine Policy, Vol 30, pp. 696-703. 30. Sutinen, J. & Andersen, P., The Economics of Fisheries Law Enforcement, Land Economics, Vol. 61 (1985)), pp. 387-397. 56


31. Sutinen J. & Gauvin J. (1989), An Econometric Study of Regulatory Enforcement and Compliance in the Commercial Inshore Lobster Fishery of Massachusetts”, in Neher (ed), Rights Based Fishing, Kluwer Academic Publishers. 32. Tietenberg T. (2003), Environmental and Natural Resource Economics, sixth edition, Addison Wesley.

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SEDIMENT DISTRIBUTION IN THE ESTUARY OF SENDANG BIRU COAST, MALANG REGENT-INDONESİA Ussy Andawayanti Department of Water Resources, Faculty of Engineering, Brawijaya University (INDONESIA) [email protected]

ABSTRACT This paper studied sediment transport, the rate of sedimentation and sediment distribution patterns in the estuary of the river. This study consisted of analyzing sediment speed, carrying out the pattern of sediment transport, analyzing sediment distribution in river and coastal and then carrying out the direction and pattern of sediment distribution Sediment speed and transport would cause the estuary become shallow and narrow. Sediment transport in river was influenced by river stream but in coastal was influenced by tidal. Result was shown that sediment rate in estuary was: Qsout = 66042.94 m3/year, Qnorth = 73790.85 m3/year, Qsungai=15369.73 m3/year. The sediment was come from river and coast. The sediment transport was 23117.64 m3/year, its direction was to the left of coastal normal line. Therefore the most distribution of sediment was to the coast which was located in the north of estuary. Result of this study was intended to give any alternative solution for this condition. Key words: sediment speed, estuary river sediment, coastal sediment, pattern of sediment distribution 1. INTRODUCTION The impact of river variable flows on fluvial geomorphologic processes has only received the adequate attention in dry land environment [1]. However many variable river do not fit into the cate58


gory of dry land rivers as defined by geo-morphologists even though they may experience similar hydrology in term of variability. The quantitative understanding of hydrodynamic and sediment transport on intertidal mudflats are necessary for the environmental protection and management of bays and estuaries. [2]. The hydrodynamics and sediment transport on the mudflats are influences by processes with a range of times scales due to freshwater discharge, wind waves, tides and their interactions. Various flow regulation structures constructed on the rivers have an adverse impact on the sediment carried by the respective rivers if no measurement is taken [3]. If the rivers discharging to the sea are controlled by flow regulation structures, deltas are under the risk of significant adverse impact. There is any problem is often occurred in the estuary of little river such as narrowing caused by sediment process. If the process was continued, the estuary would be closed by sediment. In this condition, it would get hold of discharge and would increase water level in the upstream. Tidal effect to water circulation (velocity or discharge, profile of water level, intrusion of sea water) in estuary could be so far to the upstream of river, it was depend on the height of tidal, discharge of river and the characteristic of estuary [4]. Sedimentation occurs naturally from erosion of soil in the catchment area, with the degree of severity depending on the topography, soil type, vegetation cover and intensity of rainfall. Importantly, the presence of human activities such as agriculture, livestock rearing, burning and deforestation within the catchment affects the rate of sedimentation. The rate sedimentation can be reduced, at some cost, by changing catchment management [5]. From an economics perspective reservoir were asserts that provided services across a period of time. Since sedimentation reduces the available storage volume, it reduces the flow of benefits that can be derived from services provided by the reservoir over time and ultimately shortens its economics life. The quantitative understanding of hydrodynamic and sediment transport on intertidal mudflats are necessary for the environmental protection and management of bays and estuaries. [6]. The hydrodynamics and sediment transport on the mudflats are influences by 59

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processes with a range of times scales due to freshwater discharge, wind waves, tides and their interactions. Intensive utilization of estuaries could lead to siltation due to sedimentation processes so that the estuary would be closed by sediment that could impede the flow of river and raise the water level at upstream of estuary. Then it could be happened shoreline change. Thus the necessary research on sediment distribution patterns in the estuary of river was to determine the effect of sediment distribution in stability of coast line. This study intended to determine the rate of sedimentation and sediment distribution patterns in the estuary of river. Therefore, the other aim of this study was to provide input for analyzing the shoreline changes. Research of flow and transport phenomena in the vicinity of estuarine and coastal waters was important to be carried out especially in the estuary which was involving river flow and tidal. Therefore, for knowing the distribution pattern of sediment in estuary, it was required an analysis of sediment transport in rivers that were influenced by the river flow and sediment transport on the coast which was influenced by waves tides. This study would fulfill the effect of sediment transport in the estuary of Bang River. The estuary of Bang River was the top downstream of Bang catchment that directly connected with Sendang Biru Coast. 2. LOCATION OF STUDY Location of this study was on Bang River, Sumbermanjing Wetan District, Malang Regent. The length of Bang River was 9.4 km and the catchment area was ± 2.341,706 ha. Bang River Catchment Area was as Figure 1. The estuary of Bang river was located at Sendang Biru coast. Erossion rate at this catchment during 1997-2000 was 494.614 ton/ha/year [7]. The dominant factor that influenced sedimentation in estuary was come from coastal sediment. Sedimentation in estuary affected to shoreline change and would impact the estuary narrower [8].

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Fig. 1. Bang River Catchment 3. RESEARCH METHOD FOR SEDIMENT TRANSPORT IN ESTUARY Some datas were needed for this study such as map of bathimetry, islands map of location study, direction and velocity of wind, characteristic of sediment and river, tidal of sea, some datas of soil mechanic. The steps of analyses were as below: 1. To analyze fetch area, using map of location study. Result was used to calculate wave generation. 2. To analyze wave generation. Result was used to determine the length and period of wave according to the correction factor of windy stress. 3. To analyze wind rose that gave interpretation the frequency of wave, according to the direction group and the classification for the length of wave. 4. To analyze design wave. Result was used to determine the length of wave with return period. Analyses used the method of Log 61

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Pearson III that was controlled with Chi Square and Smirnov Kolmogorof Test. 5. To analyze the deformation of wave and the broken wave. 6. To analyze sediment transport in the river, using the methods of Engelund and Hansen. Result to detect sediment distribution to coast. Thus the budget sediment of coast was detected. 7. According to budget sediment, it could be analyzed the estuary problem, so that could determine the available alternative of handle the estuary. 4. RESEARCH METHOD FOR THE DIRECTION AND PATTERN OF SEDIMENT SISTRIBUTION IN THE ESTUARY Some datas were needed for this study such as map of bathimetry, islands map of location study, direction and velocity of wind, characteristic of sediment and river, tidal of sea, some datas of soil mechanic. The steps of analyses were as below: 1. To generate wave for determining the height and period of wave. It was analyzed and based on the crated wind of tension factor. Wind velocity was got from shore recorder at the certain height above sea level. Therefore the data had to be corrected as follow: [9] a. Elevation correction 1

 10  7 U 10  U z   , for z < 20m  z  : U10 = wind velocity at 10 m above the ground (m/s). Uz = wind velocity at elevation of Z from the ground (m/s). z = measurement elevation (m).

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b. Stability correction

U  RT  U10 U = corrected wind velocity (m/s). RT = correction, impact of the temperature difference between air and water c. Location correction Data was generally got from the ground but analysis was carried out at the sea, so there was needed transformation from ground to sea. d. Duration correction

t

1609 Uf

U f  U 10 L .RT .R L T = time needed through 1 mil of distance (s) Uf = wind velocity (m/s). (U10)L = wind velocity at the height of 10 m above the ground (m/s). - 1 s < t < 3600 s -

Ut 45    1,277  0,296 tanh 0,9 log10  U 3600 t   - 3600 s < t < 360.000 s -

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Ut  0,15 log10 t  1,5334 U 3600 Ut U t  3600  U  t   U  3600  

Ut = wind velocity through 1 mil of distance (m/s). U3600 = wind velocity within 1 hour (m/s). Ut=3600 = average wind velocity with 1 hour (m/s) e. Factor of wind tension

U A  0,71 U 1,23 UA = factor of wind tension (m/s). 2. To analyze rose wave based on group of direction and classification of wave height (percentage of wave) 3. To analyze yearly significance wave statistically:

g  Hs  2,433 101 2 UA g  Ts  8,134 UA

g t  7,15  104 UA HS = significant height of wave (m) TS = significant period of wave (s) t = duration of blowing wind (s) F = effective height of fetch (m) g = gravitation (m/s2) UA = factor of wind tension (m/s) 64


4. To analyze desogn wave for determining height of wave with certain return period. Log Pearson iIII method was used to analyze this part then carried out testing of goodness of fit by checking with Smirnov Kolomogorof Test and Chi Square. To analyze refraction of wave and broken wave a. Broken wave in the deep sea

Ho 1   0,142 Lo 7 Velocity and height of wave was formulated as follow:

g T Co  2

g T 2 Lo  2

b. Broken wave in shallow sea

Hb 1  H ' o 3,3H o ' / Lo  13

db  1,28 Hb c. Analysis of refraction was formulated as follow:

Lo Bo L B    x Sin o Sin Cos o Cos Kr 

Bo Cos o  B Cos

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Note L Lo Co T α Kr Ks Ho H

= height of wave (m). = height of wave in deep sea (m). = velocity of wave in deep sea (m/s). = period of wave (dt). = angle between depth line and peak of wave = coefficient of refraction = coefficient of shoaling = height of deep sea wave (m) = height of wave (m).

5. Formulation of transport sediment:

Q

K P  s   .g.a' l

: Q = transport discharge parallel to the coast (m3/year). K = constant (K = 0.39 if use Hs and K = 0,77 if use Hrms.) 6. To analyze sediment balance. 7. To analyze stability of estuary. 8. To analyze distribution pattern of sediment based on sea level fluctuation and the area number of river. 5. ANALYSIS OF SEDIMENT TRANSPORT IN ESTUARY Wind Rose from 2005 to 2009 as Figure 2, Testing of Goodness of Fit: Log Pearson III as Figure 3, Presentation of Wind Rose from 2005-2009 as Figure 4, and Sketch of sediment Budget as Figure 5.

66


Fig. 2. Wind Rose, 2005-2009

Fig. 3. Testing of Goodness of Fit: Log Pearson III

Fig. 4. Presentation of Wind Rose, 2005-2009

Fig. 5. Sketch of Sediment Budget

After carrying out the whole analyses, sediment transport was 427,005.72 m3/year, the direction was to the right side of coastal normal line. The problem of closing estuary was occurred at dry season, the comparison between rainy season and dry season was 40 : 60. The sediment transport that influenced in this location and structures surround it, was 256,203.43 m3/year or about 701.93 m3/day. 67

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6. THE DIRECTION AND PATTERN OF SEDIMENT DISTRIBUTION IN THE ESTUARY 6.1. Analysis of wave distribution Wind rose was drawn after analyzing the percentage of significant height of wave. In the wind rose, there was shown that the most dominant wind direction was from east with percentage of 38.969% and eastern-west with percentage of 29,579%. Range of dominant velocity: for velocity range of 50%) Low Growth ( 0,75 0,25-0,75 < 0,25

FPR (l/s/ha.pol) > 0,12 0,06-0,12 < 0,06

Water distribution K Factor continuous In turn at tertiary channel In turn at secondary channel

FPR available enough less

Span well was one of irrigation technology which was suitable to develop at sandy land. This kind of land had high ability to loosen water so that did not save water for a long time. The principal of span well was to reserve water for irrigation in a cylinder made wells which was interconnected through capillary pipe. The advantages of span well were [6]: 1) efficient, because irrigation was supplying at the reservoir pool; 2) risk of water losses during distribution could be minimized because irrigation supplying water at the root zone of the crop. 4. DESIGN ANALYSIS OF SPAN WELL One of some methods to flow water of span well was using pipe. The pipes were connected from one well to another one. Formulas using at hydraulic design were as follow: [14] 1. Formula of losses water pressure in pipe: ℎ = .

.

2

With 109

(2)

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hf= losses of pressure head in pipe (m) h = friction coefficient of Darcy equation, it was based on: - Roughness of pipe: the more roughness caused higher f - Water temperature: the higher temperature caused smaller f L = length of pipe (m) D= diameter of pipe (m) V= velocity of water in pipe (m/s) g = gravity (m/s2) 2. Volume of well was formulated as: = . .

.ℎ

(3)

With V = volume of well (m3) Π = or 3.14 D = diameter of well (m) H = depth of well (m) 3. Discharge in pipe was formulated as: =

(4)

With Q = discharge in pipe (m3/s) A = number area of pipe (m2) V = water velocity in pipe (m/s) 4. Time of well filling was formulated as: =

(5)

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With: Q = discharge in pipe (m3/s) V = volume of well (m3) T = time of filling (s) 5. RESULTS OF WATER SUPPLY SYSTEM Based on survey and data at the office of Technical Working Unit at Renggong II watershed from 2003 to 2008, The analysis of LPR-FPR due to dependable discharge of modus and flow characteristic was described as Table 5 and 6 below.. Table 5. Value of LPR-FPR with modus dependable discharge No

Item

Unit ha ha

Cropping season I 2284 0

Cropping season II 34.75 2243.25

Cropping season III 0 184

1.

Area number of rice Area number of second crop

2.

The average of water need for cultivating The average of water need for maintaining crop

l/s/ha

1.96

0.00

0.00

l/s/ha

0.81

0.18

0.18

3.

80% of dependable discharge

l/s

161

92

86

4.

LPR of cultivating LPR of maintaining

ha.pol ha.pol

11.18 4.65

0.00 1.00

1.00

FPR

l/s/ha.pol

0.02

0.04

0.,47

5.

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Table 6. Value of LPR-FPR with flow characteristic dependable discharge No.

Item

Unit

Cropping season I

Cropping season II

Cropping season III

1.

Area number of rice Area number of second crop

ha ha

2284 0

34.75 2243.25

0 184

2.

The average of water need for cultivating The average of water need for maintaining crop

l/s/ha

1.96

0.00

0.00

l/s/ha

0.81

0.18

0.18

1098 631 269 0

810 52 19 0

583 0 50 0

11.18 4.65

0.00 1.00

1.00

0.10 0.06 0.03 0.00

0.36 0.02 0.01 0.00

3.17 0.00 0.27 0.00

3.

4. 5.

6.

Maximum discharge (Q) 50% of dependable discharge 80% of dependable discharge Minimum of discharge LPR of cultivating LPR of maintaining FPR with maximum Q FPR with 50% of Q FPR with 80% of Q FPR with minimum Q FPR with maximum Q FPR with 50% of Q FPR with 80% of Q FPR with minimum Q

l/s

ha.pol ha.pol l/s/ha.pol

l/s/ha.pol

0.10 0.06 0.03 0.00

Value of relative second crop factor and criteria of second crop area at Tibunangka irrigation area was described at Table 7 and 8 This information had been analyzed at location of study. 112


Table 7. Value of relative second crop factor (FPR) at Tibunangka irrigation area Rule Water distribution Cropping season I Cropping season II Cropping season III In turn

Less water < 0.06

0.03 Yes

FPR (l/s/ha) Enough water Available water 0.06 - 0.10 > 0.10 0.08 0.06 possible

No

Table 8. Criteria of second crop area at Tibunangka irrigation area Type of crop Second crop Rainy rice a.for seeding, cultivating area and crop b.for rice, cultivating area c.for old rice Rice of allowance “gadu” Rice of not allowance “gadu” Sugar reed a.seed b.young c.old Tobacco or rosella

Water need (x second crop) 1 5 11 4 The same as rainy rice 1 1,5 1,5 0 1

Arrangement of cropping with blocking system and water irrigation distribution at Tibunangka irrigation area followed by the rules:1) the irrigation area was divided to 3 blocks A, B, and C, 2) each block had approximate the area number, 3) the blocks was divided due to unit of structure system, water resources and administrative territory. Upstream Tibunangka was named as block A and had area number of 675 ha, it was divided to A1 = 179 ha, A2 = 343 ha, and A3 = 153 ha. Center Tribunangka was named as 113

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block B and had area number of 549 ha, it was divided to B1 = 286 ha and B2 = 263 ha. Downstream Tibunangka was named as block C and had area number of 2284 ha, it was divided to C1 = 401 ha and C2 = 659 ha. The evaluation of cropping area number which compared between plan and realization was as Table 9 Table 9. Evaluation of cropping area at the year 2003 - 2008 Precentage of area number (%)

Total (%)

Type of crop Cropping season I plan real Rice

Cropping season II Plan real

Cropping season III Plan real

plan

real

100

92

0

4

0

0

100

96

Second crop

0

0

0

39

0

0

108

41

Others

0

0

0

39

0

0

0

39

100

92

100

78

8

5

208

175

Crop intensity

6. RESULTS OF DESGN ANALYSIS OF SPAN WELL Based on daily discharge at Tibunangka intake weir in the year of 1999-2008, it was got 3 value of potential discharge for filling span well. The potential discharge was 1,549 l/2, 1,818 l/s, and 2,300 l/s, which each probability was 33%, 65%, and 2%.Dimension of pipe for taking water from secondary channel was 2” for the discharge of 2.5 - 3 l/s. Time of filling for 150 span wells by assumption constant discharge of 6 hours/day was 4.7 days (no more than in turn schedule of 5 days/month). Second scenario was to combine some span wells related serially to some wells which were directly taking water from tertiary channel. Time of taking for second scenario was described as Table 18below.

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Table 8. Scenario pf Combine some span wells related to some wells No. I

II

III

IV

V

VI

VII

Number of

Time

Time

operation pattern

(second)

(second)

Operation pattern I

15

10048,00

2,79

Operation pattern II Tibunangka Channel

9

18523,06

5,15

Operation pattern I

8

5358,93

1,49

Operation pattern II Lengko Lauq channel

2

4202,74

1,17

Operation pattern I

20

13397,33

3,72

Operation pattern II Montong Lisung channel

11

18518,88

5,14

Secondary Channel Ganti Channel

Operation pattern I

3

2009,60

0,56

Operation pattern II Batu Belah channel

1

1792,35

0,50

Operation pattern I

1

669,87

0,19

Operation pattern II Legu channel

1

1706,40

0,47

Operation pattern I

10

6698,67

1,86

Operation pattern II Range channel

5

11799,74

3,28

Operatiin pattern I

5

3349,33

0,93

Operatiin pattern II

0

0,00

0,00

Total

98074,91

27,24

The priority of using water of span well at dry season was for tobacco, Operation pattern was classified into two scenarios. The scenarios were 1) all of span wells were taken water from secondary 115

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channel; and 2) part of span wells were taken water from secondary channel and the other part was interconnected by serial pipes between the span wells. Based on the 2 scenario as above, ot was recommended to use the second one because ot was needed shorter time for operation and it had ability to reach the difficult topography of irrigation area. The principle of span well was used at dry season. In this location, the span well was mainly focused for supplying tobacco and the intensity was 223,41% now. It was meant that the intensity was increased 48.22%. 7. CONCLUSIONS The pattern of water irrigation distribution at Tibunangka irrigation area was in turn with divided the area into 3 blocks; A (upstream Tibunangka) with area number of 675 ha and 3 subblocks, B (center Tibunangka) with area number of 549 ha and 2 sub-blocks, and C (downstream Tibunangka) with area number of 1060 ha and 2 sub-blocks. Cropping intensity had increased from 175% to 219% (= 44%) Based on analysis as above, discharge in intake of Tibunangka irrigation area was 1,549 l/s at probability of 33%, 1,818 l/s at probability of 65%, and 2,300 l/s at probability of 2%. Water requirement for irrigation by using span wells was 1,486.59 l/s. Design of span wells at Tibunangka irrigation area was classified into 2 scenarios such as 1) all of span wells were taken water from secondary channel, in this scenario time needed for filling 130 span wells was 4.7 days or less than time in turn schedule: 5 days; and 2) part of span wells were taken water from secondary channel and the other part was interconnected by serial pipes between the span wells, ot was needed 3.5 days for filling span wells. REFERENCES 1. Gupta I. and Zaag P.V.D., Interbasin Water Transfers and Integrated Water Resources Management: Where Engine-

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ering, Science and Politics Interlock, Journal of Physics and Chemistry of the Earth, 2007, 33, pp. 28-40 2. Gupta N; Pilesjo P; and Maathuis D. Use of Geoinformatics for Inter-Basin Water Transfer Assessment, Journal of Water Resources: Water Resources and The Regime of Water Bodies, 2010, Vol 37, No 3, pp. 623-637 3. Danilow-Danil’yan, V.I. and Losev, K.S., Potreblenie vody, Ekologicheskil, ekonomicheskli, sosial’nyi I politicheskli aspekty (Water Users: Ecological, Economical, Social, and Political Aspects), Moscow: Nauka, 2006. 4. Kopnova E.D. and Rozental O.M., Efficiency Analysis of Investments to the Restoration of Water Resources in an Industrial Region, Journal of Water Resources: Water Resources Development: Economics and Legal Aspects, 2010, Vol 37, No 5, pp. 727-732 5. Bhalla R.S.; Pelkey N.W.; and Prasad K.V.D., Application of GIS for Evaluation and Design of Watershed Guidelines, Journal of Water Resource Manage, 2011, 25: 113-140 6. Kerr J.; Milne G; Ghhotray V.; Bauman P., James A, Managing Watershed Externalities in India: theory and practice. Environ Dev Sustain 9(3): 263-281, doi: 19.1007/s 10668005-9022-3 7. T. Anna; Straton; Jackson, Sur; Marinoni, Oswald; Proctor, Wendy; and Woodward, Emma, Exploting and Evaluating Scenarios for River Catchment in Northern Australia Using Scenario Development, Multi-criteria Analysis and a Deliberative Process as a Tool for Water Planning, Journal of Water Resource Manage, 2011 (25): 141-164 8. Vangelis, Harris; Spiliotis, Mike; and Tsakiris, George, Drought Severity Assessment Based on Bivariate Probability Analysis, Journal of Water Resource Management, 2011 (25): 357-371 9. Tsakiris G., Uni-dimensuonal Analysis of Drought for management Decisions, Eur Water, 2008 10. Predan, Dcepa; Ansev, Tihomir; Dryuan, Ross; and Harris, Michael, Management of Water Reservoirs

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(Embungs) in West Timoe, Indonesia, Journal of Water Resource Manage, 2011 (25): 339-356 11. Lassa, J. 2007. Politik Ketahanan Pangan Indonesia 19502005, 2005, Jakarta. 12. Anonymous. 2007, Lombok Tengah Dalam Angka. Badan Pusat Statistik Praya. 13. Anonymous. 1986. Standar Perencanan Irigasi. Direktorat Jenderal Pengairan Departemen Pekerjaan Umum. Jakarta

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ENGINEERING PROPERTIES OF POLYMER MODIFIED MORTAR Mahyuddin Ramli, Amin Akhavan Tabassi University Science Malaysia (MALAYSIA) E-mails: [email protected], [email protected]

ABSTRACT There are many factors influencing the engineering properties of polymer-modified cement mortar and concrete. This chapter, based on a laboratory program, compared the engineering properties, over various aging, of three commercial polymer-modified mortars (SBR, PAE and VAE) and unmodified conventional mortar mixes exposed to different curing conditions. The results show that the SBR mixes appeared to possess better engineering properties than the PAE and the VAE mixes; furthermore, a well-designed polymermodified mortar mix can retain its engineering properties over a long period of time. Key words: Polymer-modified mortar; curing conditions; compressive strength; flexural strength. 1. INTRODUCTION Throughout the period of 1920s to 1930s, polymer-modified cement systems using natural rubber latexes were developed. This was subsequently followed by the development of synthetic rubber latexes in the 1940s in response to the wartime decline in the availability of natural rubber and the increased demand of the war effort [1]. Since then, there has been a continuing research and development on the polymer-modified mortar (PMM) and concrete to enhance our understanding of the underlying mechanisms of the polymer modification process, and the resulting improvements in the various properties of the unmodified Portland cement mortar and concrete 119

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[2, 3]. Lefebure’s patent [4] has become important for a historical point of view, when the present concept of polymer- hydraulic cement systems is considered. Incorporation of synthetic polymers in Portland cement mortars and concrete, such as polyvinyl acetate (PVAC) and polyacrylic ester (PAE) started in the 1950s [5]. Since then, a greater interest on the use of synthetic polymer latexes instead of the natural rubber latexes in polymer-modified cement systems began to take place. Synthetic polymer latexes, such as styrene-butadiene rubber (SBR) latex in the Portland cement system, has gained acceptance in many applications [6]. As a result, various types of synthetic polymer latexes have been widely employed in construction industries. In the 1980s, polymer-modified mortar and concrete became a widely-used construction material all over the world. In the United States, for example, polymer-modified concrete using styrenebutadiene latex is the most widely used polymer material for bridge deck overlays and patching works. It is mostly because of normal air-entrained concrete is relatively porous, moisture, oxygen and chlorides from de-icing salts can migrate through the surface and reach the reinforcing steel, causing corrosion and subsequent spalling. Polymer-modified mortar and concrete seal the pores and micro cracks developed during hardening of the cement matrix, by dispersing a polymer phase throughout the concrete. Apart from improving chemical resistance, polymer modification improves workability at low water-cement ratios. This reduction in water also contributes to improved strength and durability characteristics [7]. Ohama [8] suggests that some 60,000 cu.m. of polymermodified concrete are placed each year on both new and existing deteriorated in concrete structures. In Japan, on the other hand, polymer-modified mortar is the most widely used material system, mainly for repair and finishing operations [9]. Other known uses of polymer-modified mortars and concrete are parking garages, industrial floors, precast concrete members, and many more. Various efforts have been exerted around the world to disseminate information and discuss the issues pertaining to the new development of polymer materials, particularly in engineering applications. However, little attention has been given to the engineering 120


properties of polymer modified mortars, particularly on compressive and flexural strengths. Accordingly, based on a literature survey and laboratory program, this chapter explored the factors influencing the engineering properties of the PMMs, and compared the engineering properties, over various aging, of three commercial polymer-modified mortars (SBR, PAE and VAE) and unmodified conventional mortar mixes exposed to different curing conditions. 2. FACTORS INFLUENCING THE ENGINEERING PROPERTIES OF PMM There are many factors influencing the engineering properties of polymer-modified cement mortar and concrete. The mix proportions and the properties of the materials used, such as type of polymer materials, type of cement, admixtures and aggregates, are some of the main factors, which have shown a significant influence on the engineering performance of polymer-modified cement mortar and concrete [6, 10, 11]. Despite the fact that polymer-modified cement concrete (PMC) has been widely used as a material for major road constructions, either as road surfacing material or as repair material for bridges [12], the extensive use of this promising material may be hampered due to lack of published data on their durability performance. As a result, not many people are prepared to use this material in other construction works such as pavements and off-shore structures, although in many of these cases, normal reinforced concrete pose durability problems [13,14]. Polymer-modified cement mortar (PMM) may have a greater potential in construction, particularly in aggressive environments. Deterioration of concrete roads and bridges pursuant to atmospheric corrosion, and de-icing salt spray in winter has incurred a large amount of maintenance cost. This could possibly be avoided using more durable construction materials, such as PMM. In engineering practice, the strength of cement mortar is commonly considered to be the most valuable property, although, in many practical cases, other characteristics, such as durability and permeability, may in fact be more important. The problems of low tensile strength, and flexural strength properties, high drying shrinkage, high permeability and water absorption, are 121

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some of the typical disadvantages of ordinary cement mortar. This research emphasizes the factors influencing the engineering properties of PMM such as the mix proportions, types of polymer latexes and curing conditions. 2.1. Mix Proportions The specific mix proportions selected for any particular application depend on the specific needs and type of polymer used. For higher resistance to chloride intrusion, a dense, well compacted concrete is required. Proper mix proportioning requires the proper balance of several factors: aggregate size and gradation, aggregate void volume, excess paste, and needed workability. The main objective is to achieve a strong, dense mix with an optimum amount of cement and latex that will provide the desired workability. In general, polymer-cement ratio, water-cement ratio, binder-void ratio, air content, etc., are the control factors for a mix proportions. Water-cement ratios for a workable latex-modified mix are typically 0.30 to 0.40 and 0.25 to 0.35 for those containing epoxies. These low water requirements result from an apparent lubricating quality contributed by the polymer which achieves workability without excess water. Polymer levels of between 10 to 20 percent are generally required for optimum performance, where the percentage is based on the weight of polymer solids to weight of Portland cement. Lower percentages will not only significantly detract from the contribution of the polymer itself, but also minimize the water-reducing effects of the latex, and thus require more water in the mix for equivalent workability. The use of excess latex solids is not economical, and can cause excessive air entrainment. Hence, it is important to achieve a reasonable balance between the two extreme percentages, and an optimum level of polymer content is always sought after in order to produce a polymer-modified cement mortar and concrete of high durability characteristics. Hence, the selection of suitable mix proportion is essential in producing high durability performance of concrete and mortar. It seems that very low water-cement ratios are normally required, and suitable type of admixtures must be employed in order to have a 122


significant influence on the strength and other properties of the mortar. The type of aggregate and its percentage composition do need some consideration due to its influence on dimensional stability. Therefore, a large number of laboratory trial mixes would be needed to arrive at suitable mix design proportions, which would also satisfy strength, dimensional stability as well as long term durability for a given environmental condition. 2.2. Types of Polymer Latexes Polymer latex has been used quite extensively in concrete construction, particularly in the bridge deck surfacing and in concrete repairs. There are many types of latex that have been used with hydraulic cements today such as: polyvinyl acetate, acrylic copolymers, styrene acrylic copolymers, styrene butadiene copolymers (SBR), epoxy resin latexes, etc. Each part of polymer latex imparts different properties when used as an additive or modifier to hydraulic cement mixtures. Latex is defined as a dispersion of organic polymer particles in water, giving a milky fluid that is generally white to off-white in colour. Its consistency may also vary from very fluid to high viscous. It is unlike natural rubber latex, which is obtained from trees known as hevea brasilienis and is also called as rubber tree. The latex is tapped from the tree, then concentrated in the form of natural latex or may be coagulated and dried to form rubber. A polymer is a substance composed of giant molecules formed from the reaction of simple organic molecules known as monomers. Monomers normally link either in a straight chain or a cross-linked structure pursuant to a chemical reaction process also known as polymerization. The polymer is classified as homopolymer if it is made by polymerization of one monomer, or a copolymer when two or more monomers are polymerized. Among the most common synthetic polymer available in the form of latexes, emulsions and redispersable powder are styrene-butadiene rubber (SBR), polychloroprene rubber (CR), polyvinyl acetate (PVA) latexes, polyacrylic ester (PAE), styrene-acrylic and ethylene vinyl acetate (EVA) emulsions, and vinyl acetate-ethylene (VAE) redispersable powder. Typical

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recipes for some of the latexes that commonly are used with Portland cement are given in Tables 1-3. Table 1. Polyvinyl Acetate Latex Latex composition vinyl acetate partially hydrolyzed polyvinyl alcohol sodium bicarbonate hydrogen peroxide, 35 % sodium formaldehyde sulfoxylate Water

Part by weight 100.0 6.0 0.3 0.7 0.5 80.0

Source: [15] Table 2. Acrylic Copolymer Latex Latex composition Ethyl acrylate A vinyl carboxylic acid Nonionic surfactant Anionic surfactant Sodium formaldehyde sulfoxylate Caustic soda Peroxide Water

Parts by weight 98.0 2.0 6.0 0.3 0.1 0.2 0.1 100.0

Source: [15] Table 3. Styrene-Butadiene Copolymer Latex Latex composition Styrene Butadiene A vinyl carboxylic acid Nonionic surfactant Anionic surfactant Ammonium persulfate Water

Source: [15] 124

Parts by weight 64.0 35.0 1.0 7.0 0.1 0.2 105.0


Mortars modified with polymer latex are another area of interest. It has been reported to have significant influence on the flexural properties. Polymer latex modified mortars are Portland cement mortars to which polymer latex emulsions are added during the process of mixing. The modified mortar has useful role in surface coatings, pavement toppings and in structural concrete repairs. 3. EXPERIMENTAL SET-UP 3.1. Polymer Materials Used in the Study Although polymers and monomers such as latexes and watersoluble polymers are used in cement composites such as mortar and concrete, it is essential that both cement hydration and polymer phase formation proceed well to form a monolithic matrix structure in which the hydrated cement paste and the polymer phase interpenetrate into each other. This also differentiates the superior quality of polymer-modified cement mortar and concrete over conventional mortar and concrete in many engineering applications. Among the polymers, which have been mentioned in section 2.2, SBR latex shows a simple application in construction industry [16]. Polyacrylic ester emulsion (PAE) has been reported to improve various engineering properties of mortars and concrete [6]. Vinyl acetate-ethylene (VAE) copolymer re-dispersible powders are commercially used as admixtures in hydraulic cement formulations [17]. Accordingly, in the tests reported here, three types of latexes were used. Styrenebutadiene rubber latex (SBR), with the trade name of Resibond SBR, a polyacrylic ester emulsion (PAE), known as Mowilith VDM 758, and a vinyl acetate/ethylene copolymer (VAE) was used together with the ordinary Portland cement mortar. Resibond SBR is a water-based emulsion of a styrene acrylic copolymer, containing 45% by weight of polymer solids. Mowilith VDM 758 is also a waterbased dispersion of a copolymer based on acrylic esters, containing 60% by weight of polymer solids. However, the vinyl acetate/ethylene (VAE), known as Vinnapas RE 545 Z, is a copolymer powder which re-disperses readily in water. Vinnapas RE 545 Z is

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white powder resin having relatively high ethylene content with glass transition temperature below the freezing point. 3.2. Super-plasticizer Super-plasticizers (SP) are admixtures that reduce water and are also known to improve the workability properties of concrete and mortars. The two most common types of super-plasticizer are sulfonated melamine-formaldehyde condensates; and sulfonated naphthalene-formaldehyde condensates. The latter of the two, sulfonated naphthalene-formaldehyde condensate known as Cormix SP6, was used in this experimental investigation. 3.3. Mixes The mortar mix proportions used in this study were cement: sand: 1:3, all by weight with a water-cement (w/c) ratio of 0.40 for the initial mixes. Irrespective of the final w/c ratio used, all the mixes were designed for a slump of 100 - 150 mm. The SP was also used as and when necessary. Table 4 shows the details of different mix design for the study. Table 4. Details of mix design Type of Mix CON1 SBR1 SBR3 CON2 PAE VAE

OPC [kg/m3] 506 506 506 506 506 506

Polymer solids [%] 0 6.75 15.0 0 15.0 15.0

Superplasticiser [%] 0.65 0.3 0 9.0 0 0

Sand [kg/m3] 1518 1518 1518 1518 1518 1518

watercement ratio 0.400 0.400 0.273 0.273 0.281 0.320

Slump [mm] 130 145 150 140 150 150

3.4. Specimens The mortar prisms were cast in steel moulds at dimension of 100100500 mm, and compacted in three layers using an internal 126


vibrator. The Portland cement (PC) used in the tests was a typical ASTM Type I PC conforming to the British Standard BS 12:1991. Quartzite sand was used as a fine aggregate for all the mixes. It forms the major ingredient of the polymer-modified mortar mix. To ensure that the batches of fine aggregates used always comply with the grading zone, sieve analysis was carried out in accordance with the British Standard BS 882: 1983. The water used for the preparation of the mortar was ordinary tap water, complying with the British Standard B.S. 3148:1980. Once the finish was trowelled, the specimens were covered with polythene sheet to prevent rapid loss of water that may lead to surface cracking. Wet hessian was laid on the surface of the specimens and allowed to cure for 24 hours before demoulding. Finally, the tests were conducted on the prisms at the ages of 1, 3, 7, 28, 182, 364 and 546 days. 3.5. Curing Regimes To investigate the effect of different curing conditions on the behaviour of polymer-modified cement systems, mortar prisms were subjected to three curing regimes as follows: Curing I: Immediately after de-moulding, the specimens were submerged in water for six days (wet curing), followed by exposure to ambient air conditions (air curing) until the time of test; Curing II: The specimens were kept in the laboratory air conditions for seven days after de-moulding, followed by continuous exposure to water for the rest of curing period until the time of test; and Curing III: After de-moulding, the specimens were kept in a water tank for six days initially, they were then taken out to the ambient air conditions for seven days, and subsequently placed in water and air cyclically for seven days each until the time of test.

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4. RESULTS AND DISCUSSIONS A number of different geometries of test specimens were cast in this way to investigate the engineering and durability properties of the polymer-cement systems. Each set of test prisms comprised of control specimens [CON1, CON2] and polymer-modified specimens [SBR1, SBR3, PAE and VAE]. Accordingly, the mechanical properties of mortar prisms are presented through the followings. 4.1. Compressive Strength The results of compressive strength of all mix tested up to eighteen months are presented in Figures 1-3, for the three different curing regimes, respectively. The results show conclusively that an initial seven days water curing leads to better compressive strength development for all the mixes than initial seven days air curing. The two control unmodified mixes CON1 and CON2 were generally unaffected, at least so far as compressive strength was concerned, as to whether the initial curing was in water or air; it appears that so long as water curing was effected during the early stages of the concretes’ life, the strength was only slightly influenced by lack of early age water curing (although durability properties could be seriously affected by lack of such an early age curing). Obviously, these comments are only valid, so long as there is no rapid drying and loss of moisture from the concrete, which could, on the other hand, dramatically influence the rate of strength development and durability. The control mix CON2 required a SP content of 9% by weight of cement; SPs are known to cause set retardation [18], but amounts of the order of 9% are excessively high with inevitable consequences on early age strength development. The early age strength of CON2 mix was low, only about 8-10 MPa. Nevertheless, with ageing, this mix could be able to develop about 60% of the strength of the other control mix CON1, and comparable strength to the PAE and the VAE polymer mixes. With initial seven days air curing, the mixes CON2, PAE and VAE had a comparable compressive strength from 28 days onwards up to one and a half years, whereas with initial water curing, it took about a year before these mixes had a comparable compressive strength. The results indicate 128


that the conventional mixes containing a very high amount of SP behave, in effect, like PMM materials with a high polymer loading. Figures 1 and 2 also reveal that for all the PMM mixes, the initial seven days water curing was more beneficial in the long term than the initial seven days air curing. This perhaps implies that the cement hydration is more important than the polymer film formation, so far as strength development is concerned. Further, the SBR mixes registered higher strengths, of 30% to 40% compared to the PAE and VAE mixes. The SBR polymer loading appeared to have little influence on the compressive strength, and thus both SBR1 and SBR3 mixes with 6.75 % and 15 % polymer loading had almost similar strengths, particularly after 28 days, irrespective of the type of initial curing. Furthermore, the results of Figure 1 confirm that PMM materials have generally lower compressive strength compared to the unmodified mixes. The SBR mixes attained compressive strength of about 35 MPa at 28 days and 50 MPa at one year; about 80% of the strength of the unmodified mix. However, at one and a half years, the SBR mix with 15% polymer loading shows remarkable improvement in compressive strength of nearly 56 MPa which is comparable to the unmodified mix, CON1 of 60 MPa. The PAE and VAE mixes attained about 30 MPa at 28 days, 37 MPa at one year, and 41 MPa at one and a half years, about 65% of the control unmodified mix. Figure 3 gives the compressive strength results for all the mixes under cyclic wetting and drying conditions. Both the unmodified and modified mixes showed no adverse effect under this type of curing regime, and the compressive strengths at one and a half years were generally of the same order as those obtained from seven days water curing, followed by air curing. The only exception was the VAE mix, which appeared to benefit from such cyclic curing regimes, and could be able to achieve similar strength to that of the SBR mixes. In fact, the effect of cyclic wetting/drying was similar to that of the initial water curing regime, and the development of strength was marginally better in the former than in the latter. The results also reveal that in the long term, a higher rate of strength development may be achieved by polymer-modified mixes, as indi-

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cated by steeper slope of the curves for all the PMM specimens after 18 months of age, compared to that of the unmodified mixes. COMPRESSIVE STRENGTH, MPa

70 60 50 40 30 20 10

CON1

CON2

SBR1

SBR3

PAE

VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 1. Compressive strength development -curing 7 days in water + air COMPRESSIVE STRENGTH, MPa

70 60 50 40 30 20 10

CON1

CON2

SBR1

SBR3

PAE

VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 2. Compressive strength development-curing 7 days in air + water COMPRESSIVE STRENGTH, MPa

70 60 50 40 30 20 10

CON1

CON2

SBR1

SBR3

PAE

VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 3. Compressive strength development-cyclic curing 7 days each water and air 130


4.2. Flexural Strength The flexural strength results of all mixes, which were tested under the three different curing conditions, are shown in Figures 4-6. These data confirm some of the trends observed in the compressive strength development while contradicting some others. The results also confirm that, as in the case of compressive strength, initial water curing, rather than initial air curing, is far more beneficial for the PMM materials to enable them to develop their full flexural strength potential. Here, the polymer loading has the same significant effect, the higher the polymer loading, the higher the flexural strength by some 15% to 20%. Irrespective of the type of initial curing, wet or dry, the PMM materials show higher flexural strength compared to the control unmodified mortar mixes. The initial water curing, however, gives a higher margin of strength difference than the material is subjected to initial air curing. The initial air curing at early ages had an adverse effect on the flexural strength development as can be seen from Figure 5. Under cyclic wetting/drying conditions, there is a slower development of flexural strength, similar to the effect observed on the compressive and flexural strengths when the PMM composite is exposed to the continuous high humid environment after the initial air drying. Indeed, the effect of cyclic wetting/drying on the flexural strength is quite different to that on the compressive strength - under such the curing conditions, the PAE and the VAE mixes showed only marginal improvements in flexural strength compared to the control unmodified mixes, CON1 and CON2. The SBR mixes showed much higher flexural strength, and the mix SBR1 with a lower polymer loading retained a higher strength than the mix SBR3 with a higher polymer loading. In addition, Figure 6 implies that penetration of moisture into PMC materials somehow weakens the polymer films and that the strength development is then adversely affected, and this applies to both compressive and flexural strength. However, cyclic exposure to drying seems to restore the quality of the films to enable the PMM material to retain its compressive strength potential, but not its flexural strength potential. In practice, cyclic wetting and drying is more likely to occur in the life of a structure, and under such circumstances, the figure implies that the PMM mixes will only have 131

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marginally improved the flexural strengths compared to the unmodified mixes. Under such exposure conditions, a lower polymer loading gives better strength performance than a higher polymer loading. In cyclic wetting and drying conditions, a lower polymer loading ensures a high retention of compressive and flexural strength properties, at least for the SBR mix.

FLEXURAL STRENGTH, MPa

14 12 10 8 6 4 CON1 SBR3

2

CON2 PAE

SBR1 VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 4. Flexural strength of PMM - curing 7 days in water + air


12

10 8

6 4

2

CON1

CON2

SBR1

SBR3

PAE

VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 5. Flexural strength of PMM - curing 7 days in air + water

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12 10 8 6 4 2

CON1

CON2

SBR1

SBR3

PAE

VAE

0 0

50

100 150 200 250 300 350 400 450 500 550 600

AGE, days

Fig. 6. Flexural strength of PMM - cyclic curing 7 days each, in water and air 5. CONCLUSIONS AND RECOMMENDATIONS From the results of this investigation, the following conclusions can be drawn. (1) The compressive strength development of polymermodified cement mortars was greatly enhanced by initial water curing compared to initial air curing. Under these conditions, they generally attained lower compressive strength than the unmodified mixes. Cyclic wetting and drying showed no adverse effects on compressive strength development of PMM materials. In fact, VAE mixes benefited more by such exposure than the other PMM materials. (2) Initial water curing benefited the development of flexural strength of PMM materials than an initial air curing. Under these conditions, the SBR mixes attained the highest flexural strengths. (3) Polymer loading influenced the flexural strength more than the compressive strength, and is a factor to be reckoned with for flexural strength values. Unlike for compressive strength, prolonged exposure to water and cyclic wetting and drying slowed down flexural strength development. Under these conditions, PMM materials demonstrated only modestly higher 133

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flexural strength compared to the unmodified mixes, some 20% to 30% more than the unmodified mixes. REFERENCES 1. J.T. Dikeou and D.W. Fowler, Polymer concrete-Uses, materials, and properties. American Concrete Institute 89 245 (1985). 2. ACI Committee 548. Guide for the use of polymers in concrete. Journal of the American Concrete Institute, 1086; Sept.-Oct.:798-829. 3. D. Fowler, Polymers in concrete - where have we been and where are we going?, 10th international congress on polymers in concrete, Hawaii, USA (2001). 4. D.W. Fowler, and L.E. Kukacka, Application of polymer concrete. American Concrete Institute 69, 222 (1981). 5. H.B. Wagner, Polymer-modified hydraulic cements. Industrial and Engineering Chemistry Product Research and Development 4: 191-196 (1965). 6. E.-H. Hwang, Y.S. Ko and J.-K. Jeon, Effect of polymer cement modifiers on mechanical and physical properties of polymer-modified mortar using recycled artificial marble waste fine aggregate. Journal of Industrial and Engineering Chemistry 14: 265-271 (2008). 7. J.M.L. Reis, Mechanical characterization of polymer mortars exposed to degradation solutions. Construction and Building Materials 23: 3328-3331 (2009). 8. Y. Ohama, Recent Developments in Polymer-Modified Mortar and Concrete. In: G. Singh, (Ed.), R.N.Swamy Symposium Real World Concrete, 251-270 (1995). 9. H.B. Wagner and D.G. Grenley, Interphase effects in polymer-modified hydraulic cements. Journal of Applied Polymer Science 22: 813-822 (1978). 10. C. Pellegrino, F.D. Porto and C. Modena, Rehabilitation of reinforced concrete axially loaded elements with polymermodified cementicious mortar. Construction and Building Materials 23: 3129-3137 (2009). 134


11. K.-R. Wu, D. Zhang and J.-M. Song, Properties of polymermodified cement mortar using pre-enveloping method. Cement and Concrete Research 32: 425-429 (2002). 12. D. Casey, C. McNally, A. Gibney and M.D. Gilchrist, Development of a recycled polymer modified binder for use in stone mastic asphalt. Resources, Conservation and Recycling 52: 1167-1174 (2008). 13. R. Folić and D. Zenunović, Durability problem of RC structures in Tuzla industrial zone-Two case studies. Engineering Structures 32: 1846-1860 (2010). 14. Y.-P. Song, L.-Y. Song and G.-F. Zhao, Factors affecting corrosion and approaches for improving durability of ocean reinforced concrete structures. Ocean Engineering 31: 779789 (2004). 15. ACI Committee 548, Subcommittee 548A, State-of-the Art Report on Polymer Modified Concrete, American Concrete Institute, Detroit (1992). 16. E.-H. Hwang and Y.S. KO, Comparison of mechanical and physical properties of SBR-polymer modified mortars using recycled waste materials. Journal of Industrial and Engineering Chemistry 14: 644-650 (2008). 17. M.H.F. Medeiros, P. Helene and S. Selmo, Influence of EVA and acrylate polymers on some mechanical properties of cementitious repair mortars. Construction and Building Materials 23: 2527-2533 (2009). 18. I. Papayianni, G. Tsohos, N. Oikonomou and P. Mavria, Influence of superplasticizer type and mix design parameters on the performance of them in concrete mixtures. Cement and Concrete Composites 27: 217-222 (2005).

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WATER CONSERVATION AND ANALYSIS OF SURFACE RUN OFF SPATIALLY AT KALI SUMPIL WATERSHED, EAST JAVA-INDONESIA Mohammad Bisri Department of Water Resources, Faculty of Engineering, Brawijaya University, Malang 65145 (INDONESİA) [email protected]

ABSTRACT This paper studied the analyses of water conservation mapping, the depth and distribution analyses of surface run off. This study intended to analyze the infiltration depth divided by duration of rainfall and to determine the depth rate of surface run off spatially and to know the depth distribution of it too. Rainfall simulation with return period of 2 years and 5 years were used for supporting this study. Case study was selected at Kali Sumpil Watershed. The distribution of water conservation mapping were due to soil texture, watershed characteristic mainly slope of area and rainfall. The results were recommended for spatial design by considering the comparison between opened and closed space so that do not produce more run off. Key words: conservation, mapping, infiltration, rainfall, surface run off, spatial, depth run off, distribution run off 1. INTRODUCTION Conservation and demand management are the keys to sustained use of any resource. [1]. Water is one of resources to be very important for human life. So that water supply has to be kept continuously. With the rapid increase of population, a secure water future

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for much of the world remains elusive. Conservation is the effort to fulfill this condition. Hydrological approaches in the watershed systems have granted great many contributions to hydraulic structured planning. It is very difficult to understand the process of runoff thoroughly [2]. The change of land cover from pervious area into impervious area gives an impact on the increasing of runoff depth and will diminish natural recharge into groundwater storage. This condition will increase surface run off that causes pond or flood and minimize infiltration. Infiltration is due to condition of soil surface, vegetation, porosity and conductivity [3]. It influences the continuity of groundwater too because the rainfall which breaks into the ground is as natural recharge. By the way, the rainfall model differentiates between high and low intensity events. [4]. High flow is great important to recommend for analyses water conservation, because it will give some supports on run off. Economic development and the implementation of water resource projects in the basins, human activities have altered the conditions for runoff generation [5]. Surface run off will occur when the quantity of rainfall higher than infiltration rate. If infiltration rate reach maximize, water will begin to fill depression in the soil surface and then water will flow as surface run off. Infiltration as one of hydrological aspect that influenced by land use change becomes an essential aspect to be considered in the land management and planning development [6]. This is merely to accommodate the variability of watershed characteristic which influences infiltration and run off process. Many factors will influence surface runoff such as time of rainfall duration, intensity and distribution of rainfall. The other impacts are the shape and area of watershed, topography, geology and land use. Considering the spatially characteristic of land use in watershed scale, the development of an integrated approach that can simulate land use changes and their effects on infiltration process at the watershed level is crucial to land use and water resource planning and management [7]. Vegetations and cropping system will decre137

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ase surface run off and increase surface detention so that the surface run off will minimize [8]. Distributed parameter models are more suited to predict the hydrology effect of land use change because their parameters have a physical interpretation and the structure allows for an improved representation of spatial variability [9]. Many methods for predicting surface runoff were established by researchers such as Rational, Melchior, Weduwen, Haspers, Soil Conservation Service (SCS), and Kineros. Kineros Model which was part of AGWA Program would use in this study. This model simulates infiltration process and surface runoff in the small watershed. This study has been carried out on Kali Sumpil watershed, Province East Java-Indonesia. The purpose of this study was to analyze the depth rate and distribution of surface runoff spatially. This study has been carried out on Kali Sumpil watershed, Province East Java-Indonesia. The purpose of this study was to pattern the procedure on analyses of water conservation mapping, to research the distribution of water conservation., to determine the depth rate of surface run off spatially and to know the depth distribution of it too 2. LOCATION OF STUDY Location of this study was on Kali Sumpil watershed. Kali Sumpil was Kali Bango Sub-watershed and it was part of Kali Brantas at East Java Indonesia. The area of Kali Sumpil watershed was 15,392 km2 with the length of river was approximately 7,5 km. There was 6 difference land use included farm, residential area, plantation, irrigated rice field, dry field, and shrub. The mapping of land use at Kali Sumpil Watershed was as Figure 1.

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Fig. 1. Mapping of Land Use at Kali Sumpil Waterhed 3. RESEARCH METHOD FOR WATER CONSERVATION MAPPING The data was used for this study consist of soil texture, rainfall depth from 1990 - 1999, type of soil in 2004, mapping of topography in scale 1 : 25,000, mapping of land use in scale 1 : 30,000. The steps of analyses were: 1) Analyses using Kineros Model included: a) Digital Elevation Model (DEM), for approaching the model of ground level relief, b) Analyses of land use map, c) Analyses of soil texture map and determination of soil texture, d) Analyses of hydrology data; 2) The result of Kineros Model was the value and mapping of infiltration depth (in mm); 3) Analyses of water conserva139

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tion mapping: it was carried out by calculating the infiltration depth in each land use at Kali Sumpil sub-watersheds with using Kineros Model. The infiltration depth was divided by design rainfall of 2 years and 5 years return periods and then multiply by 100%. 4. RESEARCH METHOD FOR THE DEPTH AND DISTRIBUTION ANALYSIS OF SURFACE RUN OFF The data was used for this study consist of primary and secondary data. Primary data was soil texture, which consisted of soil, clay and silt. Soil samples were taken at the depth of 0-20 cm, 20-40 cm and 40-60 cm of soil profile. Secondary data was needed for model analyses. It was included rainfall depth from 1990 - 1999, type of soil in 2004, mapping of topography in scale 1:25,000, mapping of land use in scale 1:30,000 The steps of analyses were: 1) Analyses using Kineros Model included: a) Digital Elevation Model (DEM), for approaching the model of ground level relief. It was used to determine the slope, flow direction and flow length from upstream to downstream; b) Analyses of land use map. It was needed to classify the polygon and based data record of land use; c) Analyses of soil texture map and determination of soil texture. It was needed to classify the polygon, definition and based data record of soil texture; d) Analyses of hydrology data. It was needed for determining rainfall depth for 2 years and 5 years return period; 2) The result of Kineros Model was the value and mapping of surface run off depth (in mm) 5. WATER CONSERVATION MAPPING Analysis of soil texture which has resulted consisted of: 1) Percentage of sand, as Table 1; 2) Percentage of dust, as Table 2; Percentage of solid, as Table 3. The results were used as data of Kineros Model.

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Table 1. Percentage of sand Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

Sand (%) depth of 0-20 cm 20-40 cm 40-60 cm 19,97 12,61 11,28 8,71 10,26 8,57 21,85 11,72 11,97 14,12 15,44 9,00 8,61 7,62 7,65 11,38 25,17 30,55

Table 2. Percentage of Dust Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

dust (%) in depth of 0-20 cm 20-40 cm 40-60 cm 52,36 49,13 45,08 53,94 52,08 49,36 40,44 39,57 38,39 42,22 32,62 36,08 37,80 35,11 31,78 65,00 41,38 32,69

Table 3. Percentage of Solid Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

0-20 cm 27,67 42,88 37,64 43,67 53,59 23,62

Solid (%) in depth of 20-40 cm 40-60 cm 38,26 43,64 37,67 42,07 48,71 49,64 51,94 54,92 57,27 60,57 33,48 36,76

The results of Kineros Model included: 1) Digital Elevation Model (DEM) has resulted the boundary mapping if of Kali Sumpil 141

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watershed, 44 sub-watersheds and synthetic river distribution; 2) Land use distribution of Kali Sumpil watershed; 3) Soil texture distribution in horizontal and vertical parts of area; 4) Hydrology Analyses has resulted rainfall simulation, potency and mapping of water conservation. Mapping of water conservation was as Figure2 and 3.

Fig. 2. Mapping of Water Conservation at Kali Sumpil Watershed (2 years return period)

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Fig. 3. Mapping of Water Conservation at Kali Sumpil Watershed (5 years return period) 6. THE DEPTH AND DISTRIBUTION ANALYSIS OF SURFACE RUN OFF Analyses of soil texture which has resulted consisted of: 1) Percentage of sand, as Table 4; 2) Percentage of dust, as Table 5; Percentage of solid, as Table 6. The results were used as data of Kineros Model.

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Table 4. Percentage of sand Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

Sand (%) depth of 0-20 cm 20-40 cm 40-60 cm 19,97 12,61 11,28 8,71 10,26 8,57 21,85 11,72 11,97 14,12 15,44 9,00 8,61 7,62 7,65 11,38 25,17 30,55

Table 5. Percentage of Clay Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

dust (%) in depth of 0-20 cm 20-40 cm 40-60 cm 52,36 49,13 45,08 53,94 52,08 49,36 40,44 39,57 38,39 42,22 32,62 36,08 37,80 35,11 31,78 65,00 41,38 32,69

Table 6. Percentage of Silt Type of Land Use Residential area Dry field Farm Shrub Irrigated rice field Ground

Solid (%) in depth of 0-20 cm 20-40 cm 40-60 cm 27,67 38,26 43,64 42,88 37,67 42,07 37,64 48,71 49,64 43,67 51,94 54,92 53,59 57,27 60,57 23,62 33,48 36,76

The results of Kineros Model was included: 1) Digital Elevation Model (DEM) has resulted: the depth and distribution of surface run off mapping for 2 years and 5 years return period as Table 7, Figure 5 and 6.

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Table 7. The Depth of Surface Run off in Kali Sumpil Sub-Watersheds (Return period: 2 years and 5 years)

No 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 31 32 33 34 35

Sub DAS

Luas area (m2)

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 31 32 33 34 35

497.711,706 859.484,032 1.504.408,330 477.715,169 296.857,678 1.045.584,233 378.000,764 15.643,768 82.867,510 470.216,289 31.250,000 110.939,895 468.580,710 16.064,453 52.580,051 408.234,685 147.252,544 165.343,840 457.220,924 153.135,043 622.832,926 378.305,301 11.621,094 480.480,286 17.812,500 413.287,379 110.593,347 125.370,325 581.635,501 851.922,267 139.788,755 430.773,992 262.925,469 698.859,710 401.186,142

Kedalaman limpasan permukaan (mm) Hujan kala ulang Hujan kala ulang 2 tahun 5 tahun 11,263 23,352 10,572 22,770 11,010 23,098 11,516 23,618 8,268 20,472 10,143 22,298 10,912 18,056 6,711 18,951 7,170 19,182 6,062 17,940 7,550 19,577 6,635 18,595 6,280 18,265 6,726 18,978 7,478 19,515 6,355 18,309 6,385 18,441 6,785 18,742 6,749 18,603 8,404 20,293 8,043 19,755 9,002 20,743 10,492 22,324 9,268 21,011 7,977 19,980 8,243 19,972 10,630 22,430 8,829 20,532 6,788 18,640 6,561 18,443 6,950 18,978 7,670 19,661 7,848 19,679 6,762 18,564 6,140 18,085 145

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36 37 38 39 40 41 42 43 44

36 37 38 39 40 41 42 43 44

723.405,374 44.592,919 71.976,695 102.473,240 261.209,892 137.001,674 330.613,038 165.957,907 252.924,035

7,154 6,541 8,534 7,092 9,472 9,000 9,877 9,568 7,270

18,931 18,685 20,420 19,142 21,256 20,805 21,664 21,352 19,073

Fig. 5. Depth and Distribution of Surface Run off at Kali Sumpil Watershed (2 years return period)

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Fig. 6. Depth and Distribution of Surface Run off at Kali Sumpil Watershed (5 years return period)

7. CONCLUSIONS The analyses procedure of water conservation mapping spatially was carried out by calculating the depth of conservation in each land use at Kali Sumpil sub-watersheds. Kineros Model was used to analyze this problem. After that, the depth of infiltration was divided by the depth of rainfall with 2 years and 5 years return period and then was multiplied by 100%. The distribution potency of water conservation at Kali Sumpil watershed was great depended on the phy147

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sical characteristic of soil and watershed mainly the slope of area and rainfall. It showed that Kali Sumpil watershed had water conservation of 635,847 m3 highly potency and 253,968 m3 low potency. The analyses procedure of surface run off mapping spatially was carried out by calculating the depth of surface run off at Kali Sumpil sub-watersheds. Kineros Model was used to analyze this problem. The depth rate was 8.043 mm with 2 years return period and 19.981 mm with 5 years return period. The distribution of surface run off for 2 return periods was ranged from 10.610 mm to 11.516 mm in the upstream but in the downstream from 5,502 mm to 9,010 mm. For 5 years return periods, the distribution of surface run off was ranged from 20,510 mm to 23.618 mm in the upstream and from 17.940 mm to 19.510 mm in the downstream. REFERENCES 1. Limantara Lily Montarcih, 2010, Optimization of Water Needs at Kepanjen Dam and Sengguruh Dam, East Java, Indonesia, International Journal of Academic Research, Volume 2, Issue 5. 2. Tung B.Z.; Yeh Y. K.; Chia K. and Chuang J. Y., 1987, Storm Resampling for Uncertainty Analysis of a Multiple-Storm Unit Hydrograph, Journal of Hydrology 194: 66-384. 3. Chow. Ven Te; David R., Maidment & Larry W., Mays, 1988, Applied Hydrology, Prentice Hall, New York 4. Holko L. and A. Lepsito. 1997. Modelling the Hydrological Behaviour of Mountain Catchment Using TOPMODEL, Journal Hydrology 196: 361-3773 5. Hoybey Jan and Rosbjerg Dan, 1999, Effect of Input and Parameter Uncertainties in Rainfall Runoff Simulations, Journal of Hydrology Engineering, Vol. 4, No. 3, pp. 214-223 6. Verburg P.H. and Vedkamp A., 2004, Projecting Land Use Transactions at Forest in Philippines at Two Spatial Scales, Landscape Ecology, Vol. 19, pp. 77-98 7. Yu P.L., Nien M.H.; Pei J.W.; Chen F.W. and Verburg P.H., 2005, Impacts of Land Use Charge Change Scenarios on Hydrology and Land Use Patterns on the Wu-Tu Watershed 148


in Northern Taiwan, Environmental Informatics Archives, Vol. 3, pp 14-23, International Society for Environmental Information Sciences 8. Asdak, Chay. 1995. Hidrologi dan Pengelolaan Daerah Aliran Sungai. Gajah Mada University Press. Yogyakarta. 9. Nandakumar N; and Mein R.G., 1997. Uncertainty in RainfallRunoff Model Simulations and The Implications for Predicting The Hydrologic Effects of Land Use Change. Journal of Hydrology, 192: 211-232.

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TRAINING AND DEVELOPMENT OF WORKFORCES IN CONSTRUCTION INDUSTRY Amin Akhavan Tabassi, Mahyuddin Ramli, Abu Hassan Abu Bakar University Science Malaysia (MALAYSIA) E-mails: [email protected], [email protected], [email protected]

ABSTRACT Human resource development strategies play a critical role in order to have a successful organization. Based on a combination of literature research and an exploratory survey, the chapter explores the methods of training and development in HRD practices in construction firms. The survey was conducted by sending 50 sets of questionnaires to the nominated contractor firms in Mashhad, Iran. The analysis methods in this research were mainly descriptive and the type of investigation was a co-relational study. The research found some of the barriers and solutions of training and development of workforces. Key words: Human resource development; training, development, construction; Iran. 1. INTRODUCTION Having a powerful human resource development (HRD) organization is a worthwhile asset of companies, and an enterprise’s efficiency is closely connected to human capital’s managerial and developmental systems [1, 2]. Currently, human capitals play an impres sive role in order to success an organization. Consequently, people with high skills and expertise increase their chances of being at work [3]. Thus, successful companies and/or organizations will be those that are able to engage, educate, develop and retain highly skilled employees. In order to do so, developing a learning environment is, 150


therefore, essential to the future of HRD. Human resource (HR) can create values for an enterprise by finding ways to improve workforce managements that have a positive impact on performance. Since HR has a significant influence on the overall management system, it is well positioned to create substantial benefits. Nowadays, it is a common belief in both the business and the academic world that the HRs of an organisation can be a source of competitive advantage and one of the hidden forces behind growth, profits and lasting value of the firms. The importance of involving HR in development, planning, and implementation of competency strategies has been emphasized by researchers [4,1]. HRs are becoming the most important asset of an organization if they are adequately nurtured, educated and developed [5]. In this regard, the dynamic external environments within which many businesses currently operate requires that they develop a capacity for training and learning faster than competitors, to find solutions to novel and complex problems and to enhance the quantity of what they do through effective training and development practices [6]. Therefore, the main core thread of this chapter is methods of training and development in HRD practices within the construction firms. 2. HUMAN RESOURCE DEVELOPMENT Since the term of HRD arose, it has been applied in various fields of studies. This has guided to a great deal of perplexity with different individuals, organizations and practitioners. The term of HRD has been applied to widely varying activities. For instance, Garavan et al. [7] in their article indicate that American Society for Training and Development asserted that HRD includes training and development, organization development and career development. Furthermore, Garavan [8] defines it as the strategic management of training development and professional education interventions aimed at facilitating the achievement of organizational goals, while at the same time ensuring the full utilization of the knowledge and skills of employees. 151

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HRD, as an academic discipline, is defined as the development of learning including knowledge and expertise and the enhancement of performance. It considers a multi-level concept in that it focuses on individual, team and organizational issues. As a discipline, it relies on theories that describe the process of learning and theories of organizational learning and changes. However, HRD is still considered with formless and permeable boundaries [9]. Since the inception of the term HRD emerged (attributed to Leonard Nadler in the early 1970s), two approaches developed to HRD [10]. On one side, the British researchers have followed a learning and development paradigm, which concentrated on strengthened training and development issues [11, 12]. On the other, the American researchers emphasized performance outcome paradigms, which concentrated on developing employees to enhance and improve organisational performance [13, 14]. Much of the American approach emerged through organisational development theory and there has been an emphasis on coaching, mentoring, and leadership development [15, 10]. Though earlier definitions of the term HRD stressed individual rather than organisational learning [16], by the early 1990s, HRD observed as a much broader notion based on organisational performance and capability in the US literature [13, 14]. In the late 1980s, the American Society for Training and Development (ASTD) defined HRD as a process of enhancing the ability of the HR through development, and a process of adding value to individuals, teams or an organisation as a human system [17 cited in 18]. In this definition, HRD is concerned with the capacities of individuals not only with their work skills but also with the benefit that the overall organisation derived from development. Accordingly, the US literature is strongly biased towards performance in HRD definitions [19]. For instance, Sambrook [14] by synthesizing the US definitions posits that HRD is a process concerned with developing human expertise for the purposes of improving performance. As a result, a minority of US contributors [13] and the generality of European academics focused on learning as the primary purpose of HRD [20, 21]. Some UK commentators, however, focused on performance in HRD practices [22]. The learning perspective asserts that HRD as a field of study and practice is responsible for 152


fostering the long term, work-related learning capacity at an individual, group and organisational level. The learning school tends to explain the role of HRD, as one concerned with the enhancement of an individual's capacity to learn. Therefore, the two core threads of HRD are individual and organizational learning and individual and organizational performance [14, 23]. As it has been defined so variously and broadly, HRD has remained a complex and nebulous entity, variously interpreted by practitioners and researchers [24]. Slotte et al. [25] understand HRD as “covering functions related primarily to training, career development, organizational development and research and development. HR functions are intended to foster learning capacity at all levels of the organization, to integrate learning culture into its overall business strategy and to promote the organizations’ efforts to achieve high quality performance”. Within this context, training and development are important both for organizations competing on markets and for individual operating in the organizations. The expectation is that HRD systems can create performance improvements for organizations. Thus, the operational definition of HRD that presented by Swanson [23] has seemed more comprehensive. He defined HRD as “a process of developing and unleashing human expertise through organization development and personnel training and development for improving performance”. The domains of performance include organizations, work processes, groups and individuals. Moreover, organization development is the process of systematically implementing organizational change for improving performance. In general, HRD is the process of helping employees become better at their tasks, their knowledge, their experiences and their lives. There are lots of things that go into this, but training and development are the main issues [18]. 3. HRD IN CONSTRUCTION ORGANIZATIONS The construction industry has been considered to be one of the most dynamic and complex industrial environments [26, 27]. It is a project-based industry within which individual projects are usually custom-built to client specifications [28, 27]. The dynamic environ153

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ment and changing demands of construction activities required the formation of the teams each time a new project is committed [29]. This is particularly appeared in larger contractor companies, which are focused on managing the construction phases and the processes with a few directly employed managers and professional staff in order to lead the outsource teams [30]. Most importantly, however, the external sources of workforces are very common in the industry [27, 31]. Whilst the increasing use of external sources of labour has allowed the managing contractors to pass on risk and achieve greater flexibility, it has also made employee development and project co-ordination more complex, with a requirement for more highly skilled and experienced management [30, 27]. Despite these challenging characteristics of the industry, literature on HRD within large construction organisations is scarce and much of the evidence relies on data gathered over last decades [26, 32]. For instance, Raiden et al. [33] found that the companies demonstrated significant commitment toward strategic HRD with the benefits of staff retention and improved organisational performance. On the other hand, the success of an organisation, particularly a construction organization, is largely dependent upon the quality and morale of its people [34]. HRD provides an influential approach to the development of people in many business sectors [35]. In this regard, the construction industry, however, presents a challenging environment for the effective management and development of human resources due to the dynamic and fast changing organisational, project and skill requirements. Meanwhile, construction projects have seen as project-based environment by many researchers [36, 34, 29]. Accordingly, some internal and external factors can influence the HRD processes in project-based environments. The researchers define the organisation’s strategic choice in terms of HRD, organisational structure, organisational culture and factors central to the individual employees within the organisation as some of the internal factors [30, 37]. These parameters, by maintaining employee commitment, contribute to the employee resourcing strategies and achievement of project goals at a minimum risk. In addition to the internal factors, several parameters are external to the organisation and affecting the way 154


HRD practices are organised. The challenges comprise those that apply to the construction industry, specifically, and those, which apply to all business sectors. Common throughout all different business sectors are: 1) Technological, legislative and demographic change; 2) Changes in people’ values and beliefs, quality standards and expectations; and 3) Changes in the economic/labour markets. Particular challenges typical for the construction industry include: • Unique product [36, 34]; • Transient workforce moving between different work locations and/or projects [30]; • Male dominated, macho culture of the industry [37]; • Short-term teams formed, disbanded, mixed and changed in composition [29]; • Projects won at short notice [38]; • Changing proficiency, skill and competency requirements [34]; and • Client pressures. Regarding the unique and dynamic environment of the industry, one of the company’s strengths, in terms of HRD, lies in the managerial aim for good people development practices. Although, employees do not feel this is always realised, this forms a positive foundation for opening future opportunities through the development of more organised HRD practices. All the above statements indicate on the importance of HRD practices and its applications in construction industry in order to improve the performance of construction activities. Nevertheless, little attention has been also given to the importance of staff training and motivation in HRD practices in the construction industry’s literature. Therefore, the research aims to investigate and find the ways of employees’ training and development in HRD practices.

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4. TRAINING AND DEVELOPMENT The Oxford English Dictionary defines training as the action of teaching a person a practical skill or type of behaviour in any profession, art or craft. The HRD definitions do not also differ significantly. It is generally defined as a planned and systematic effort to modify or develop knowledge, skills, behaviour and attitudes through learning experiences, to achieve effective performance in an activity or a range of activities [7]. Many definitions and interpretations of training and development can be found within the HRD literature. For instance, Van Wart et al. [39], suggest that “training is the application driven and aims to impart skills that are useful immediately, in particular situations”. Swanson and Holton [13], define training and development as a process of systematically developing work-related knowledge and expertise in people for improving performance. In this regard, a training and development effort can further be designed to increase an individual's level of self-awareness, proficiency, skills and motivation to perform his or her job well. Furthermore, training and development are generally considered as a systematic endeavour by an organization to facilitate the learning of job-related behaviour on the part of the employees. Job-related behaviours can include any knowledge and skill acquired by an employee who can be related to organizational goals [40]. McLagan [17] defines training and development as “identifying, assuring and helping to develop the key competencies, aspects of successful professional performance” that enable individuals to perform current or future jobs. Smith [41], defines the term of training as “a planned process to modify attitudes, knowledge or skill behaviour through learning experience to achieve effective performance in an activity or range of activities” [cited in 18]. In these definitions, training is defined as a process, and needs the effective ways and methods in order to improve the performance. Furthermore, learning and individuals in organizations have been considered as the key themes of training and development [42]. According to Koestler [43], skills are either innate or acquired and the key characteristic of any acquired skill is that it is learned. Even simple skills are better learnt; they become more flexible, when 156


the learner understands the principles behind them. In order to facilitate the acquisition of skills and expertise for employees, Garavan [8] suggests that training must become a mainstream function and an integral part of any organization’s strategic direction. In addition, Bowen [44] asserts that HRD strategies must be intrinsically linked to overall business strategy. On the other hand, the nature of construction industry, as mentioned earlier, shows that most of the construction firms faced with many barriers and difficulties in order to apply effective training and development practices for the staff and labour [27, 29, 45]. Therefore, managers, executives and supervisors can have a significant and constructive impact on transfer of training [46]. The training of personnel contributes directly to the development of HRs within construction organizations. Training also plays a critical role in increasing workers’ adaptability and flexibility, which employers have found is becoming increasingly important. Thus, it is important for an organization to maintain a necessary competence in its employees through adequate training [47]. Training has to start with the recognition of training needs through job analysis, performance assessment and organizational analysis. Once the training needs of extension personnel have been identified, the next step is to organize training programs. Methods such as role-playing, simulation exercises, case study, on-the-job training, off-the-job training, and distance education can be used in construction industry to create learning situations based on experience. In this regard, the most effective methods, which emphasised by researchers, are on-the-job training, off-the-job training [48] and distance education [49]. 4.1. On-the-Job Training In the traditional model of on-the-job training (OJT), to promote the new practices, workers would typically receive pre-prepared courses in defined regulations, procedures, or processes, often at a different location than their place of work, and be expected to apply this abstracted knowledge later in their workplace. In contrast, in current methods of OJT training organizations send trainers to the site and offer OJT as well as facilities [45]. OJT and experience are probably the most common methods of employee development used at all levels, particularly in construction organizations. Where cons157

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truction organizations utilize a large number of “skilled” bricklayers, carpenters, plumbers, steel workers, welders, etc., they may utilize a special type of OJT called apprenticeship training. This training is mostly done under standards, which are established (i.e. curriculum, number of hours, affirmative action goals, etc.) by governmental parts [50]. Popular OJT methods include job rotation and understudy assignments [51]. Job rotation involves “lateral transfers” that enable employees to work at different jobs. Both job rotation and understudy assignments can apply to the learning of construction technical skills. 4.2. Off-the-Job Training There are a number of off-the-job training methods, which can be used by managers for training the employees. Methods that are more popular are classroom lectures, films and simulation exercises [51]. In this, classroom lecture is well fitted for delivering particular knowledge and information. This method can be employed effectively for developing technical and problem-solving abilities. Films can also be used to explicitly demonstrate the technical and vocational skills. Simulation exercises regenerate the real project-life cycles and are used to assess the required capabilities for successful task performance. All off-the-job methods are often progressed in development centres. Table 1 makes a comparison between off-the-job and on-the-job training. It indicates the essential parts as well as the differences between these two methods of training. Table 1. Off-the-job training versus On-the-Job training

Topics / Problems:

Off-the-Job Training Learning basic facts and skills “Knowing” Static, Decontextualized, General Given by curriculum

Scope of Learning:

Primarily Individual

Emphasis On: Ultimate Goal: Knowledge:

Source: [45] 158

On-the-Job Training Getting the job done Developing “Best Practices” Dynamic, Situated, Practice-oriented Arise from and embedded in work situation Individual, Group, Organization


4.3. Distance Education Distance education techniques can be useful in the provision of learning materials as well as the structural learning. In an earlier investigation by Smith [48], it was suggested that the methods of distance education can be effective where there is a learning relationship established on-the-job between the learner and the trainer such that both use the distance learning materials to structure activities, to access content knowledge and to determine sequences and progression of learning. It is important that the apprentices are not left alone to the course structure and employ the materials by themselves. Rather, what is needed is support from a trainer who is available and accessible to them at the workplace. 5. AN EXPLORATORY SURVEY An exploratory survey was approached through contractor firms, which were registered in Management and Planning Organization of Iran (MPO), Khorasan-e-razavi branch. According to the statistics of the MPO, 67 companies were registered as contractor companies in Grades One, Two and Three at the date of the survey. Contractor companies in Iran are ranked in five grades from one to five by the MPO of the country. Grade One is the largest and Grade Five is the smallest company’s grad. The survey was conducted where 50 sets of questionnaires were sent out to the group of respondents at random by postal mail and e-mail for a period of two months and 32 sets (64%) of surveys were returned and usable. After all the primary data collected and processed, the data was analyzed according to the descriptive analysis method, and the type of investigation was a co-relational study. The companies in this research were in three categories: governmental (12.5%), semi governmental (6.25%) and private (81.25%). The respondents’ responsibilities were project managers, executive managers and company managers. The result shows that all the respondents were directly related to HRD strategies in their companies. Therefore, their responses and ideas have strong effects on the results of the study. 159

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The findings show that nearly 56% of the companies had specific training courses and programs for their labour. In contrast, almost 44% of the respondents declared that there were no welldefined training courses or programs in their companies. They were also asking for the type of training programs that applied in regard to developing the employees. The result indicates that the most common methods of training were on-the-job training (34.5%), training the staff by supervisors during the construction (25%), sending the trainees to general construction industries training centres (12.5%), sending the trainees to private construction industries training centres (12.5%) and training courses by the company training centre (6.5%). In addition, the respondents did not utilize distance education as a method of training. According to the respondents who did not have any integrated training programs, their companies faced with many problems and barriers for employing effective training policies. Some of their barriers were: i. Variations in the number, size and type of projects undertaken by the companies; ii. High expenses of construction training courses; iii. Dynamic and complex environment of the industry; iv. Financial problems faced by the companies; v. Short term contract of most of the workers; vi. Large number and various types of construction learning points; vii. Low knowledge and lack of incentive among the workers for training; viii. Time-consuming; and ix. Little attention of client to the importance of skilled labour in the projects. Accordingly, the companies faced with many barriers and problems in training their staff and workers. However, most of the respondents point to the government as the main reason for these problems. Of course, the government plays an important role in removing the barriers, but some of the mentioned difficulties can be solved or reduced by the companies and managers as well. For instance, the companies can make a friendly environment within which 160


the managers, staff, and workers can discuss and learn from each other. This will create a work environment that influences employees’ innovative and personal commitment. Managers also need to develop ways to measure the performance of their workers. As indicated by Nesan and Holt [52], a system of ‘‘performance measurement” is needed in order to monitor improvements (or lack of improvements) among construction teams. Furthermore, the research found some of the main problems, which the Iranian construction workers faced with, were low levels of education, poor salaries, lack of motivation, and family struggles. Some of the endeavours that the government can apply are increasing social security, paying towards their costs of living, requiring companies to use labour with certification of fitness of occupation, social insurance, and developing the training institutes in both private and governmental sectors. In addition, we found some of the helpful methods for educating the construction workers as below: i. Short term training courses at fixed centers (off-the-job training): In this case, the government must prepare facilities for workers to pay their essential cost of living. Most of them faced with many problems and without this incentive they will not be motivated to learn. This method needs a lot of training facilities and spaces. ii. Send trainers to the construction sites (on-the-job training): Until now, training and development have been largely restricted to local and regional efforts. Furthermore, an increasing emphasis should be placed upon internal training and the use of OJT, rather than external courses. This method is less expensive than the previous one. In this case, training organizations send trainers to the construction sites and offer OJT as well as facilities. iii. Self-learning and taking part in standard exams: There is a greater need for motivation in this method compared to the others. In this regard, the government can use effective incentives such as increasing the wages of labour with technical and vocational certificates and/or requiring the companies to entrust the works to skilled workers. The labour can learn independently and take an examination to assess their ability to meet the standards of authoritative organizations. 161

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6. SUMMARY Some of the main results which are found by this research are as follows: - Low levels of education, small income, lack of motivation, and family struggles are some of the most difficulties of construction labour. - Some of the endeavours in order to develop the construction work forces, which can be applied by the government, are increasing social security, paying some of their costs of living, requiring companies to use labour with certification of fitness of occupation in the projects, and social insurance. - Some profitable methods which may be utilized by training organizations are: i. Short-term training courses at fixed centres; ii. Sending trainers to the construction sites (OJT); and iii. Self-learning and taking part in standard exams. REFERENCES 1. L.-H. Chen, S.-Y. Liaw and T.-Z. Lee, Using an HRM pattern approach to examine the productivity of manufacturing firms - an empirical study. Int. J. Manpow. 24: 299-318 (2003). 2. M. Iatagana, C. Dinu and A.M. Stoica, Continuous training of human resources - a solution to crisis going out. Procedia Soc. Behav. Sci. 2: 5139-5146 (2010). 3. J.P. Wilson, Human Resource Development, Learning & Training for Individuals & Organizations, Kogan Page, London, 1999. 4. R.W. Beatty and C.E. Schneier, New HR roles to impact organizational performance: from ‘partners’ to ‘players’. Hum. Resour. Manag. J. 36: 29-37 (1997). 5. D. Buyens, K. Wouters and K. Dewettinck, Future challenges for human resource development professionals in European learning-oriented organizations. J. Eur. Ind. Train. 25: 442-453 (2001). 162


6. T.N. Garavan, M. Morley, P. Gunnigle and D. McGuire, Human resource development and workplace learning: emerging theoretical perspectives and organisational practices. J. Eur. Ind. Train. 26: 60-71(2002). 7. T.N. Garavan, P. Costine and N. Heraty, Training and Development in Ireland: Context, Policy and Practice, Oak Tree Press, Dublin, 1995. 8. T.N. Garavan, Strategic human resource development. J. Eur. Ind. Train. 15: 17-31(1991). 9. T.N. Garavan and M.J. Morley, Re-dimensionalising boundaries in the theory and practice of Human Resource Development. Learn. Intellect. Cap. 3(1): 3-13 (2006). 10. D. Simmonds, and C. Pedersen, HRD: the shapes and things to come. J. Workplace Learn. 18: 122-134 (2006). 11. T.N. Garavan, N. Heraty and B. Barnicle, Human resource development literature: current issues, priorities and dilemmas. Journal of European Industrial Training 23: 169-79 (1999). 12. J. McGoldrick, J. Stewart and S. Watson, Understanding Human Resource Development: A research-based Approach, Routledge, London, 2002. 13. R.A. Swanson and E.F. Holton, Foundations of Human Resource Development, Berrett-Koehler, San Francisco, CA, 2001. 14. S. Sambrook, A “critical” time for HRD? J. Eur. Ind. Train. 28: 611-624 (2004). 15. R.L. DeSimone, J.M. Werner and D.M. Harris, Human Resource Development, Harcourt College Publishers, Fort Worth, TX, 2002. 16. L. Nadler and Z. Nadler, Developing Human Resources, Jossey-Bass, San Francisco, CA, 1970. 17. P. McLagan, "The models'', in Models for HRD Practice, ASTD, Alexandria, 1989. 18. H.L. Wan, Human capital development policies: enhancing employees’ satisfaction. J. Eur. Ind. Train. 31: 297-322 (2007).

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19. C.A. Lengrick-Hall and M.L. Lengrick-Hall, Strategic human resource management: a review of the literature and a proposed typology. Acad. Manag. Rev. J. 13: 454-70 (1988). 20. T. Kilcourse, Human resource development - a contingency function? J. Eur. Ind. Train. 20: 3-9 (1996). 21. T.N. Garavan, P. Gunnigle and M. Morley, Contemporary HRD research: a triarchy of theoretical perspectives and their prescriptions for HRD. J. Eur. Ind. Train. 24: 65-93 (2000). 22. D. Kerr and M. McDoughall, The small business of developing people. Int. Small Bus. J. 17: 65-75 (1999). 23. R.A. Swanson, In Praise of the Dependent Variable. Hum. Resour. Dev. Q. 7: 203-207 (1996). 24. S. Mavin, P. Wilding, B. Stalker, D. Simmonds, C. Rees and F. Winch, Developing “new commons” between HRD research and practice Case studies of UK universities. J. Eur. Ind. Train. 31: 4-18 (2007). 25. V. Slotte, P. Tynjala and T. Hytonen, How do HRD practitioners describe learning at work? Hum. Resour. Dev. Int. 7: 541-4 (2004). 26. J. Druker, G. White, A. Hegewisch and L. Mayne, Between hard and soft HRM: human resource management in the construction industry. Constr. Manag. Econ. 14: 405-416 (1996). 27. M. Loosemore, A.R.J. Dainty and H. Lingard, Human Resource Management in Construction Projects, Strategic and Operational Approaches, Spon Press, London, 2003. 28. M.J. Bresnen, Organising Construction, Project Organisation and Matrix Management, Routledge London, 1990. 29. A.B. Raiden and R.J.D. Andrew, Human resource development in construction organisations an example of a “chaordic” learning organisation? The Learn. Organ. 13: 6379 (2006). 30. J. Druker and G. White, Misunderstood and undervalued? Personnel Management in Construction. Hum. Resour. Manag. J. 5: 77-91(1995).

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31. G. Winch, The growth of self-employment in British construction. Manag. Econ. 16: 531-42 (1998). 32. D. Langford, M. Hancock, R. Fellows, and A. Gale, Human Resource Management in Construction, Longman, Harlow, 1995. 33. A.B. Raiden, A.R.J. Dainty and R.H. Neale, Human resource information systems in construction: are their capabilities fully exploited? Proceedings of the ARCOM 2001 Conference, Salford 1: 133-142 (2001). 34. R. Clough, G. Sears and S. Sears, Construction project management, John Wiley & Sons, New York, 2000. 35. I. Beardwell and L. Holden, Human resource management, a contemporary perspective, Financial Times, London, 1997. 36. P. Chinowsky and J. Meredith, Strategic management in construction. J. Constr. Eng. Manag. January/ February 1-9 (2000). 37. W. Maloney, Strategic planning for human resource management in construction. J. Manag. Eng. May/ June: 49-56 (1997). 38. M. Hillebrandt and J. Canon, The modern construction firm, The MacMillan Press, Basingstoke, 1990. 39. M. Van Wart, N.J. Cayer and S. Cork, Handbook of Training and Development for the Public Sector, Jossey-Bass, San Francisco, CA, 1993. 40. K. Wexley and G. Latham, Developing andTraining Human Resources in Organizations, Harper Collins, New York, NY, 1991. 41. A. Smith, Training and Development in Australia, Butterworths, Sydney, 1992. 42. D. Russ-Eft, C. Sleezeer and H. Preskill, Human Resource Development Review: Research and Implications, Sage, Thousand Oaks, CA, 1997. 43. A. Koestler, Janus: A Summing Up, Picador, London, 1983. 44. P. Bowen, The trainer as manager, Gower Handbook of Training and Development, Gower, Aldershot, 1994.

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45. A.A. Tabassi and A.H.A. Bakar, Training, motivation, and performance: The case of human resource management in construction projects in Mashhad, Iran. Int. J. Proj. Manag. 27: 471-480 (2009). 46. J.A. Jan, L.J. Frieda and J.G. Thijssen, HRD tasks of firstlevel managers. J. Workplace Learn. 11: 176-83(1999). 47. W.-T. Tai, Effects of training framing, general self-efficacy and training motivation on trainees’ training effectiveness. Pers. Rev. 35: 51-65 ( 2006). 48. P.J. Smith, "Modern'' learning methods: rhetoric and reality - further to Sadler-Smith et al. Pers. Rev. 31:103-113 (2002). 49. E. Sadler-Smith, S. Down and J. Lean, Modern learning methods: rhetoric and reality. Per. Rev. 29: 474-490 (2000). 50. B.C. Vaught, F. Hoy and W.W. Buchanan, Employee Development Programs, Quorum Books, London, 1985. 51. M.-T. Wu, P.-W. Liao and Y.-S. Cheng, the Study of Semiconductor Industry Manager’ Management Competence and Training and Development in Taiwan, International Conference on Engineering Education - ICEE 2007, Coimbra, Portugal, 2007. 52. L.J. Nesan and G.D. Holt, Empowerment in Construction: The Way Forward for Performance Improvement, Baldock, Hertfordshire, Research Studies Ltd., England, 1999.

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SYNTHETIC UNIT HYDROGRAPH FOR WATERSHED IN SOME AREAS OF INDONESIA Lily Montarcih Water Resources Department, Faculty of Engineering, University of Brawijaya (INDONESİA) [email protected]

ABSTRACT This paper studied Synthetic Unit Hydrograph Model. The methodology consisted of analyses of observed unit hydrograph, the primary physical parameters of watershed, formulation of peak discharge, rising curve and recession equation. Results revealed that length of river and area of watershed were the primary physical parameters and it showed that there were forests and some dry fields, rice fields, real estate etc in the watershed. Forest with many big trees would produce high roughness coefficient, because there were not many rains became to be run off. Further research was needed focusing on roughness coefficient of the river. Key words: physical parameter, model, watershed area, SUH, peak discharge, rising curve, recession equation 1. INTRODUCTION Rainfall-runoff processes can be considered a single inputoutput system. Runoff estimates can be obtained by using observed data to determine the relationship between input-output. The simple linear model and the linear perturbation model are typically used to model daily rainfall-runoff relationships [1]. The linear perturbation model considers variation in observed seasonal data. Despite the structural simplicity, the linear perturbation model is widely used in hydrology [1].

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The optimal combination of flood protection options is determined to minimize flood damaged and construction cost of flood control options along the river [2]. The needed design flood values for decided options especially when the lengths of recorded data are short may require usage of various statistical distributions. These distributions enable us to predict values having return periods greater than the length of recorded series [2]. Therefore, choice of the distribution most suitable to the recorded sample series is important from these aspects. The primary of frequency analysis is to relate the magnitude of extreme events to their frequency of occurrence through the use of probability distributions [3]. The preciseness of hydrologic frequency analysis depends on the type of statistical distributions and parameter estimation techniques. A lot of model has been developed to describe the distribution of hydrological data. However, the choice of a suitable model is still one of the major problem in frequency analysis. The insufficient knowledge of the nature of long-term variations in river water regime and the impossibility of their long-term prediction in designing various facilities, results in the use of probabilistic estimates, based on the laws of mathematical statistics and mathematical modeling [4]. Such estimate use one of several samples to derive a conclusion referring to the total population. This is of particular importance as far as the available observational series in the hydrological gage network (which has not been dense before, and it varies scarce now) have different duration and not coinciding boundaries [4]. The hydrological approaches in the watershed systems have granted great many contributions to the hydraulic structures planning, though it is still difficult to understand thoroughly the process of run-offs [5]. Researchers had come up successfully with models which in nowadays hydrology are known well as the Synthetic Unit Hydrographs. There are many patterns of SUH development in this study field. One pattern of SUH development which relates to this subject, out of them is based on a regression analysis [6]. Statistical regression is one of the patterns for analyzing hydrological models 168


[7]. It has been learned a good deal that watershed is too complex and heterogeneous to identify its parameters in detail. This is one reason why this paper studied the SUH model. It was intended to (1) find out the nature of watershed responses against the precipitation data input by which it could further become the supportive warning systems to areas that are vulnerable to flooding, (2) resume up the necessary hydrograph data that are previously unavailable because of operation problems on the Automatic Water Level Recorder (AWLR), and (3) produce a specifically different SUH model for Indonesia, in the form of a simple mathematical formula (as of the SUH Limantara) which can be applied directly or without (the usual) more calibration works on its parameters. The lacks of hydrograph data presentation in the field had long become the drawback of the hydraulic structure planning. Such a conditional deficiency in particular however, had in turn placed SUH models to be quite great utilities. SUH could become the necessary source of some important information for making the hydraulic structures planning be more reliable [8]. It is very difficult to understand the mechanical process of run-off thoroughly [5]. Ideally, every watershed has to have its own particular unit hydrograph. If the physical and hydrological conditions in general are quite homogeneous, it would be quite possible to create a new SUH model that resembles the ones made up by previous researchers. Realizing that SUH Models have been researched and developed in areas where watersheds are far different than those being applied with, they therefore very often come up with inaccurate results which further affect the design of hydraulic structure. So, it was definitely needed to calibrate some parameters for such ideal outcomes [9]. There are many patterns in developing the SUH. One of the patterns is based on regression analysis [6] and limiting physical parameters of the SUH, which have been studied previously [10]. One of the parameters is roughness coefficient. Therefore, this paper evaluates the roughness constant of river in a SUH.

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2. FORMULATION OF SYNTHETIC UNIT HYDROGRAPH 2.1. Analysis of Observed Unit Hydrograph The Observed Unit Hydrograph of each watershed was analysed by mean of Collins Method which was to follow these next written approaches step wisely:(1) The stage hydrograph was to be transformed to discharge hydrograph by mean of calibration curve; (2) The base flow was separated out from the (total) hydrograph by mean of an empirical method, the Straight Line Method [3]; (3) The effective rainfall which produced flood was analysed by making use of ǿ index; (4) Any unit hydrograph value was to be fixed with any of its ordinates given; (5) The unit hydrograph of first trial was timed with all of the effective rainfalls but the one that has the highest value; (6) The gauged direct run-off hydrograph was subtracted from the hydrograph of direct run-off. In this session, it was gained the direct run-off hydrograph which was a product of the maximum rainfall and regarded as the second trial unit hydrograph; (7) the unit hydrograph of second trial was to be compared with that of the first one. If the difference was more (than the standard margin of error that was predetermined initially), then the step 5 and 6 were repeated for a number of times needed in order to get all values of those qualified unit hydrographs; (8) And etcetera, until the least error margin of the targeted unit hydrograph from among those tried out was finally identified and nominated. For each watershed was to be found its observed unit hydrograph. To produce the observed unit hydrographs for all watersheds, an average value of all ordinates of the observed unit hydrographs was to be taken for the same hour, peak discharge and time to peak by following this next stepwise approach; (1) To calculate the average of time to peak and peak discharge, (2) To calculate the (dimensionless) average value of observed unit hydrograph, and (3) To calculate the average value of observed unit hydrograph. 2.2. The primary physical parameters of watershed The watersheds’ parameters were the easiest to get and relatively unchanging. They were geographical and morphological to the quality of watershed [3]. According to the concept of storage, if all 170


of the watersheds had contributed their parts in the run-off, the maximum flow would soon be reached while the storage was remaining indifferent [11]. 2.3. Formulation of peak discharge, rising curve and recession equations Peak discharge equation is the function of limiting physical parameters. The parameters consist of the area of watershed (A), length of main river (L), length of river which is a distance measured from the starting point of a river upstream to a nearest point about the weight centre of watershed (Lc), slope of river (S) and roughness coefficient (n) [6]. Rising curve and recession equations were formulated by means of the regression analyses. There were trials for the three regression equations such as, the linear, non-linear and exponential equations 3. ANALYSIS OF DATA The analysis of data was valid for each watershed. As it had been described before, to get the observed unit hydrograph which could be valid for all of the watersheds, it had to be carried out by taking the average value of ordinates of the hydrograph for the same hour, peak discharge and time to peak. The formulations of peak discharge, rising curve, and recession equations had made use of the regression analyses. And, they were controlled by the observed hydrograph. 4. MODEL OF SYNTHETIC UNIT HYDROGRAPH 4.1. Observed Unit Hydrograph In order to obtain the observed unit hydrograph, it would need to analyse an observed unit hydrograph for every watershed by means of Collins method [12]. Data of discharge hydrograph which was used to transform observed unit hydrograph for each watershed was selected for the maximum one and which just had a single peak. The date for collecting data (of the discharge hydrograph) from AWLR had to be the same as for that doing from ARR (data of hourly rainfall) for each 171

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of the watersheds. But, it was not necessary to get mere data of the homogeneous ones from among the watersheds. It was as well considered that the aim of a unit hydrograph analysis was only for finding the high flow. According to the analyses of the average of observed unit hydrographs in all of the watersheds, it was produced actually the time to peak of 5.773 hours, recession time of 9.859 hours and so that the base time became 15.632 hours. It was concluded that the discharge hydrograph in this location of study had the characteristic of that its time to peak was shorter than its recession time. Thus, it was said that some of the selected watersheds in this study had a long shape. 4.2. The Limiting Physical Parameters of a Model If peak discharge was as permanent variable and physical characteristics of the watershed (A, L, Lc, S and n) were as independent variables, there would be consequential products of 62 alternatives of regression curves. The selection of a model was supposed to be compliant with such a rational model that it might have the characteristics as those of above. From the 62 alternatives of regression curves (with five, four, three, two, and one variables), it will be selected a one general model of the peak discharge (for all of the watersheds), such as this following Equation (1): Qp = 0.042 A0.451 L0.497 Lc0.356 S-0.131 n0.168

(1)

With the determination coefficient R2 equals 0.841 (level of significant = 5%) and the estimation of the standard margin of error, SEY = 0.809. From this Equation (1), it was concluded that the primary five physical parameters were very influential in the model building of the peak discharge. And, they are the area of watershed (A), length of main river (L), length of a river (Lc) which was a distance measured to the nearest point around the weight centre of the watershed, the slope of a river (S), and the roughness coefficient (n). From the selected equation, it was concluded that the most dominant parameters of watershed was the length of main river (L), with its exponent of 0.497, after that it had to do with area of watershed (A), with its exponent of 0.451, the length of a river (Lc) which was a distance measured to the nearest point around the weight centre of 172


watershed and with its exponent of 0.356, the roughness coefficient (n) with its exponent of 0.168, and the slope of a river (S) with its exponent of 0.131. The formula of stream flow continuity, Equation (2) was as follows: Q = =V x A (V = 1/n x R2/3 x S1/2) (2) It showed here that a discharge was the functions of radius (R) which was analogous with the length of main river (L) and of area (A) which was analogous with the area of watershed (A). Therefore the relationship of primary parameters of watershed with the discharge model was analogous with the formula of stream flow continuity. Asdak [13] found that length of the main river would be as long as the distance between rainfall dropping point and the outlet. It was a cause that would response inclusively to the length of a river. It gave the rainfalls chances to flow as run-offs so that the losses of water was much more. It was meant that if the length of river became longer, the lesser peak discharge would then be resulted in. This explanation however, was not applicable for the production of this study. The length of main river (L) was the primary factor of the discharge model and its exponent was 0.497. It was meant that the longer length of a river would result in the higher of its peak discharge. In a bigger or longer watershed area, run-off needed a longer time to reach outlet. And so that, the base time of hydrograph was longer and whiles its peak discharge was being lesser [9]. That was not the same as with the products of this study. If the watershed area was the second primary factor and its exponent was 0.451, it was meant that in a bigger area of watershed, a higher peak discharge would be resulted. The interwoven network of rivers in the bigger area of watersheds would cause the rainfalls distribution not averaging up evenly in the whole area. He said that the unit hydrograph has been as the direct run-off hydrograph which was produced by the average of effective rainfalls in the watershed. Moreover, an effective size of watershed had to be determined in order that the maximum usefulness standard of unit hydrograph could as well be achieved. Yet, there was not really a precise determination for this case, but according to Soemarto [11], it was still considerably realistic to take the maximum size of 5000 km2 as it had already been used in this study. So that if it 173

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happened to be an average rainfall distribution already in a watershed, the bigger the watershed area was, the faster its run-off would reach outlet and also the sooner the peak discharge would rise up. The length of river which was a measured distance to the nearest point around the weight centre of watershed (Lc) was the third primary factor in this study, and its exponent was 0.356. It was meant that the longer Lc would produce the bigger peak discharge. But, if the exponent was relatively smaller, Lc would not be too influential to its peak discharge. Of course, there was a difference between the Lc which inclined in the direction of upstream and Lc which lay flat in the central area of watershed though, the difference was relatively small. The roughness coefficient (n) was estimated in the range of 0.035 and 0.070. In watersheds which were rich in forest, the roughness coefficient of each was commonly taken as 0.070. On the other case, if there was no forest, the roughness coefficient of the watershed was 0.035. It was known that forest was generally cropping with big trees, so that it was assumed as a rough surface that could be pursued as the entrance of rainfall. But, dry fields, rice fields, real estates, etc were assumed as not-too-rough surfaces, so that they were not supported by calculation of roughness coefficient of the watershed. The surface roughness would be pursued as the entrance of rainfall to river. So that, the roughness coefficient was not rationally too supportive to the peak discharge, it was meant that it was inversely comparable to the peak discharge (Qp). Because a discharge in this context was the flood discharge, this also meant that the land had been saturated. In a saturated condition of land, the rainfall was running off though, it was not as big as if there was no forest. So, the roughness coefficient of watershed would not pursue the peak discharge. In this study, the roughness coefficient of watershed was remained to be influential to the peak discharge model which had an exponent of 0.168. And, it was the fourth primary factor of 5 parameters of watershed which were used in this study. Having a positive value of exponent in this case also meant that the roughness coefficient was directly comparable with the peak discharge. According to the above explanation, the roughness coefficient of watershed was estimated to give support to peak discharge, but it was only in little amount. 174


The slope of river (S) that was produced in this study had an exponent of -0.131. In many instances, the gently sloped watershed would cause its peak discharge to rise up more. In other words, if the watershed sloped gently, it meant that the base time of hydrograph became long and would raise up the recession of gently sloped hydrograph so that, the peak discharge would be higher. 4.3. The Formulations of Peak Discharge, Rising Curve, and Recession Equations If peak discharge was as the permanent variable and physical characteristics of watershed (A, L, Lc, S and n) were as the independent variables, then it would be produced 62 alternatives of regression curves. The selection of model was in accordant with a rational model which had characteristic as the above. From the 62 alternatives of regression curves (with five, four, three, two, and one variables) it would be selected the one general model of peak discharge (for all of the watersheds) [10]. The rising curve (Qn) and the recession equation (Qt) are written as equations (1) and (2) below: Qn = Qp * [(t/Tp)]1.107

(3)

Qt = Qp * e0.175(Tp – t)

(4)

(Tp = time to peak) The SUH Limantara is recommended to be applied within the limitations specified in the table below: Table 1. The Limitation of SUH Limantara Description Area of watershed The length of the main river The distance of weight point watershed to outlet The slope of river The roughness coefficient Percentage of forest area

Symbol A L Lc

Unit km2 km km

Range 0.325 – 1667.500 1.16 – 62.48 0.50 – 29.386

S N Af

%

0.00040 – 0.14700 0.035 – 0.070 0.00 – 100

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SUH Limantara has been verified on Garang watershed in Indonesia as Figure 1 (Data for Garang watershed: located in Central Java, time to peak: Tp = 1.56 hours, A = 73.5 km2; L = 34.264 km; Lc = 22.16 km; S = 0.0129 and n = 0.0506).

Fig. 1. Verification to Garang watershed Among stakeholders, the application of SUH model is meant for analyzing designed floods by utilizing inputs from the rain data. However, thus far in Indonesia the stakeholders are still very fanatic in the use of SUH Nakayasu, for they readily considered it as the most practical one. Though in fact, the application of this model on the Java Island still at first requires several calibration works on its parameters. The comparisons between the SUH Nakayasu and SUH Model to the Observed Hydrograph were tabulated as in this following table: Table 2. Comparison between SUH Limantara and Nakayasu SUH Observed Hydrograph SUH Limantara SUH Nakayasu without calibration SUH Nakayasu with calibration α parameter

Time to peak (Tp) (hours) 5.773 5.773 124.103

Peak Discharge (Qp) 3 (m /s/mm) 20.956 20.956 16.617

5.773

20.956

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5. CONCLUSIONS Based on these results, it was concluded that: 1) The observed hydrograph really typifies the elongated shaped of watershed which had a faster rising characteristic than that of its recession (hydrograph rising time < hydrograph recession time); 2) There were 5 dominant watershed parameters that influenced the peak discharge; they were the length of main river/stream (L) followed by the areal size of watershed (A), length of the main river to be measured from a starting point location upstream to the point location about the weight centre of watershed (Lc), roughness coefficient (n) and river slope (S); 3) The SUH of this research was compared with the observed hydrograph and used as a control model. The coefficient of determination (R2) with the significance level of 5% are for the peak discharge (R2 = 0.841), rising curve (R2 = 0.980) and recession curve (R2 = 0.990). Besides, the SUH Limantara is also compared with the SUH Nakayasu and the deviation obtained was 1.224%. The characteristic of average unit hydrograph showed that the shape of watershed was pursued long. This study suggested that the length of main river (L) and area of watershed (A) were the primary factors. In addition, it was suggested to study the roughness coefficient of watershed (n). REFERENCES 1. Chou, Chien Ming. 2011. A threshold Based Wavelet Denoising Method for Hydrological Data Modelling. Journal of Water Resource Manage, 25: 1809-1830 2. Oztekin, Tekin. 2011. Estimation of the Parameters of Wakeby Distribution by a Numerical Least Squares Method and Applying it to the Annual Peak Flows of Turkish Rivers. Journal of Water Resource Manage. 25: 1299-1313 3. Hassanzadeh, Yousef; Abdi, Amin; Talatahari, Slamak; and Singh, Vijay P. 2011. Meta-Heuristic Algorithms for Hydrologic Frequency Analysis, Journal of Water Resource Manage, 25: 1855-1879

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4. Trofimov N.A. and Kalinin V.G. 2011. Estimating the Necessary Duration of Observation Period in Studying Water River Runoff. Journal of Water Resources, 38 (2): 149-154 5. Holko L. and A. Lepsito. 1997. Modelling the Hydrological Behaviour of Mountain Catchment Using TOPMODEL, Journal Hydrology 196: 361-377. 6. Blazkova S. and K. Beven. 1997. Flood Frequency Prediction for Data Limited Catchments in the Czech Republic Using a Stochastic Rainfall Model and TOPMODEL, Journal of Hydrology 195: 256-278. 7. Sri Harto, 1993, Hidrologi, Universitas Gajah Mada, Yogyakarta 8. Tung B.Z.; Yeh Y. K.; Chia K. and Chuang J. Y., 1987, Storm Resampling for Uncertainty Analysis of a MultipleStorm Unit Hydrograph, Journal of Hydrology, 194: 66-384 9. Nandakumar N. and R. G. Mein, 1987, Uncertainty in Rainfall- Runoff Model Simulations And The Implications for Predicting the Hydrologic Effect of Land Use Change, Journal of Hydrology 192: 211-232 10. Montarcih, Lily, 2009, The Limiting Physical Parameters of Synthetic Unit Hydrograph, World Applied Science Journal 7 (6), 802-804 11. Chow, Ven Te, 1988 Engineering Hydrology, John Wiley & sons 12. Montarcih, Lily (2011), Hidrologi Praktis, CV Lubuk Agung, Bandung. 13. Asdak C. 1995. Hidrologi dan Pengelolaan DAS, University Press, Gajah Mada Yogyakarta.

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THE MATHEMATICS OF VECTOR - BORNE DISEASES B.S.E. Iyare*, F.E.U. Osagiede Department of Mathematics, Faculty of Physical Sciences University of Benin, P.M.B. 1154, Benin City (NIGERIA) *Corresponding author: [email protected] ABSTRACT We described and analyzed various compartmental models for the transmission dynamics of vector-borne diseases. We begin with the simplest model, the SIS with no immunity, SIR with permanent immunity, SIRS with temporary immunity and SIRS with direct transmission and temporary immunity. We show how to calculate the basic reproduction number. Finally,we study the asymptotic stability of equilibria (Local and Global) for each of the models. Key words: Vector-borne disease, Local Stability, Global Stability 1. INTRODUCTION Infectious diseases have ever been a great concern of human kind since the very beginning of our history. The first major epidemic which we can find in the records of historians and scholars is the Plague of Athens (430- 428 BC). Epidemics, which were killing in millions, occurred in the 14th century when 25 million people died in Europe due to the bubonic plague, (Black Death, 1347-1350). The Black Death virus stayed within the population after the end of the epidemic outbreak and reappeared in Britain (Plague of London) in 1665. A Vector-borne disease is a disease that is transmitted to humans by insect or other arthropods carriers, such diseases includes Malaria, Dengue fever, west Nile Virus, sleeping sickness 179

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e.t.c. Vector-borne diseases have been and are among the leading causes of death, they remain the major challenges for many countries in the world, claiming the lives of millions of people every year, children and pregnant women are the most affected. The healths well as the socio-economic impacts of emerging and re-emerging vector-borne disease are significant. Together with the threat of biological weapons, whose research is lately concerned about micro-organisms and lethal infectious diseases, we have great motivation to understand the spread and control of vector-borne diseases and their transmission characteristics. Compartmental modeling and Notation Epidemic modeling has three main aims. The first is understanding the spreading mechanism of the disease. This entails a mathematical equation that gives us threshold values and constants which are used to describe the bahaviour of the disease. The second is to predict the future trend of the epidemic. The third is to understand how we can control the spread of the epidemic. The approach for modeling the transmission of infectious disease in human population is usually to subdivide the population under consideration into subpopulation of small number of epidemiological class called compartments. The resulting model is called compartmental model. The classes usually considered are primarily the following  Susceptible class (S): This is a collection of individual in a population who is not infected but is risk of being infected with the disease.  Exposed class (E): These are individuals who have been infected with the disease but are not able to infect others. This class is also known as the Latent class.  Infective class (I): These are individuals who are infected and are infectious.  Recovered/Removed class (R) : These are individuals who recover and acquire temporary or permanent immunity and may not contact or transmit the disease, either because they are no longer infectious and are immune or because they have been vaccinated. 180


Compartmental models have provided valuable insights into the epidemiology of infectious diseases including vector-borne diseases. Diseases that confer immunity have a different compartmental structure from disease without immunity. For diseases which confer immunity, the SIR terminology is used, describing the passage of individuals from Susceptible class (S) to the Infective (I) and them to the Removed class (R). The term SIS describes a disease with no immunity, indicating the movement of individual from Susceptible class to the infective and then back to the Susceptible class. Other possibilities include the MSEIR, MSEIRS, SEIR and SEIS models with an exposed period, a stage of being infective and becoming infectious after a period of time and maternal antibodies which is passed on to new born babies. Some other classes may be added to increase accuracy. Specifically, a class V or vaccinated individuals. The size of each class at time t are represented by M(t), S(t), E(t), I(t) and R(t) respectively. N (t) denotes the total population size. That is, N (t) = M(t) + S(t) + E(t) + I(t) + R(t) 2. MODEL WITH HOST SIS AND VECTOR SI WITH NO IMMUNITY The is the simplest vector – borne disease model. Susceptible

Iv through NH contact with infected vectors Iv . Similarly, susceptible vectors Sv IH become infectious vector I H at a rate v S v by contact with NH host SH become infectious host I H at a rate H S H

infected hosts. The model is given by the following differential equations

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ds H I   N H   H I H  H S H v   H S H dt NH dI H I  H S H v    H   H  I H dt NH dsv I  v N v  v Sv H  v Sv dt NH

2.1.

dI v I  v Sv H  v I v dt NH where   Per capita birth rate of human population  H  Per capita death rate of human population  H  Recovery rate in the human population

v  Birth/death rate in the vector population All parameters in the system (2.1) are non-negative. 3. ANALYTICAL RESULTS OF THIS MODEL Here, we present some results concerning the existence of local and global stability properties of our model using analytical method. 3.1. Basıc Reproductıon Number Using the next generation approach, the next generation operator, G, which provides the number of secondary infections in human and mosquitoes caused by one generation of infectious human and mosquitoes in system 2.1, is given as  O  G   v v      H O 

182


The off] - diagonal structure of G comes from the fact that infected human produced infected mosquitoes and infected mosquitoes produced infected human. The reproduction number 

R O is the geometric mean of the two entries of G. 

R O  RO Where

RO 

H v is the threshold parameter v   H  H 



And R O is the basic reproduction number of the disease. Theorem 3.1. If R0  1 , the disease-free equilibrium point E

0

is locally

asymptotically stable, if R0  1 , E 0 is unstable. Proof: This is given in section 4.0 Theorem 3.2. If RO < 1, the disease – free equilibrium point EO of the systemis globally asymptotically stable and unstable if. RO >1. Proof: In establishing the global stability of the disease free equilibrium point EO, we construct the following Lyapunov function.



L  sH , I H , Sv , I v   S H  N H  N H log

SH NH

I

H



  H  H  v Nv

S

v



 N v  N v log Nsvv  I v

The time derivative of L (SH, IH, Sv, Iv) computed along the solutions of (2.1) is 183

Academic book dL dt

 



 1  NS HH



dS H dt

      

 dIdtH 

 1     N

v N v

 1  NS HH  N H   H  S H  H  H v N v

Nv Sv

v

 vSv

v

dl 0 Note That dt

1   Nv Sv

Iv NH IH NH

dSv dt



dIv dt Iv NH

 H S H   H S H  vSv   vSv

IH NH

  H  H  I H 

 v I v

if and only if S H  N H , I H  0, I v  0

Sv  Nv . Therefore,

s

H

the

, I H , Sv , I v   D :

dL dt

largest

compact

invariant

set

in

  containing

the

 0 is the singleton E

0

O

origin, where E is the disease – free equilibrium point in system (2.1). Using LaSalle’s invariance principle, EO is globally asymptotically stable. 4. MODEL WITH HOST SIR AND VECTOR SI WITH PERMANENT IMMUNITY The differential equations for this model is given below

I dsH   N H  H S H v   H S H dt NH I dI H  H S H v    H   H     I H dt NH dRH   H I H   H RH dt dsv I  v N v  v Sv H  v Sv dt NH dI v I  v Sv H  v I v dt NH 4.1. 184


where   Per capita birth rate of human population  H  Per capita death rate of human population  H  Recovery rate in the human population   Disease-induced death rate

v  Birth/death rate in the vector population All parameters in the system (4.1) are non-negative to simplify the analysis of our malaria model (4.1), we convert the actual populations to fractional quantities by scaling the population of each class by the total population.

ih 

Let With

S 

 

, rh 

R 

, iv 

v v

S

 sh  1  ih  rh  and vv  sv  1  iv

4.2. 4.3.

Differentiating equation (4.2), we have dih dt



1 d   dt

drh dt



1 dRH  dt

div dt



1 dIv Nv dt



ih d   dt

 i

rh dN H H dt

 Nvv

dNv dt

4.4a. 4.4b. 4.4c.

Using equations (4.2 - 4.4), we obtain the system describing the dynamics of the proportion of individual in each class. This is given below dih dt

  1  ih  rh  i  rH      ih   ih2 drh dt div dt

4.5a.

     rh   ih   rh

4.5b.

 v 1  iv  ih  v iv

4.5c.

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The differential equations (4.5) is epidemiologically and mathematically well-posed in the domain D=

i ,r i   R h

3

h v

: ih o,rh o, iv o

And the equilibrium points are defined. The trivial equilibrium



o

o

o



O point E = ih , rh , lm = O , O , O  and endemic equilibrium point E* =

i

* h

, rh* , im*  . 5. ANALYTICAL RESULTS OF THIS MODEL

Here, we present some results concerning the existence of local and global stability properties of our model using analytical method. 5.1. Basıc Reproductıon Number Using the next generation approach, the next generation operator, M, which provides the number of secondary infections in human and mosquitoes caused by one generation of infectious human and mosquitoes in system 4.5 is given as  0  M    v       0 

The off - diagonal structure of M comes from the fact that infected human produced infected mosquitoes and infected mosquitoes produced infected human. The reproduction number 

R O is the geometric mean of the two entries of M. 

RO  Where 186

RO


RO 

H v is the threshold parameter v  H     



And R O is the basic reproduction number of the disease. Theorem 5.1. If R0  1 , the disease-free equilibrium point E

0

is locally

0

asymptotically stable, if R0  1 , E is unstable. Proof: Let

dih   H 1  ih  rh iv   H     ih  i h2  P dt drh   H  rh   ih  rh  Q dt div   v 1  iv i h   v iv  R dt

The Jacobian of the model is

 dP   di  h  dQ J   dih   dR   dih

dP drh dQ drh dR drh

187

dP  div   dQ   div   dR   div 

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   i         2i  H v H h     H  rh      1  i  v v 

 H 1  ih  rh     0     v i h   v 

  H iv  0

at the disease-free equilibrium E

   H        J   H    v 

0

0  0

H    0     v 

The characteristic equation is given by

J  IA



 B    H    v 

0  0

H  1     0   0     v  0

0 1 0

0   0  A 0  1 

Where B   H    

H

BA

0

H

  A

0

v

0

 v  A

0

  B  A   A v  A  H v   A  0



  AB v  A 2  v  A 2 B  A 3  A H  v  B v 188




 A v  AB  A 2   H v  0  AB v  A 2  v  A 2 B  A 3  A H  v  B v  A v  AB  A 2   H v  0 Re arranging we have

A 3  B   v    A 2 

B v   v  B   H v  A

 Bv  H v  0 A  B   v    A 2  B v   v  B   H v  A 3

     B v 1  H v   0 B v   3 2 A  B   v    A  B v   v  B   H v  A

 B v 1  R0   0 The eigenvalues in the characteristic equation above have negative real part if and only if the coefficients are positive. This 0 occur when R0  1 . Therefore E locally asymptotically stable for

R0  1 . It is unstable if R0  1 Theorem 5.2. If RO < 1, the disease – free equilibrium point EO of system (4.5) is globally asymptotically stable and unstable if. RO >1, Proof: In establishing the global stability of the disease free equilibrium point EO, we construct the following Lyapunov function.

 S  L S H , I H , R H , S v , I v    S H  N H  N H log H   I H  R H NH   189

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

 H

 H    v N v

 S  S v  N v  N v log v Nv 

L is C  on the interior of D, E



0 H

0 H

0 H

0 v

L on D , and L L S , I , R , S , I

0 v

0

   I v 

is the global minimum of

  0.

The time derivative of L (SH, IH, RH, SM, IM) computed along the solutions of (4.1) is



 1  NSHH

dL dt





dS H dt

 dIdtH  dRdtH  



 1  NSHH  N H   S H    H I H  H RH  



Iv NH

 H   H  v N v

       v N v

1   Nv Sv

dSv dt

 H S H    H SH

1     N

dl 0 Note That dt

Nv Sv

v

v

 dIdtv

Iv NH

 vSv

   H  H    I H  IH NH

 vSv   vSv

IH NH

 v I v  0

if and only if S H  N H , I H  0, I v  0

Sv  Nv . Therefore,

s

H

the

largest

compact

invariant

set

in

  containing

, I H , R H , Sv , I v   D : dL  0 is the singleton E dt

0

the origin and since D can be assumed to be compact, each solution beginning in C l , actually converges to 0 as t   . Using LaSalle’s invariance principle, EO is globally asymptotically stable. 6. MODEL WITH HOST SIRS AND VECTOR SI WITH TEMPORARY IMMUNITY. The differential equation for this model is given below.

I dsH   N H   H RH  H S H v   H S H dt NH

190


dI H I  H S H v    H   H    I H dt NH dRH   H I H  (  H   H ) RH dt dsv I  v N v  v Sv H  v Sv dt NH

6.1.

dI v I  v Sv H  v I v dt NH Where the parameters are as defined in section 4.0  H = rate of loss of immunity. All parameters in the system (6.1) are non-negative. To simplify the analysis of our model, Let ih  With

S 

 

, rh 

R 

, iv 

v v S


Differentiating, we have dih dt



drh dt



div dt



1 d    dt



ih d     dt

1 dRH   dt



rh dN H  H dt

1 dI v Nv dt

i

 Nvv

dN v dt

Using the above equations we obtain the system describing the dynamics of the proportion of individual in each class. This is given below 191

Academic book dih dt

  1  ih  rh  i  rH      ih   ih2 drh dt

     rh   ih   rh div dt

6.2.

 v 1  iv  ih  v iv

Also, the differential equation above is epidemiologically and mathematically well-posed in the domain D =

i ,r i   R h

3

h v

: ih o,rh o, iv o




o

o

o



O point E = ih , rh , lm =  0, 0, 0  and the endemic equilibrium point



*

*

*



E* = ih , rh , im . PROPOSITION 6.1. The malaria model (6.2) has the disease – free equilibrium



o

o

o



(DFE) point EO = ih , rh , im =  0, 0, 0  with no disease in the population. Proof: From equation (6.2)

iho 

 iv 1rh   iv       

6.3.

And

rho 

  ih  H 

6.4.

If iv  o in equation (6.3), we have iho  o and in (6.4) rho  o . This implies that EO always exists and is the only diseases free equilibrium point.

192


7. ANALYTICAL RESULTS OF THE MODEL Here, we present some results concerning the existence of local and global stability properties of our model using analytical method. 7.1. Basıc Reproductıon Number As in section 3.0 the next generation operator, K, which provides the number of secondary infections in human and mosquitoes caused by one generation of infectious human and vector in system (6.2) is given as H O  K   v v       O 

The off – diagonal structure of K comes from the fact that infected human produced infected mosquitoes and infected mosquitoes produced infected human. The reproduction number 

R O is the geometric mean of the two entries of K. 

RO 

RO

Where

RO 

H v is the threshold parameter v  H     



And R O is the basic reproduction number of the disease. 7.2. Dısease - Free Equılıbrıum (Dfe) Theorem 7.1. If RO  1 , the disease – free equilibrium point EO of system (6.2) is locally asymptotically stable, if RO  1 EO is unstable. 193

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Proof: At the disease – free equilibrium EO, the Jacobian of the matrix is given by

  H      H  0  J   H  (  H   ) 0    v  v  0 The characteristics equation is given by

 B 0 H1  1 0 0    J  IA    H Z 0  -  0 1 0  A   0    0 0 1   M M    Where B =  H     , Z = H 

H B  A 0 J  H =0 Z   0  v  A v 0 0

=   A  B  Z  A  v  A   H v  Z  A   0   A 3   v  Z  B  A 2   Z v  B v  BZ  A  BZ v   H v Z  H v A  0

A 3   v  Z   A2   Z v  B v  BZ  H v  A  BZ v  H v Z  0   A 3   v  Z  B  A 2   Z v  B v  BZ  H v  A  BZ v 1  BH vv   0   3 2 A   v  Z  B  A  Z v  B v  BZ  H v A  BZ v 1  R 0   0





The Eigenvalues in the characteristic equation above have negative real part if and only if the coefficients are positive. This occur when RO I, the endemic disease equilibrium E* of system (6.2) is locally asymptotically stable.

195

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Proof: At the endemic disease equilibrium, E*, the characteristic equation is given as

B  A B1 J  IA  B 3 B5

B2

B 4  A 0 =0=J* B6  A 0

J *   B  A  B 4  A  B6  A   B1B 3  B 6  A   B2B5 (B 4  A )  0

J *  A 3  Y2 A 2  Y1A  Y0  0

7.1.

Where

YO  B1B 3B 6  B 2B 4B 5 Y1  BB 4  BB 6  B 4B 6  B1B 3  B 2B5 Y2  B  B 4  B 6 And

B  H1lm*  H 2  2lh* H 2  H 2 rh*    H       2 lh*

B1  H 1lm*  H 2lh* B2  H1 1  ih*  rh*  B3   H  rh* B 4   H     ih* B5  M 1  lm*  B6  M ih*  m

196


Since the coefficients of (7.1) are positive, then the three * * eigenvalues of j have negative real parts. Therefore E is locally asymptotically stable for R0  1 . This complete the proof of theorem 7.3. 8. MODEL WITH HOST SIRS AND VECTOR SI WITH DIRECT TRANSMISSION AND TEMPORARY IMMUNITY Here, the assumption is made that susceptible human can be infected via two modes of transmission, that is by being bitten by an infectious vectors and directly through contact with an infectious human (as a result of blood transfusion). We denote the biting rate that a vector has to susceptible human as  1 ,the incidence of new infections is given by a standard incidence rate  1 S H

v H

.The

rate of direct transmission is denoted by  H 2 so that the incidence of new infection through this mode is given by a standard incidence rate

 2 S H

 

.The host infections to vector - susceptible

transmission rate is given by  v sv

 

.

The above assumptions lead to the following different equations.

ds      H  H   1 sH v   2 sH     s  dt H  d dt

 1s dR  dt

v H

 2 s

 

          

      (  H    )R 

dSv dt

 v v  v sv dIv dt

 v sv

I 

197

 

 v sv

 v v

8.1.

Academic book

Where  =

per capital birth rate of human population

 = per capital death rate of human population   = recovering rate in the human population  =

disease – induced death rate v = birth / death rate in the mosquito population

1 = contact / biting rate of human by mosquito  = rate of direct transmission. 2

 H = rate of loss of immunity. All parameters in the system (8.1) are non-negative to simplify the analysis of our malaria model (8.1), we convert the actual populations to fractional quantities by scaling the population of each class by the total population.

ih 

Let With

S 

 

, rh 

R 

, iv 

v v

8.2. S


8.3.

Differentiating equation (2.2), we have dih dt drh dt div dt

  

1 d    dt 1 dRH  dt 1 dI v N v dt



ih d     dt

 rhH 

dN H dt

8.4a. 8.4b.

iv dNv N v dt

8.4c.

Using equations (8.2) – (8.4), we obtain the system describing the dynamics of the proportion of individual in each class. This is given below dih dt

 1 1  ih  rh  iv   2 1  ih  rh  ih  rH      ih   ih2 drh dt

     rh   ih  (  H   )rh 198

8.5a. 8.5b.


div dt

 v 1  iv  ih  v iv

8.5c.

The differential equations (8.5) is epidemiologically and mathematically well-posed in the domain D=

i

h

, rh  iv   R 3 : ih o,rh o,iv o




o

o

o



O point E = ih , rh ,lv = O , O , O  and endemic equilibrium point E* =

i , r , i  . * h

* h

* v

PROPOSITION 8.1. The malaria model (8.5) has the disease – free equilibrium (DFE) point



o

o

o



EO = ih , rh , iv =  0, 0, 0  with no disease in the population. Proof: From equation (8.5a)

iho 

1iv 1rh  1iv       

8.6.

And

rho 

 ih H 

8.7.

If iv  o in equation (8.6), we have iho  o and in (8.7) rho  o . This implies that EO always exists and is the only diseases free equilibrium point. 199

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9. ANALYTICAL RESULTS OF THE MODEL Here, we present some results concerning the existence of local and global stability properties of our model using analytical method. 9.1. Basıc Reproductıon Number We used the next generation operator approach to define the 

basic reproduction number, RO as the expected number of secondary infections that one infectious individual would produced in a completely susceptible population. The next generation operator, P, which provides the number of secondary infections in human and mosquitoes caused by one generation of infectious human and mosquitoes in system (8.5), is given as 1 O  v P   v      2 O 

The off - diagonal structure of P comes from the fact that infected human produced infected mosquitoes and infected mosquitoes 

produced infected human. The reproduction number R O is the geometric mean of the two entries of P. 

RO 

RO

Where

RO 

H 1v is the threshold parameter v  H      H 2 



And R O is the basic reproduction number of the disease.

200


9.2. Dısease – Free Equılıbrıum (Dfe) Theorem 9.1. If RO  1 , the disease – free equilibrium point EO of system (8.5) is locally asymptotically stable, if RO  1 EO is unstable. Proof: At the disease – free equilibrium EO, the Jacobian of the matrix is given by

 H 2   H      H1  0   J   H (  H   ) 0    v v  0 The characteristics equation is given by

 B 0 H1  1 0 0    J  IA    H Z 0  -  0 1 0  A   0    0 0 1  v     v Where B =  H       2 , Z = H 

H1 B  A 0 J 0  H =0 Z   0  v  A v 0 =   A  B   Z  A   v  A   H1 v  Z  A   0

201

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  A 3   v  Z  B  A 2   Z v  B v  BZ  A  BZ v   H1 v Z  H1 v A  0





A 3   v  Z    A 2  Z v  B v  BZ  H1 v A  BZ v  H1 v Z  0





A 3   v  Z  B  A 2  Z v  B v  BZ  H1 v A  BZ v 1  



H1 v B v

0 



A 3   v  Z  B  A 2  Z v  B v  BZ  H1 v A  BZ v 1  R 0   0

The Eigenvalues in the characteristic equation above have negative real part if and only if the coefficients are positive. This occur when RO I, the endemic disease equilibrium E* of system (8.5) is locally asymptotically stable. Proof: At the endemic disease equilibrium, E*, the characteristic equation is given as

B  A B1 J  IA  B 3 B5

B2

B 4  A 0 =0=J* B6  A 0

J *   B  A  B 4  A  B 6  A   B1B 3  B 6  A   B 2B 5 (B 4  A )  0

J *  A 3  Y2 A 2  Y1A  Y0  0

3.1.

Where

YO  B1B 3B 6  B 2B 4B 5 Y1  BB 4  BB 6  B 4B 6  B1B 3  B 2B5 Y2  B  B 4  B 6 And

B  H1lV*  H 2  2lh* H 2  H 2rh*    H       2 lh* 203

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B1  H 1lv*  H 2lh* B 2  H1 1  ih*  rh*  B 3   H  rh* B 4  H     ih* B 5  v 1  lv*  B 6  v ih*  v Since the coefficients of (8.1) are positive, then the three *

* eigenvalues of j have negative real parts. Therefore E is locally

asymptotically stable for R0  1 . This complete the proof of theorem 9.3 REFERENCES 1. Anderson R.M and May.R.M. (1991). Infectious Disease of Human, Dynamics and Control, Oxford University Press, Oxford, UK. 2. Aron J.L and May R.M. (1982). The Population dynamics of Malaria, Dynamics of Infectious Diseases. Theory and Application. Chapman and Hall, London. 3. Chitris N. Cushing J.M. and Hyman J.M. (2006). Bifurcation Analysis of a mathematical model for malaria disease transmission. SIAM J. Applied Math. 67, 1, 24-45 4. Koella C. and Boete C. (2003). A Model for the Coevolution of immunity and immune evasion in vector – borne disease with implication for the epidemiology of Malaria. The American Naturalist, 161, 698-707 5. Kwon H., Blayneh K.W., and Cao Y. (2009) Optimal control of Vector - Borne Diseases: Treatment and Prevention. Discrete and continuous dynamical systems series vol.II no. 3 204


6. Inaba H and Sekine H. (2004) A Mathematical model for chagas disease with infection – age - dependent infectivity. Math. Biosciences, Vol. 190 no. 1, pp 39-69 7. Iyare B.S.E and Osagiede F.E.U. (2010) A Vector-Host Model for Malaria disease Transmission with variable human population. International Journal of Computational and Applied Mathematics. ISSN 1819-4966 Volume 5, Number 6 (2010), pp. 769-778. 8. Iyare B.S.E. (2011). A Model for Malaria disease Transmission in Pregnant and Non-Pregnant women: International Journal of Academic Research Vol.3, No.3.May 30,2011 9. Liming Cai and Xuezhi Li (2010) Analysis of a simple Vector-Host Epidemic Model with direct transmission. Discrete Dynamic in Nature and Society volume 2010. 10. Wei H.M, Li x z and Martcheva M. (2008): An epidemic model of a vector - borne disease with direct transmission and time delay. Journal of Mathematical Analysis and Applications vol. 342, no. 2, pp 895 - 908. 11. Ngwa G.A and Shu W.S (1999). A Mathematical Model for endemic Malaria with variable human and mosquito populations. www.ictp.trieste.it~pub-off 12. Vargas de Leon C. and Hermadez J.A.C (2008) Local and Global Stability of Host-Vector disease model. Journal of Mathematical Biology. 16. Yang H. M. (2000), Malaria transmission model for different levels of acquired immunity and temperature independent parameters (vector), Revista de Sailde Publia, 34 pp. 223231. 17. Yang H. M. and Ferreira M. U. (2000); Assessing the effects of global warming and local social and economic condition on the malaria transmission, Revista de Saude Publica, 34 pp. 214-222.

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FORENSIC IDENTIFICATION WITH BAYES’ LAW Dr. Marina Andrade, Prof. Dr. Manuel Alberto M. Ferreira Instituto Universitário de Lisboa (ISCTE-IUL), UNIDE - IUL, Lisboa (PORTUGAL) E-mails: [email protected], [email protected]

ABSTRACT The probabilistic fundaments for the evaluation of DNA evidences, based mainly on Bayes’ Law, are presented emphasizing the famous island problem. Identification problems are considered, in particular the paternity dispute problem and the crime scene analysis. Key words: DNA evidence, island problem, paternity dispute, crime scene analysis. 1. INTRODUCTION It is intended in this section to consider a forensic identification problem in generic terms. Having been committed a crime, the accused identification may be based in accordance with the characteristics that are known to belong to the potential (or true) criminal. The identification may be done through fingerprints, by witnesses, for the type of the used weapon or by the DNA profile (Dawid and Mortera, 1996). For the determination of the DNA fingerprint or of the DNA profiling, since 1984, the forensic scientists used the genetic material (DNA) information as evidence in murder and/or rape crimes, as well as in paternity identification cases. When the equality of profiles is measured, it is also measured indirectly the prosecuted culpability, since that calculation assumes that the accused is not guilty (Berry, 1991). If the two profiles are not alike it is possible to state that the accused is not the criminal. But, 206


when the similarity is declared it is not possible to state that the accused is the criminal. In this context, a natural way to quantify the evidence weight in favour of the accused guiltiness, is to determine the conditional probability of the guiltiness given the evidence, that implies necessarily the application of Bayes’ Law (Dawid and Mortera, 1996). So two hypotheses must be evaluated, one of the defence and the other of the prosecution, i. e.: HD: The accused and the criminal are distinct persons versus HP: The accused and the criminal are one and the same person. In order to use the Bayes’ Law suppose that the evidence (called E), in the crime scene, states that the criminal has a determined characteristic C, that is not for itself incriminating, being p the probability of any individual from the population to possess that characteristic. It is known that the accused individual possesses the characteristic (evidence), and be π the probability of any individual from the population, randomly chosen, to be guilty, having in mind the whole remaining evidence, for which it is admitted to be conditionally independent from the identification evidence, given the innocence or the guiltiness. Be = 1 and the events: “The accused possesses the characteristic C” and “The accused is guilty”, respectively, being a binary random variable that indicates the characteristic C presence or absence in the accused individual. By the evidence E the criminal possesses C. If the accused is the criminal then ( = 1| ) = 1 and ( = 1| ) = , the likelihood ratio favouring the guiltiness is and the individual, that is under accusation, guiltiness posterior probability is (

|

= 1, ) =

(

(

= 1|

= 1| ) ( | ) ) ( | ) + ( = 1| 207

) (

| )

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and so (

|

= 1, ) =

+

−

(1.1).

2. ALGEBRAIC APPROACH The Island Problem The forensic scientists, to quantify the evidence weight in favour of the accused guiltiness, developed a theoretical formulation in order to quantify the HP probability, given the presented evidence. The island problem was extensively studied by Lindley (1987), Yellin (1979), Eggleston (1983), Dawid (1984) and Balding and Donnelly (1995) and is as follows: Consider a isolated island, from the rest of the World, at which a murder was performed. Suppose that in the island there are N + 1 inhabitants, from which one is the criminal and the remaining ones are not guilty. Each one of the inhabitants has equal probability of being the criminal. Let us still admit that each individual has a probability p of possessing a certain characteristic C, that is independent for two any distinct individuals. The evidence found at the crime scene may be synthesized in the allegation of that the criminal possesses the characteristic C. So designate by E the evidence that represents the event “the criminal possesses the characteristic C, i. e., Cc = 1”. An individual is arrested and presented to the court. The only evidence against him is that he possesses C, event already designated by Ca = 1. The interesting question is to determine the guiltiness probability, i. e., of the accused to be guilty, given the available evidence. Following the Bayesian approach it is admitted a priori that any inhabitant has equal probability, = , of being the criminal. Substituting in the equation (1.1) it is obtained: (

|

= 1, ) =

1 1+

208

(2.1).


This result is easy to explain in court. In the island there is a criminal that possesses the characteristic C and Np not guilty persons that also possess C. Based on the available information the accused is among the N + 1 individuals, among which is also the criminal. The Search Strategies In the former analysis of the island problem it was assumed that the accused was identified in a random way among the population, and it is verified that possesses the characteristic C. Such a supposition is not always very real. In fact, sometimes is more easily accepted that it is identified through a search proceeding in the population. Being known that the criminal possesses that characteristic C it is natural that the police proceeds to a random search in the N + 1 individuals of the island, and arrest the first that has C presented. So it is important to evaluate the effect caused by the search proceeding in the probability of guiltiness of the individual that is going to be accused. It is still admitted that to possess the characteristic C it is no enough to be considered guiltiness and that distinct individuals possess C independently of each other, with probability p. Suppose that is performed a search in the population, that may be completely random, either in some way deterministic or in other way stochastic, that is independent of the C values and of the criminal identity. The way the search is performed is not relevant if it is assumed the permutation of the random variables Ci, that is, if it is admitted that the join distribution of any vector of n individuals, { , … , } is the same for any set with n elements, i.e., ( ,…, ) = of n individu( ), … , ( ) for any permutation als. In this way, the whole strategies are equivalent. Even, to simplify may be admitted that the population is numbered from 1 till N + 1, and the search is made by order. Keeping the notation be Ci = 1 and Gi the event “the individual i possesses the characteristic C and the individual i is guilty”, respectively. In this way, the event “the accused is guilty” will be 209

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designated by , . Note that with this strategy = = , = 1 is redundant, because the accused was chosen for having characterristic C. So the events “the accused has the order k and is guilty” and “the accused has the order k and the characteristic C are , and , = 1, respectively. Two Possibilities In the exposed context two perspectives are posed. First, given the evidence collected in the crime scene, E, that is the guilty person has characteristic C, if it is known K = k it is concluded that the k – 1 first individuals do not possess C, and it is possible to think that the individual k was randomly chosen among the remaining N – k + 2 inhabitants of the island, form which one is the criminal and N – k + 1 are not guilty and may exhibit the characteristic. So, following the Bayesian argument: ,

| ,

,

= 1,

=

=

1 1 + ( − + 1)

(2.2).

It corresponds to the assumption that the a priori guiltiness probability is = . For > 1 the value of this probability is greater than the one given by (1.1). Consider now that K is unknown, that is, it is done a search in the population till finding the first individual that exhibits C, that so it is accused. But it is not known how many individuals were observed till finding the accused. To calculate the accused guiltiness probability conditional to that he is the kth individual to be analyzed and possesses C, the whole possible values that K may assume must be considered. Then the whole disjoint partitions operated by k of the event “ and K = k” must be taken in account and to sum in its domain, that is the Total Probability Law must be applied. In consequence:

210


(

|

= 1, ) =

=

1 − (1 − ) ( + 1)

,

,

= |

,

= 1,

(2.3).

This result obtained by Dawid (1994) shows that the Bayesian approach, given by equation (1.1), is not always valid. Indeed, if the accused is found through a search proceeding in the population, the individual guiltiness probability must not be calculated using Bayes’ Law; this is appropriated when the suspect is determined in a random way. But the Bayes’ Law fails by precaution, what in general is recommended following the innocence presumption. The interest in the determination of the guiltiness probability of an accused individual is in general caught in the legal context having, because of it, the preoccupation that that result is always advantageous to the accused, that is so conservative. Note that the former result had been already presented by Yellin (1979) as solution for the island problem. In the context followed by Yellin the result fails for not considering the additional information that the criminal possesses the characteristic C. 3. DNA EVIDENCE ALGEBRAIC APPROACH In a DNA forensic identification simple problem one is in front of a biological trace, of unknown origin, and still biological “information” of unknown individuals based on the collected information it is intended to investigate which is the origin of that trace. 3.1. Paternity Dispute It matters to think that in any paternity investigation action what firstly is in cause is the official recognizing of the individual parentage whose paternity is being searched, respecting his/her elementary rights. In a simple way the information that generally is presented in a court decision, that may be called value of the biological evidence W, to be evaluated demands the knowledge of a classification table 211

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– the Hummel table1. When there is not paternity exclusion the laboratories calculate the value of the paternity probability – W. The laboratories proceeding results from the admission that the paternity and non paternity a priori probabilities are equal, ( ) = ( ) = 0.5, and so the expression of the paternity a posteriori probability is = , where W is the paternity probability, X is the probability that the biological father is the putative father and Y is the probability that the biological father is an individual picked up randomly from the population. This formula is also known as Essen-Möller equation2. Now the hypotheses outlined in the Introduction may be mathematically detailed. Becoming the assumption of paternity litigious, in formal terms are constituted the prosecution and the defence hypotheses, i.e., HP: The putative father is the true father. versus HD: The true father is another individual, chosen randomly among the population, not related with either the mother or the putative father. Indeed the court has to decide about the child true paternity in relation with the putative father. In fact, it has to evaluate the disputing hypotheses ratio: ( ( (

( | | ) = ( | | )

) ( × ) (

) )

being E the available evidence vector. Admitting that ),

1

(

)=

Table of verbal predicates used and indicated by the laboratories to the court to classify the value obtained in laboratorial analysis. Nowadays it is often questioned. 2 Obtained by Essen-Möller in 1938.

212


( (

( | | ) = ( | | )

) , )

and in any paternity case at which it is possible to get mother genetic information (mgt), child genetic information (cgt) and putative father genetic information (pfgt), the forensic biology laboratories may compute the likelihood ratio (in the behind mentioned notation ). Likelihood Ratio Calculus in Paternity Dispute In the hypotheses above considered, and disposing of the trip), assuming the independence between and let = ( , , across markers it is possible to calculate the LR value for each one of the markers separately. And then to multiply those values to obtain the value related to the whole observed markers. So consider that for a certain marker there is the triplet formula = {( , ); ( , ); ( , )}, and and are the A and B allele frequencies, respectively, in the population for the considered marker. It is easily acceptable that, before knowing the child genetic information, it may be assumed that the true father identity is independent from the mother and from the putative father. So it must be determined the conditional probability of the child genotype given the other two available genotypes. Consequently, to determine ( | ) it is only necessary to apply the Mendel’s Laws. To calculate ( | ) the markers allelic frequencies must be known. So ( | ) = [( , = [ = ( , )| = 0.5 × 0.5

,

)|( = ( , ),

,

)] = ( , )]

and ( | ) = [( , = [ = ( , )|

213

)|( , = ( , ),

)] , ] = 0.5 ×

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where rgt is related to the genotype of an individual chosen randomly in the population not related either with the mother or with the putative father. The genotype rgt is not known. It is only known that the child inherits the allele B from the father, and so inherits with the frequency if this allele in the population. In consequence =

( | ( |

) 0.5 = . )

It is important to emphasise that the decision on the child paternity, for any case presented in court, is taken by the judge. Its decision results from the knowledge taken from the whole relevant evidences and facts for each case in appreciation, each one with its own particularities. This kind of evidence initiated a revolution in the form of appreciating the attribution or not of the paternity. But today it is accepted without any hesitation in court. 3.2. A Complex Mixture Case The use DNA profiles and quantitative evidences in the appreciation of criminal cases has become more and more trivial, after 1985. But the knowledge of the cases ate which this tools are misunderstood and generate difficulties during the process are still common, contrarily to the desired. The case considered reports to a crime that was committed, in which two persons were violently murdered (Andrade and Faria, 2006). In what follows they will be designated by V1 (female) and V2 (male). V1 and V2, married, were at home and were murdered in unknown circumstances. During the investigations the police identified an individual, S1, son of the victims that confessed to the crime, having been signed another individual as being involved in the crime, S2. About the Non-DNA Evidence Of course it is not possible to specify the whole reasons, connected to non-DNA evidences, that driven the police to the sus214


pects, even because it overcomes this work scope. About the nonDNA evidence the interesting elements may be synthesized as follows: - There were found some inconsistencies and contradictions during the interrogatories; - The testimony of someone that said to have seen two human figures going away from the victims’ car, in the morning at which the bodies were found; - The coroner stated, after the autopsy, that the wounds in the body of V2 almost surely had not been inflicted for only one person. The DNA Evidence In what concerns DNA evidences, it was found a mixture in the crime scene. The analysis of haematic evidences allowed to identify genetic material matching to the victims’, to S1 the victims’ son3 and to S2. The Hypotheses to Consider The interpretation of a mixture depends very much on the circumstances surrounding the crime, (Evett and Weir, 1998). This is a complex case, but the confession of S1 allowed some simplification in the case, and consequently in the hypotheses to consider. After the confession of S1 there is only a suspect: S2. So, the testing hypotheses are: HP: The crime sample contains DNA from both victims (the S1 profile results from a combination of the victims profiles and, in consequence, it is necessarily in the mixture) and from the suspect S2.

3

The victims’ son could not be excluded, because any individual has in its genetic heritage, for each gene, a part inherited from the father and another inherited from the mother. So if the parents are in the mixture composition their descendents cannot be excluded.

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versus HD: The crime sample contains DNA from both victims (the S1 profile results from a combination of the victims profiles and, in consequence, it is necessarily in the mixture) and from an unknown individual. Model and Analysis As it was already referred, in front of each case the judge or the jury has to decide. To do so it matters to evaluate the whole evidences (now designated as DNA evidence – E and non-DNA evidence – I) and then to determine the a posteriori guiltiness probability given the evidences, i.e., has to answer the question: (

| , )?

Before going on with the analysis some notation must be introduced. So -

is the sample collected in the crime scene, is the genotype of the victim V1, is the genotype of the victim V2, is the genotype of S1, is the genotype of S2.

The likelihood ratio for the mixture may be written in the form: =

|

, |

, ,

, ,

, ,

, ,

.

As S1 is necessarily in the mixture it was placed, in the above formula, between parenthesis. The numerator has the value 1 since under the prosecution hypothesis that DNA mixture comes from the victims and the S2, and so the presence of S1 cannot be excluded. In the denominator the 216


probability of that collected DNA mixture to have contributions from an unknown individual, not related with the victims, must be calculated not excluding the possibility of having the contribution of S1. So =

1 |

,

,

,

,

.

Dealing any practical case the appropriate should be to present the synthesis of the impact of the evidence, that is the LR value and to let the judge to determine its odds a posteriori, combining the odds a priori with the supplied LR. But, not being common the Bayesian methodology use among those who deal with Law and the courts, in general, that does not happens. 4. FINAL REMARK The proceedings described in this work are often very complicated to implement analytically. A way to overcome these difficulties is to use the so called Probabilistic Expert Systems (PES) to model the DNA interconnections, genetic and others, allowing the application of Bayes’ Law in very complicate contexts. To perform the final calculations it must be used computational software. One of the most used is Hugin4. To see practical applications see, for instance, references 830. REFERENCES 1. A. P. Dawid and J. Mortera. Coherent use of identification evidence, Journal of the Royal Statistical Society, series B, 58, 425-443 (1996). 2. D. A. Berry. Inferences using DNA profilling in forensic identification and paternity cases, Statistical Science, 6, 175205 (1991). 4

www.hugin.com.

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3. D. V. Lindley. The probability approach to the treatment of uncertainty in artificial intelligence and expert systems, Statistical Science, 2, 17-24 (1987). 4. J. Yellin. Review of Evidence, Proof and Probability (by R. Eggleston), Journal of Economic Literature, 17, 583-584 (1979). 5. R. Eggleston. Evidence, Proof and Probability, Weidenfeld & Nicholson, London (1983). 6. A. P. Dawid. The island problem: coherent use of identification evidence. Aspects of Uncertainty: a Tribute to D. V. Lindley. eds P. R. Freeman and A. F. M. Smith, ch 11, 159170. Chichester:Wiley (1994). 7. D. Balding and P. Donnelly. Inference in forensic identification (with discussion), Journal of the Royal Statistical Society, series A, 158, part 1, 21-53 (1995). 8. M. Andrade and J. P. Faria. DNA evidence: a mixture sample. In Maria de Fátima Salgueiro, Maria João Lopes e António Teixeira, eds.: Temas em Métodos Quantitativos 5. 133-139, Edições Sílabo, (2006). 9. M. Andrade and M. A. M. Ferreira. Paternities Search in a very uncommon situation through object-oriented Bayesian networks, Journal of Mathematics and Technology, (2011) Forthcoming. 10. M. Andrade and M. A. M. Ferreira. Some considerations about forensic DNA evidences, International Journal of Academic Research, 3 (1,Part I), 7-10, (2011). 11. M. Andrade and M. A. M. Ferreira. Paternities Search with Object-Oriented Bayesian Networks, Aplimat-Journal of Applied Mathematics, (2011). Forthcoming. 12. M. Andrade and M. A. M. Ferreira. Paternities Search with Object-Oriented Bayesian Networks", 10th International Conference-APLIMAT 2011.Proceedings, 1 (1), 1409-1418, (2011). 13. M. Andrade and M. A. M. Ferreira. Solving civil identification cases with DNA profiles databases using Bayesian networks, Journal of Mathematics and Technology, 1 (2), 3740, (2010). 218


14. M. Andrade and M. A. M. Ferreira. Civil Identification Problems with Bayesian Networks using Official DNA Databases, Aplimat- Journal of Applied Mathematics, 3 (3), 155162, (2010). 15. M. Andrade and M. A. M. Ferreira. Janus Probability two faces in court, Statistical Review-Journal of the Greek Statistical Association, (2010) Forthcoming. 16. M. Andrade and M. A. M. Ferreira. Evaluation of Paternities with less usual Data using Bayesian Networks, IEEE Xplore (BMEI 2010 IEEE Catalog Number CFP1093D-PRT), 10 (93), 2475-2477, (2010). 17. M. Andrade, M. A. M. Ferreira, D. Abrantes, M. L. Pontes, and M. F. Pinheiro. Object-oriented Bayesian Networks in the evaluation of paternities in less usual environments, Journal of Mathematics and Technology, 1 (1), 161-164, (2010). 18. M. Andrade and M. A. M. Ferreira. Civil Identification Problems with Bayesian Networks using Official DNA Databases, 9th International Conference-APLIMAT 2010. Proceedings, 1 (1), 813-820, (2010). 19. M. Andrade. A Note on Foundations of Probability, Journal of Mathematics and Technology, vol.. 1 (1), pp 96-98, (2010). 20. M. Andrade and M. A. M. Ferreira. Bayesian Networks in Forensic Identification Problems, Aplimat- Journal of Applied Mathematics, 2 (3), 13-30, (2009). 21. M. A. M. Ferreira and M. Andrade. A note on Dawnie Wolfe Steadman, Bradley J. Adams and Lyle W. Konigsberg, “Statistical Basis for Positive Identification in Forensic Anthropology”. American Journal of Physical Anthropology 131:15-26 (2006), International Journal of Academic Research, 1 (2), 23-26, (2009). 22. M. Andrade and M. A. M. Ferreira. Criminal and Civil Identification with DNA Databases Using Bayesian Networks, International Journal of Security-CSC Journals, 3 (4), 65-74, (2009).

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23. M. Andrade and M. A. M. Ferreira. Bayesian Networks in Forensic Identification Problems, 8th international conference-APLIMAT 2009. Proceedings, 1 (1), 699-716, (2009). 24. M. Andrade, M. A. M. Ferreira. J. A. Filipe and M. Coelho. Paternity Dispute: is it importante to be conservative?, Aplimat- Journal of Applied Mathematics, 1 (2), (2008). 25. M. Andrade, M. A. M. Ferreira and J. A. Filipe. Evidence Evaluation in DNA Mixture Traces, Journal of Mathematics Statistics and Allied Fields, 2 (2), (2008). 26. D. Abrantes, M. L. Pontes, M. F. Pinheiro, M. Andrade and M. A. M. Ferreira. Towards systematic probabilistic evaluation of parentage casework in forensic genetics: A modest attempt to define a general standardized approach to simple and complex cases, Forensic Science International : Genetics Supplement Series.Elsevier, 1 (1), 351-354, (2008). 27. M. Andrade, M. A. M. Ferreira, J. A. Filipe and M. P. Coelho. Paternity Dispute: Is it important to be conservative?, 7th International Conference-APLIMAT 2008. Proceedings, 1 (1), 1031-1036, (2008). 28. M. Andrade, M. A. M. Ferreira, D. Abrantes, M. L. Pontes and M. F. Pinheiro. Redes bayesianas object-oriented na apreciação de paternidades em contextos menos usuais, XV Congresso Anual da SPE, Lisboa. Portugal, (2008). 29. M. Andrade and M. A. M. Ferreira. Analysis of a DNA Mixture Sample using Object-Oriented Bayesian Networks, 6th International Conference-APLIMAT 2007. Proceedings, 1 (1), 295-306, (2007). 30. M. Andrade and M. A. M. Ferreira. Mixture Traces: comparison of several hypotesis, 56th Session of the ISI-ISI 2007, Lisboa. Portugal, (2007).

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PRODUCTION OF BIODIESEL FROM PALM OIL VIA TRANSESTERIFICATION PROCESS- THE RECENT TRENDS 1

Khalisanni Khalid , Khalizani Khalid

2

1

Department of Applied Chemistry, Faculty of Applied Sciences, Universiti Teknologi MARA, 40450 Shah Alam, Selangor 2 Faculty of Business Administration, Universiti Teknologi MARA, Kampus Seri Iskandar, 32610 Bandar Baru Seri Iskandar, Perak (MALAYSIA) [email protected]

ABSTRACT Transesterification process is the most important reaction for the production of biodisesel in this recent decade. Numerous papers were published in related to the process. The present paper will discuss the most concerning niches methods for the production of biodiesel via tranesterification, namely alkali, acid, enzymetic and supercritical alcohol. Concerning the importance of this reaction, the contribution of biodiesel towards diminution of fossil fuel is undeniably important. Key words: Transesterification, biodiesel, catalyst 1. INTRODUCTION Biodiesel is a promising fuel considering the green gasses emitted after the fuel combusted (as compared to the fossil fuel). The most potential vegetable oil which can be used as raw material to manufacture biodiesel is palm oil (Elais Guineensis). The usage of palm oil is also meant to anticipate oversupply [1]. As the golden crop of Malaysia, oil palm is regarded as the most cost effective vegetable oil crop with average yields of 3.5-5.0 tonnes of palm oil per hectare per year. Thus, it offers a potential environmental friendly alternative fuel source. As biodiesel is gaining considerable global 221

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attention and market, standards are vital for its commercialization and market introduction. It is necessary for the authorities to evaluate the safety risk and environmental impact, while giving quality assurance to the users. There is an increasing campaign for cleaner burning fuel in order to safeguard the environment and protect man from the inhalation of genotoxic substances. The exhaust from petroleum products, especially diesel is known to be toxic and carcinogenous in nature, since they contain polycyclic aromatic hydrocarbons. Apart from these reasons, there has also been a surge in the prices of petroleum products worldwide and it is doubtful if these prices would ever again down-plunge since their rising trend has been consistent since late 2004 [2]. Biodiesel, meanwhile, is an alternative or additive to standard diesel fuel that is made from biological ingredients instead of petroleum. Biodiesel is usually made of bio oils through a series of chemical reactions but is non-toxic and renewable. There are a few different ways to make biodiesel, but most manufacturing facilities in the world produce industrial biodiesel through a process called transesterification, because it easier and saving. In this process, the fat or oil is first purified and then reacted with an alcohol, usually methanol (CH3OH) or ethanol (CH3CH2OH), in the presence of a catalyst such as potassium hydroxide (KOH) or sodium hydroxide (NaOH). When this happens, the triacylglycerol (oil or fat) is transformed to form esters and glycerol. The esters that remain are called biodiesel [3-5]. Biodiesel blend is the blend of petroleum diesel and biodiesel (methyl ester). A blend of 5% biodiesel and 95% regular diesel is called a B5 blend. Biodiesel has similar physical characteristic as diesel oil, and in addition it is a renewable energy and safe for the environment. Biodiesel can be used easily because it can be mixed at any proportion with diesel oil, hence enabling us to apply it immediately for diesel engines that are available without much modification; easy biodegradability; 10 times less poisonous compared to the ordinary diesel oil, the waste product is not black, less sulphur and other aromatic contents, hence the combustion emission produced is safe for environment and perform less accumulation of carbon dioxide gas in atmosphere thus lessen furthermore global heating effect [6-11]. 222


2. MATERIALS AND METHODS Transesterification process are divided as follows; alkali/ base catalyst, acid catalyst, enzymatic (lipase) and supercritical alcohol process. In all cases, the triglycerides (palm oil) is used as raw materials for the production of biodiesel [12]. 3. RESULTS AND DISCUSSION For a basic catalyst, either sodium hydroxide (NaOH) or potassium hydroxide (KOH) should be used with methanol or ethanol as well as any kind of oils, refine, crude or frying [13-15]. In this process it is better to produce the alcoxy before the reaction to obtain a better global efficiency (Fig. 1).

Fig. 1. Mechanism of alkali alcoholysis The alcohol-oil molar ratio that should be used varies from N=1:1-6:1. However N=6:1 is the most used ratio giving an important conversion for the alkali catalyst without using a great amount of alcohol. The types of alcohol are usually methanol and ethanol. The last one has fewer safety problems because it is less toxic. The oils used could come from any vegetable, e.g., corn, canola, peanut, sunflower, soybean, olive, palm, palm kernel. As you may see there are quite a few sources that can be used as raw material and all of them are equally relevant only consideration is in the choice is which has lower price on the market. The amount of catalyst that should be added to the reactor varies from 0.5% to 1% w/w, but some authors prefer advice any values between 0.005% and 0.35% w/w should be used. The last but not least important variable is the reaction temperature. The standard value for the reaction to take place is 60°C, but depending on the type of catalyst different temperatures will give different degrees of conversion, and for that reason the 223

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temperature range should be from 25 to 120 °C. The reason why there is a great interest in the alkali process is it is more efficient and less corrosive than the acid process, making it a preferred catalyst to be used in industries [16-20]. The limits of this technology are due to the sensitivity that this process has to purity of reactants, to the fatty acid, as well as to the water concentration of the sample. If too much water, it increase the risk of making some soap instead of the desired product. If soap is the end product, a consummation of the reactive will take place and the formation of an emulsion, which makes downstream recovery and purification very difficult and expensive. A normal amount of free fatty acid on the waste cooking oils is about 2% w/w. If the amount is big, it is recommend a pretreatment via esterification with alcohol and sulfuric acid. After this, the normal alkali process should be continued [21-23]. Acid catalyst transesterification is the second conventional way of making the biodiesel. The idea is to use the triglycerides with alcohol and instead of a base to use an acid; the most commonly used is sulfuric acid, sulfonic acid or solid acid catalyst [24-25]. This type of catalyst gives very high yield in esters but the reaction is very slow, requiring almost always more than one day finishing (Fig.2).

Fig. 2. Mechanism of acid alcoholysis Acid-catalyzed transesterification is more suitable for waste or unrefined oil. The process has not gained as much attention as the base-catalyzed transesterification because of the slower reaction 224


rate and the very high methanol to oil molar ratio requirements. The two-step biodiesel process addressed this issue by using an acid catalyst followed by a normal base-catalyzed transesterification. Compared with homogeneous catalysts such as NaOH, the conditions of acid catalyzed transesterification also make the process impractical and uneconomical. Therefore, a process for the conversion of fatty acids and triglycerides to the corresponding ester in a manner that is mild, fast, convenient, and universally applicable is required [26-30]. Lipases are enzymes used to catalyze some reaction such as hydrolysis of glycerol, alcoholysis and acidolysis, but it has been discovered that they can be used as catalyst for tranesterification and esterification reactions too. Biocompatibility, biodegradability and environmental acceptability of the biotechnical procedure are the desired properties in agricultural and medical applications. The extra cellular and the intracellular lipases are also able to catalyze the transesterification of triglycerides effectively [31-35]. Table 1 shows the advantages and disadvantages of using enzymetic process. Table 1. The vis-à-vis of using lipase enzyme Advantages of using lipases  Possibility of regeneration and reuse of the immobilized residue, because it can be left in the reactor with the ingredients flowing continuously.  Use of high concentration of enzyme prolongs the activation of the lipases.  A bigger thermal stability of the enzyme due to the native state.  Immobilization of lipase could protect it from the solvent that could be used in the reaction and that will prevent all the enzyme particles getting together.  Separation of product will be easier using this catalyst.

Disadvantages of using lipases  Lost of some initial activity due to volume of the oil molecule.  Number of support enzyme is not uniform.  Biocatalyst is more expensive that the natural enzyme

Supercritical alcohols method (>200°C) has several advantages over that of catalytic process, including high production efficiency and environmentally friendliness. Supercritical fluid transesterifi225

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cation does not require catalysts, therefore, the neutralization, washing, and drying steps can be omitted from the process in comparing with conventional biodiesel production process (Fig. 3). Large energy consumed to perform the transesterification process with supercritical alcohols is compensated by more high reaction rate and no requirement of additional clean stages. Finally, this has lead to general reduction of production prime cost by 10-15% in comparing with catalytic method. The advantage of this method is that FFA present in the oil could be simultaneously esterified in supercritical methanol. These methods allow reaching the conversion value up to 100%, however this caused the increasing of the cost of electrical energy and capital cost (increasing the size of the reactor). Therefore, the method of solubility increasing of the oil in methanol without using the catalytic is needed [36-38].

Fig. 3. Process flow diagram for biodiesel production using supercritical methanol

The properties of biodiesel depend very much on the nature of its raw material as well as the technology or process used for its pro226


duction. In this respect, the aforementioned standards have specified relevant parameters to govern the quality of biodiesel. Inherent properties from vegetable oils or animal fats that have an effect on the performance of biodiesel as diesel substitute, such as iodine value (I.V.), density, viscosity, cetane number, copper strip corrosion, linolenic acid methyl esters content, polyunsaturated (more or having four double bonds) methyl esters content and phosphorus content, have been included. On the other hand, the properties of biodiesel related to the production technology are, namely, the contents of ester, sulphated ash, water, partial glycerides (mono-, diand tri-glycerides), alkali, free and total glycerol, flash point and the acid value [39-40]. 4. CONCLUSION In concern the importance of transesterification, it could be concluded that this reaction is still a robust and wise technique in compared to the latest methods such as microwave, catalytic and thermal cracking. However, extended research should be performed to simulate and optimize the yield of biodiesel, period of reaction and cost of production. REFERENCES 1. M.H. Jayed, H.H. Masjuki, R. Saidur, M.A. Kalam and M.I. Jahirul. Environmental aspects and challenges of oilseed produced biodiesel in Southeast Asia. Renew. Sustain. Energy Rev. 13: 2452-2462 (2009). 2. A.B Aqeel., Z. Gholamreza and H. Haslenda. Progress and challenges in utilization of palm oil biomass as fuel for decentralized electricity generation. Renew. Sustain. Energy Rev. 15: 574-583 (2011). 3. R. Ghanei, G.R. Moradi, R. TaherpourKalantari and E. Arjmandzadeh. Variation of physical properties during transesterification of sunflower oil to biodiesel as an approach to predict reaction progress. Fuel Process. Technol., 92: 1593-1598 (2011). 227

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4. L. Sylvain, N. Karthikeyan, D. Erik, McC. Ian and O. Michael. Optimizing biodiesel production in India. Appl. Energ., 86: S125–S131 (2009). 5. L.R. Mário and R.S. José. Exhaust emissions from a diesel powered vehicle fuelled by soybean biodiesel blends (B3B20) with ethanol as an additive (B20E2-B20E5). Fuel 90: 98-103 (2011). 6. A.Z. Abdullah, B. Salamatinia, H. Mootabadi and S.Bhatia. Current status and policies on biodiesel industry in Malaysia as the world’s leading producer of palm oil. Energ. Policy 37: 5440-5448 (2009). 7. R.C. Christian, A.deC.Jr. João and L.S.José. Biodiesel CO2 emissions: A comparison with the main fuels in the Brazilian market. Fuel Process. Technol. 90:204-211 (2009). 8. M.C. Sérgio and A. Graciela. Aromatic hydrocarbons emissions in diesel and biodiesel exhaust. Atmos. Environ. 40: 6821-6826 (2006). 9. L.N.G. Lìlian, A.deP.P. Pedro, A.T. Ednildo, O.daR. Gisele and B.deA. Jailson. Carbonyl compounds emitted by a diesel engine fuelled with diesel and biodiesel-diesel blends: Sampling optimization and emissions profile. Atmos. Environ. 42: 8211-8218 (2008). 10. A.S.M.A. Haseeb, M.A. Fazal, M.I. Jahirul and H.H. Masjuki. Compatibility of automotive materials in biodiesel: A review. Fuel 90: 922-931 (2011). 11. I. Cumali, A. Selman, B. Rasim and A. Hüseyin. Biodiesel from safflower oil and its application in a diesel engine. Fuel Process. Technol. 92: 356-362 (2011). 12. K. Khalisanni, K. Khalizani, M.S. Rohani and P.O. Khalid. Analysis of waste cooking oil as raw material for biofuel production. Global J. Environ. Res. 2(2):81-83 (2008). 13. A.Mehdi and K. Hamid-Reza. Characterization and transesterification of Iranian bitter almond oil for biodiesel production. Appl. Energ. 88: 2377-2381 (2011). 14. K.B. Rajesh and P.O. Jeffrey. Heterogeneous catalytic transesterification of phosphatidylcholine. Bioresource Technol. 102: 1942-1946 (2011). 228


15. C. Amornmart, P. Nisarat and G.G.Jr. James. Kinetics of hydrotalcite catalyzed transesterification of tricaprylin and methanol for biodiesel synthesis. Chem. Eng. J., 168: 333340 (2011). 16. M.D. Zahir, S. Abdurrahman and O. Gulsen. Alkali catalyzed transesterification of safflower seed oil assisted by microwave irradiation Fuel Process. Technol. 92: 308-313 (2011). 17. I. Oguzhan. Dolomite as a heterogeneous catalyst for transesterification of canola oil. Fuel Process. Technol. 92: 452455 (2011). 18. J. Siddharth, M.P. Sharma and R. Shalini. Acid base catalyzed transesterification kinetics of waste cooking oil. Fuel Process. Technol. 92:32-38 (2011). 19. N.M.K. Ruzaimah, Y. Suzana, R. Umer. Optimization of polyol ester production by transesterification of Jatropha-based methyl ester with trimethylolpropane using Taguchi design of experiment. Fuel, 90: 2343-2345 (2011). 20. J.K. Mi, K. Mi-Young, O.Z. Kwon and S. Gon. Transesterification of vegetable oils over a phosphazenium hydroxide catalyst incorporated onto silica. Fuel Process. Technol., 92: 126-131 (2011). 21. K. Ritesh, G.R. Kumar and N. Chandrashekar. Microwave assisted alkali-catalyzed transesterification of Pongamia pinnata seed oil for biodiesel production. Bioresource Technol., 102: 6617-6620 (2011). 22. R. Romain, L. Ying, D. Brigitte, T.-R. Sophie and P. Laurent. On-line monitoring of the transesterification reaction between triglycerides and ethanol using near infrared spectroscopy combined with gas chromatography. Bioresource Technol., 102: 6702-6709 (2011). 23. P. Sivakumar, K. Anbarasu and S. Renganathan. Bio-diesel production by alkali catalyzed transesterification of dairy waste scum. Fuel 90: 147-151 (2011). 24. F. Shigeki, U. Yoshihiro and Y. Hiroshi. Variables affecting the reactivity of acid-catalyzed transesterification of vege-

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table oil with methanol. Bioresource Technol. 101: 33253332 (2010). J. Siddharth and M.P. Sharma. Kinetics of acid base catalyzed transesterification of Jatropha curcas oil. Bioresource Technol. 101: 7701-7706 (2010). F. Habib, I. Nasser and F. Soghra. Solid trichlorotitanium (IV) trifluoromethanesulfonate TiCl3(OTf) catalyzed efficient acylation of -OH and -SH: Direct esterification of alcohols with carboxylic acids and transesterification of alcohols with esters under neat conditions. J. Mol. Catal. A- Chem. 289: 61-68 (2008). L. Hyunjoo, J.K. Sung, S.A. Byoung, K.L. Won and S.K. Hoon. Role of sulfonic acids in the Sn-catalyzed transesterification of dimethyl carbonate with phenol. Catal. Today 87: 139-144 (2003). Y.C.L. Dennis, W. Xuan and M.K.H. Leung. A review on biodiesel production using catalyzed transesterification. Appl. Energ. 87: 1083-1095 (2010). E.L. Dora, G.G.Jr. James and A.B. David. Transesterification of triacetin with methanol on Nafion® acid resins. J. Catal. 245: 381-391 (2007). M. Xiaoling, L. Rongxiu and Y. Hongyan. Effective acidcatalyzed transesterification for biodiesel production. Energ. Conver. Manage. 50: 2680-2684 (2009). A. Andreina, F. Marco, F-L. Gloria, M.P. Jose and M.G. Jose. Kinetically controlled synthesis of monoglyceryl esters from chiral and prochiral acids methyl esters catalyzed by immobilized Rhizomucor miehei lipase. Bioresource Technol. 102: 507–512 (2011). C. Giovana, C.daS. Patrícia, L. Lindomar, J.O. Vladimir, T. Geciane, T. Helen, G.O. Enrique and deO. Débora. Ultrasound-assisted enzymatic transesterification of methyl benzoate and glycerol to 1-glyceryl benzoate in organic solvent. Enzyme Microb. Technol. 48: 169-174 (2011). A.P. Ríos, F.J.H. Fernández, D. Gómez, M. Rubio and G. Víllora. Biocatalytic transesterification of sunflower and

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waste cooking oils in ionic liquid media. Process Biochem. 46: 1475-1480 (2011). D. Junmin, H. Xianglin H, W. Dong and F. Cuiping. Rapid and efficient gas chromatographic method for measuring the kinetics of lipase-catalyzed transesterification of phosphatidylcholine. J. Mol. Catal. B: Enzym. 69: 103-106 (2011). S.K. Shiva and A. Patrick. Lipase-catalyzed synthesis and characterization of 1-butanoyl-2-palmitoyl phosphatidylcholine, a potential lipidic prodrug of butyric acid. Chem. Phys. Lipids 164: 246-250 (2011). D. Ayhan. Biodiesel from waste cooking oil via base-catalytic and supercritical methanol transesterification. Energ Conver. Manage. 50: 923-927 (2009). F. Masafumi, K. Takashi, S. Takashi, M. Tomoko, O. Tsutomu and H. Tadao. Transesterification of supercritical ethyl acetate by higher alcohol. J. Supercrit. Fluids 54: 231-236 (2010). G. Alessandro, S. Onofrio and T. Emanuele. Transesterification of rapeseed oil over acid resins promoted by supercritical carbon dioxide J. Supercrit. Fluids 56: 186-193 (2011). R. Karl, Q. Robert, B. Joe, L. Hu, D. Basil, T. James, B. Margaret, A. Gordon. Real-world comparison of probe vehicle emissions and fuel consumption using diesel and 5% biodiesel (B5) blend. Sci. Total Envir. 376: 267-284 (2007). O.S. Scott, E.L. Amy, M.B. Melissa, O.C. William and X. Xiaobo. A comparative analysis of performance and cost metrics associated with a diesel to biodiesel fleet transition. Energ. Policy 38: 7451-7456 (2010).

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PEDESTRIAN FACILITIES AND TRAFFIC MANAGEMENT CAUSED BY INAPPROPRIATE ACTIVITIES ON SIDEWALK AT CENTRAL BUSINESS DISTRICT IN CITY OF DEVELOPING COUNTRY A. Lasmini, A.K. Indriastuti Department of Civil Engineering, Faculty of Engineering, Brawijaya University (INDONESIA) E-mails: [email protected], [email protected]

ABSTRACT Walking is the most dominant mode on CBD where is taken place most of activities in big cities of developing countries. In big cities of Indonesia particularly Malang City, huge pedestrian population and poor pedestrian infrastructure force pedestrian to walk on roadway and contribute to the pedestrian accident increase. For this reason, it is necessary to propose appropriate sidewalk condition, identify black spot and to develop traffic. Most sidewalks have bad performance caused by its effective width less than 50%, even thought it contributes less influences in the service level of road. Several roads are as black spot due to insufficient width related o pedestrian volume passing on these roads. An effort from local government should be planned to relocate hawkers and widen the sidewalks in CBD, and coordinated with traffic management in some locations. Key words: pedestrian accident, pedestrian characteristics, pedestrian accident model, pedestrian safety, traffic management. 1. INTRODUCTION Walking is the main element of transportation in the city center. All activities in the city will affect each other (Dewar, 1992). Walking is one activity for assessing the vitality and viability of city 232


centers. A city with a high population growth commonly has a high population density. This situation results in the needs of infrastructure for facilitating all of the residents’ social-economic activities. It includes the needs of pedestrian’s infrastructure such as sidewalks, zebra crosses, and pedestrian bridges. The development of infrastructure of pedestrian should assure that the ideal condition of the pedestrian movement could be achieved. The ideal condition for pedestrian preference is safe, comfortable, smooth, and economical. Since the main factor which influences the pedestrian walking is safety, furthermore comfort, continuity, system coherence, level of congestion, convenience (Lasmini, 2006). The design and operation of infrastructure of pedestrian should also consider the pedestrian characteristics: speed, flow rate, and density of pedestrian. Location around the sidewalk affects potentially increasing the pedestrian. In some big cities in Indonesia, sidewalks do not attract pedestrians only, but they are also utilized by hawkers and vehicles, particularly for side parking of motorcycles. Increasing pedestrian flow together with rising obstacles on sidewalk such as five-foot seller (pedagang kaki lima/PKL/ hawker) and park (Ridwan, 2003). They use sidewalks area, and locate themselves on the sidewalks. The other activity is the parking for the motor cycles, and cars, and car’s movement out of or in to the parking lot. Those activities use most of the sidewalk area, so that they block pedestrian’s access to the sidewalk. This condition forces pedestrian to walk on the shoulder or lane of the road, which put pedestrians in a danger and uncomfortable circumstance. It was recorded that pedestrians are as the victims of traffic accidents approximately five percent (65%) during June-August 2003 at Blok M-Kota in Jakarta (Sumabrata, Rahma, 2003). Other researchers found that the decreasing effective width of the sidewalk due to parking and hawkers activities reached up to 100% at Agus Salim street (Semarang, Central Java) (Agung et al, 2001), and similar condition at Malioboro street, Yogyakarta (Nursyamsu & Fachrurrozy, 2000).

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This study presents the manner to improve safety for pedestrian movements and the road management in CBD of Malang Municipality as the case study. For this purpose, a proposed plan of sidewalk width suitable with pedestrian volume, in which it influences road performance will be presented. At the end of the study, requirements to identify black spot and traffic management at several roads in this CBD of Malang Municipality are designed and should be undertaken by local government.. 2. METHODS Malang City has several business and trading areas. Mostly are located at CBD where includes in Kidul Dalem and Kasin villages. In these areas, as many activities take place, the traffic volume is higher than that in other place as well as the pedestrian flow. The case areas are chosen at eight roads, that are, Aris Munandar St., Merdeka Timur St., Merdeka Utara St., Agus Salim St., Merdeka Barat St., Merdeka Selatan St., Wiryo Pranoto St., and Pasar Besar St. as seen at Figure 1. Each road has about 200 meters length and 1.5-2 meters sidewalk width. Most roads is used by many impediment activities which decrease effective width of the sidewalk. This condition forces pedestrians to walk on the roadway, as a consequence, it causes conflict with vehicle flow, increase delay and reduce pedestrian safety which is indicated by increase of accident with pedestrian as a victim. The method of the research is explained in Figure 2. The research mainly used primary data from a pedestrian and traffic counting survey, spot speed study and road inventory survey were held to support the analysis of sidewalk performance and service level of road. The secondary data was obtained from police and hospital to find out pedestrian accident rate and the location of back spot. The other secondary data are highway network and traffic volume, and detail of Malang City Land Use to assess road capacity and the level of service.

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Fig. 1 Study Area - 8 Places Citra on Central Business Bumi

District (CBD) of Malang Municipality

Fig. 2. Method of this research

The concept of an analysis method applied in this research covered three main steps as follow: 1. Pedestrian Characteristics 2. Sidewalk performance 235

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3. Traffic volume that describes exactly vehicle volume on the case area, side friction, and road geometry that indicates its capacity. The result is used for the service level of road analysis Road capacity analysis uses VCR method which determines level of service of each road as explained as follow (IHCM, 1997):

C = Co x FCw x FCsp x FCsf x FCcs

(1)

within C= real capacity( pcu/jam), Co= basic capacity (pcu/jam), FCW = road width factor, FCsp= factor of separated way, FCsf= side friction factor 4. Accident characteristics, that describes the accident characteristics in Malang municipality especially at CDB, such as level of accident fatality, type of accident, vehicle involved, accident time, characteristics of the drivers and victims (age, sex, and occupancy), etc. 5. Analysis of accident black-spots, that includes:

a. The calculation of accident rate: - Accident occurrence - Accident rate based on characteristics/rate of accident victims per kilometer, using the EAN (Equivalent Accident Number) EAN = W1*Fatality + W2*Seriously Injured + W3*Lightly Injured + W4 * Property Damage (2)

where W1, W2, W3 and W4 are the scaling value from Transport Research Laboratory/Institute of Road Engineering (TRL/IRE, 1997) and equal to 12, 3, 3 and 1 respectively; fatality, seriously injured, lightly injured and property damage are rate of accident victims based on its severity per kilometer. -Number of accident involved per 100 million vehicle kilometer (Rsc) Accident rate is defined as number of accident that is predicted to be occurred at a certain period based on the road 236


length and the traffic volume flowing on those segments every 100 millions vehicle kilometer. The equation of accident rate is given by: RSC =

 A *100,000,000 365 * ADT * T * L 

(3)

where Rsc is number of accident involved per 100 million vehicle kilometer, A is number of accident at the observation period, ADT is average daily traffic (in vehicle per day), T is observation period and L is road length (in kilometer). b. The determination of accident black-spot locations is based on assumptions: - The location has the highest accident number in its kilometer - The accident number correspond to the accident rate should exceed a value namely the upper limit. - The number of accident involved per 100 million vehicle kilometer should exceed the upper limit. The upper limit is obtained by the following equation: The upper limit = C + 3  C where C is the accident rate approximation (correspond to the observed accident rate, either EAN or Rsc). 6. Existing road and sidewalk condition, to identify road and sidewalk geometric as a recommendation input in pedestrian infrastructure and traffic management. 7. Improvement of road management which is designed based on the existing road service level and prediction its level within improvement pedestrian facilities. Intention to safety for pedestrian movements is based on the demand of pedestrian sidewalk related to pedestrian volume at peak hour.

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3. RESULTS 3.1. Pedestrian Characteristics Pedestrian characteristics are important factors in planning and design for their infrastructure. Their characteristics include sex, income, purpose of their trip, and transport mode to CBD. The characteristics of pedestrian at CBD of Malang municipality on weekend and weekdays are as follows: a. Most of pedestrian are female (more than 70% and on the weekdays, and more than 60% on the weekend) and the purpose of walking to CBD is for shopping of their daily needs (36.66% on the weekdays, 51.67% on the weekend). b. The pedestrians with age category between 16 and 25 years old are the biggest group in walking activities (69%). Regarding to this age category, most of the pedestrian are university students who often go around on Merdeka Utara and Wiryo Street since there are department stores on those streets. c. To reach the CBD area, most of pedestrians (66.7%) take public transportations. It means that to improve the performance of public transportations; a better pedestrian infrastructure may require. The improvement of public transportation and pedestrian infrastructures, for instance, by developing a pedestrian precinct or pedestrian mall at CBD area, could restore the image of the city centre and could decrease the automobile dependence. 3.2. Sidewalk Performance The presence of improper activities on sidewalk reduces sidewalk width and influences the sidewalk functions. Consequently, more pedestrian choose to walk on the shoulder or the left lane of carriageway. Table 3 and Table 4 show the sidewalk condition, namely, the geometric, obstacles, and also the number of pedestri-

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ans, whether they walk on sidewalk or walk on road shoulder or the left lane of carriageway. The obstacles on the sidewalks in the research location mostly are hawkers, pots, and access roads. The highest sidewalk width decrease are on Agus Salim Street (more than 80%) as center of shopping and business and offices) and Merdeka Barat (as religious center), meanwhile the lowest decrease is on Wiryo Pranoto (21%), as showed at Table 3. Due to the narrow effective sidewalk width, the number of pedestrian walking on road shoulder or the left lane of carriageway is high, about 29%-100%. As seen in Table 4, the highest number of pedestrian walking on road shoulder or the left lane of carriageway is happened on Merdeka Timur Street. The number of pedestrian in this location is quite high, while pedestrian way is blocked by the big pots and trees, and also the hawkers. The pots and trees are meant for esthetics and comfort, however, those elements become obstacles instead. On Aris Munandar Street, although the pedestrian number is not too extreme, but all pedestrian used the left lane of carriageway because of the inexistence of proper sidewalks. Tabel 3. Sidewalk Condition

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Table 4. Pedestrian Flow

3.3. Traffic Volume Traffic volume on the Merdeka Barat St., Merdeka Timur St., Merdeka Selatan St. and Merdeka Utara St. is 1,250.6, 3,276.2, 3,46.2, and 2,193.9 pcu/hour respectively. While the volume on Aris Munandar St., Wiryo Pranoto St., Agus Salim St., and pasar Besar St. is 1,006.2, 1,628.9, 1,047.8, and 1,650.2 pcu/hour respectively. These conditions were taken on peak hour, since pedestrian accident mostly happened on peak hour. The highest traffic volume occurred on Merdeka Timur St. at 18.00-19.00 pm (3,276.2 pcu/hour). There is an accumulation of vehicles which intend to go home and go shopping around CBD area. The lowest traffic volume equal to 297.2 pcu/hour occurred at 11.00-12.00 am on Merdeka Selatan St., since this is a one-way road with only one attractive land use. 3.4. Accident Characteristics of Pedestrian The characteristics data of accidents from general hospital and police in Malang municipality during five years (2003-2007) is included data of the number of accident, the types of vehicle involved, time of accident, sex of victims, and age of drivers. The accident characteristics which involve pedestrian as victim are as follows. 1) The total of accident at CBD which pedestrian is as victim is 28 incidents. Based on the severity of accident victims, there were 3.4% fatalities, 27.9% heavy-injured victims, and 62.1% light-injured 240


victims during years 2003 to 2007. And during five years, the fatality is only one incident on 2007. With light injured victim as the biggest accident, this term show that pedestrian accident is judged unimportance. So infrastructure for pedestrian is poor facilitation (68.2% pedestrian have opinion that infrastructure for them is not flat and narrow width). One of the factors cause accident is pedestrian use left lane of the road. This term is also revealed that pedestrian choose to walk at sidewalk only 31% from them (Lasmini et al, 2006). 2) The types of vehicle involved in accidents within pedestrian as victim are dominated by motorcycle (more than 50%), followed by car (15.3%), car (13.4%), and paratransit (11.5%). 3) As many as 67.85% pedestrian accidents occurred on weekdays, and the rest on weekends. Most of the accidents happened in the morning until afternoon (39.27% accidents occurred at 06.00-12.00 am and 32.13% occasions were at 12.00-18.00). In the evening, the accident occurrences decreased (21.42% accidents were at 18.00-24.00 and whilst the rest happened at 00.00-06.00). 4) Most of the drivers involved in the crashes during 20032007 were male (96.1%). Psychologically, male are more careless such as speeding, overtaking, or unfit physical condition. The younger drivers (17-25 years old) tend to be the highest proportion (33.9%), followed by the 26-35 cluster (28.9%) and 36-45 cluster (23.4%). The group of 17-25 years old is generally active, but careless and demonstrative. This group may have more opportunity for various occupation and activities, so that they have higher mobility than others. 5) The dominant accident victims were female (57.12%) because more than 70% pedestrian were also female who go around CBD to fulfill daily needs. They were from the group of age more than 45 years old. This reveals that this group is non productive person, so they walk slowly and less attention while walking at left lane of the road. 241

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3.5. Analysis of Accident Rate and Black-spots Black-spots are determined based on the accident occurrence rate, accident rate (EAN) and number of accident involved per 100 million vehicle kilometer (Rsc). A segment would be categorized as a black-spot if one of the indicators exceeds their upper limits. From data analysis, the highest pedestrian accident is occurred on Merdeka Utara and Pasar Besar streets. The number of pedestrian fatalities on Merdeka Utara and Pasar Besar streets are high, so that the accident rate is high on both streets, as shown by the EAN equals to18 and 12, respectively (see Table 5). The highest pedestrian accident per 100 million vehicle kilometer (Rsc) is found on Merdeka Selatan street due to the road has low traffic volume (346.20 pcu/day) so that it enable the car drivers do a speeding. The analysis of the black-spots resulted that there are 2 blackspot locations at CBD area from the data during the period of 20032007. The black-spots are occurred on Merdeka Utara and Pasar Besar streets. The other places such as Merdeka Selatan and Aris Munandar streets have a high Rsc, so that these places are also judged as potential black-spot area. The determination of black-spot area is also supported by the pedestrian opinions about the location where they advice to be careful in walking. The potential black-spot locations, according to the pedestrian opinions, are the east and west side of Pasar Besar, Merdeka Timur and Merdeka Utara streets. At these locations, the sidewalk width is less than 2 meter. In addition, these streets has high traffic volume (more than 1,650 pcu/hour on off-peak hour), high side friction caused by car park and so forth (more than 1000 cases/hour/200 meter), and high pedestrian flow (more than 500 pedestrian/hour on off-peak hour). Table 5 presents the determination of the ranking of black-spot locations on each road at CBD area.

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Table 5. Result Analysis for Determining Black-spot Location

Streets

Distance (m)

Total of Pedestrian accident

EAN

upper limit

R sc 100 million vehicle km

R sc 100 million vehicle km

Black spot

Merdeka Utara

150

4

18

8.846

332.996

156.146

Merdeka Timur

200

2

6

8.846

83.63

156.146

Merdeka Barat

160

1

3

8.846

136.877

156.146

Merdeka Selatan

160

1

3

8.846

494.893

156.146

Wiryo Pranoto

200

1

3

8.846

84.092

156.146

Agus Salim

200

2

6

8.846

261.424

156.146

Pasar Besar

200

4

12

8.846

332.088

156.146

2

Aris Munandar

150

2

6

8.846

363.118

156.146

4

3.6. Road and Sidewalk Condition 3.6.1. Road Condition The road condition is described by level of service (LoS) and average journey speed, as presented on Tables 6 and 7, analyzed by IHCM method. Table 1 shows the LoS of the roads with two side friction scenarios in capacity calculation: (1) counting all type of side friction (pedestrian, parking and stopping vehicle, un-motorized vehicle, and vehicle accessing building) and (2) counting only pedestrian as side friction. The result is that the performance of the roads in case area was mostly in good level, except on Merdeka Timur St. and Pasar Besar St. On both roads, there are significant differences of LoS on peak and off-peak hour. On Merdeka Timur St., there is a department store which attracts visitors and other type of side frictions. The consequences are that the traffic volume is higher on peak time and the road capacity is higher on off-peak time, and they, consequently, raise the road performance significantly. While on Pasar Besar St., there is a market that is only concentrated in the morning up to afternoon, so that on peak time traffic volume is much higher, but there is no difference in capacity on peak and off-peak time, so that the road performance increases, but not as significantly as Merdeka Timur St. On other locations, there are no significant differences between peak and off-peak time. 243

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One interesting finding is that there is no significant difference in capacity value between the two scenarios, both in peak and offpeak hour. This means that pedestrian takes big part as side friction, but in IHCM method, this variable only weighted 0.7, which is lower than parking and stopping vehicle (weighted 1) and vehicle accessing building (weighted 0.7), and a little higher than un-motorized vehicle (weighted 0.4). From Table 7, the lowest speed on peak time is 12.66 km/hour on Pasar Besar St. and the highest is 25.4 km/hour on Merdeka Timur St. On Pasar Besar St. and Agus Salim St., the speeds are relatively low because of the combination of several types of side frictions. The narrow effective width of sidewalk (only 17 to 40% of the existing width of sidewalk) on both streets forced the pedestrians to walk on the roadway and became side friction (Lasmini et al, 2006). As a result, the vehicles passing those streets experienced long delay and low travel speed. Table 6. LoS of the roads with two side friction scenarios

Note: (1) Aris Munandar St., (2) Merdeka Timur St., (3) Merdeka Utara St., (4) Agus Salim St., (5) Merdeka Barat St., (6) Merdeka Selatan St., (7) Wiryo Pranoto St., (8) Pasar Besar St.

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Table 7. Journey speed of the roads

Note: (1) Aris Munandar St., (2) Merdeka Timur St., (3) Merdeka Utara St., (4) Agus Salim St., (5) Merdeka Barat St., (6) Merdeka Selatan St., (7) Wiryo Pranoto St., (8) Pasar Besar St.

3.6.2. Sidewalk Condition The sidewalk condition is presented in Table 8. The presence of improper activities (hawkers, trees, etc) on sidewalk reduces sidewalk width and forces pedestrian to walk on roadway rather than on sidewalk. Those roads which are used by pedestrian to walk on are potential for pedestrian accident occurrence. Table 8. Sidewalk condition

In addition, according to the respondents, pedestrian infrastructure quality in CBD of Malang City is poor (68.2% pedestrian have opinion that pedestrian infrastructure are narrow and not smooth). With the existence of improper activities on the sidewalks, pedestrian choose to walk on the roadway. Only 31% respondents choose to walk at sidewalk (Lasmini et al, 2006).

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3.7. Pedestrian Infrastructure and Traffic Management in Malang CBD Considering the function of sidewalk and traffic pattern, some roads must be limited for automobile movement. The remaining space of the right of way will be facilitated for better pedestrian infrastructure, such as pedestrian precinct or pedestrian mall. Considering that the sidewalk LoS in CBD, the sidewalk performance in CBD; in Agus Salim, Merdeka Timur, and Pasar Besar are worst, it is necessary to widen the sidewalk width to accommodate pedestrian volume. Thus, the traffic needs to be re-arranged, due to the adjustment. Pedestrian infrastructure and traffic management in three areas mentioned are shown on the sketches in Figure 3 to Figure 5.

Fig. 3. Pedestrian infrastructure and traffic management in Agus Salim The existing road in Agus Salim Street was two lanes for vehicles each 3.25 m wide, with 1 m pedestrian path in both sides. In order to accommodate the pedestrians (3,128 ped/h), and consider the traffic volume slightly high (1,048 pcu/h), this study suggests to widen the pedestrian path. This condition will lessen the number of road lane.

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Fig. 4. Pedestrian infrastructure and traffic management in Merdeka Timur The existing road in the northern Merdeka Timur Street was three lanes each 3.75 m wide, with 0.9 m pedestrian path in both sides. Two lanes were for the north-bound journey and one lane was for the south-bound. Due to the pedestrian volume (2,232 ped/h) and traffic volume (3,276 pcu/h), this study also suggests widening the pedestrian path. This condition will also lessen the number of road lanes. Since traffic volume at the south-bound was slightly high, it is recommended for the route alteration from Aris Munandar Street to Mgr. Sugito, Merdeka Barat and Merdeka Utara, and finally to the southern Merdeka Timur. A lay-by-lay bus stop must be prepared for paratransit access, to load and unload passengers, so the traffic flow will not be blocked by these activities.

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Fig. 5. Pedestrian infrastructure and traffic management in Pasar Besar

The existing road in Pasar Besar Street has two lanes each 4.00 m width, with 0.85 m pedestrian path in both sides. Due to the pedestrian volume (1,292 ped/h) and traffic volume (1,650 pcu/h), this study proposed to widen the pedestrian path. This condition will affect to the lessening road lane width. 4. CONCLUSIONS This paper identified and evaluated the factors contributing pedestrian accidents in order to produce a solution that could improve the pedestrian safety. A comprehensive evaluation was performed in this study, starting with the calculation of traffic volume of the roads on the case area, the identification of road and sidewalk condition, the development of pedestrian accident model that predict the factors influencing pedestrian accidents and planning the traffic management surrounding the CBD. The presence of improper activities (hawkers, trees, etc) on sidewalk reduces sidewalk width and forces pedestrian to walk on roadway rather than on sidewalk. Those roads which are used by pedestrian to walk on are potential for pedestrian accident incident. From the road condition analysis, one interesting founding is that no significant differences in capacity value between two side friction scenarios: all type side friction and only pedestrian as side friction, both in peak and off-peak hour. This means that pedestrian

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takes big part as side friction, although in IHCM method this variable only weighted lower than other side friction variables. A model of pedestrian accident was also developed in this study. The model was affected by two influencing factors, sidewalk width and type of lane road. The utility function in the model predicted that the possibility of the pedestrian accidents was high, especially on road without median and having narrow sidewalk width and less of lane road. Local government plans to relocate hawkers and widen the sidewalks in CBD, and this should be coordinated with traffic management in some locations. Considering the function of sidewalk and traffic pattern, some roads are limited for automobile movement. The rest space of the right of way will be facilitated for better pedestrian infrastructure, such as pedestrian precinct or pedestrian mall. This research recommends that local government should conduct better pedestrian infrastructures especially sidewalk at CBD of Malang City. The quality improvement and management of pedestrian infrastructures should accommodate pedestrian volume on limited land. This policy must be in line with traffic mmanagement on the area. ACKNOWLEDGEMENTS The authors would like to thank the following government agencies for their support: 1. Department of Research and Community Service, University of Brawijaya for the facilitations of accomplishing this research and monitoring the progress achieved. 2. Department of General Higher Education (DIKTI) for funding of this research during 2007-2008 REFERENCES 1. Abbess C. Jarrett D. and Wright C.C., 1981, Accidents at Black-spots: Estimating the Effectiveness of Remedial Treatment with Special Reference to Regression-to-mean 249

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2.

3. 4.

5.

6.

7.

8.

Effect, Traffic Engineering and Control, 22(10), 1981, pp. 535-543 Agung I., Saputro N. and Setijowarno, 2001, Analysis of the Use of Sidewalks for Pedestrians (Case study: Agus Salim street - Semarang), Proceeding of the 4th National Symposium of Inter-University Transportation Studies Forum (FSTPT), Udayana University, Bali (in Bahasa Indonesia). Department of Public Works, Republic of Indonesia, 1997, Indonesia Highway Capacity Manual (IHCM), Indonesia. Lasmini A and A.K. Indriastuti, 2006, The Influence of Other Activities on Sidewalks towards the Level of service of pedestiran infrastructure and roads, Journal of FSTPT (Forum Studi Transportasi Antar Perguruan Tinggi), Volume 6, No. 1 (in Bahasa Indonesia). Lasmini A. and Hokao, 2006, An Analysis of the Impediment to Pedestrian Walking: A Case Study in Malang City, Indonesia, Proceeding of the International Symposium on Lowland Technology, September 14-16, 2006, Saga, Japan. Lasmini A. and A.K. Indriastuti, 2009, Contributing Factors to Pedestrian Accident Characteristics: Case Study Business District of Malang Municipality, Indonesia, 6th Asia Pacific Conference Transportation and Environment (6th APTE 2009), 18-20 March 2009, Shanghai, China. Nursyamsu dan Fachrurrozy (2000) Pengaruh Prsarana Pejalan Kaki Terhadap Karakteristik Pejalan Kaki (Studi Kasus Di Jalan Malioboro, Yogyakarta, Proceeding of the 3rd National Symposium of Inter-University Transportation Studies Forum (FSTPT ). Sumabrata and rahmah a. (2003) behavior of transportation system in jakarta, SPEKTRUM online, volume 3. (In Bahasa Indonesia)

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IMPACT OF SOFTWARE AND HARDWARE TECHNOLOGIES ON GREEN COMPUTING Khaled Smaili, Seifedine Kadry Lebanese University, Faculty of Sciences (LEBANON) E-mails: [email protected], [email protected]

ABSTRACT In 2008, Murugesan [1] has defined Green computing or Green IT by the study and practice of designing, manufacturing, using, and disposing of computers, servers, and associated subsystems - such as monitors, printers, storage devices, and networking and communications systems - efficiently and effectively with minimal or no impact on the environment. Recently, many researches are conducted to study the basic component impact of the IT systems to the environment and how to improve the usage of these components in order to reduce their pollution, maximize their energy efficiency during the product's lifetime, and promote their recyclability. Based on the study of Ruth [2,3], 3% of global energy, i.e. 111 Tera Watts, is conducting by information technology systems: software, Hardware and communications. You may think that 3% percent is a negligible value, but sooner or later the green computing will be an integral and important part of the wider green association. The good news is that awareness is the first part of positive change, and you’ll have lots of opportunity for that in this chapter. Therefore, the goal of this chapter is to study the influence of the IT system components: hardware, software and some case studies to the environment and how to use them resourcefully in addition to some recommendations. Key words: ımpact of software, green computing, communications systems, IT, hardware and communications

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1. INTRODUCTION 1.1. History of Green Computing The story of the green computing goes back to 1992, when the U.S. environmental protection agency [7] launched the Energy Star program [8]. Energy Star served as a kind of voluntary label awarded to computing products that succeeded in minimizing use of energy while maximizing efficiency. Energy Star applied to products like computer monitors, television sets and temperature control devices like refrigerators, air conditioners, and similar items. One of the first results of green computing was the sleep mode option of computer monitors which places a consumer's electronic equipment on standby mode when a pre-set period of time passes when user activity is not detected. In parallel, the Swedish organization TCO Development (Tjänstemännens Centralorganisation) [9] launched the TCO Certification program to promote low magnetic and electrical emissions from CRT-based computer displays. As the concept developed, green computing began to encompass thin client solutions, energy cost accounting, virtualization practices, etc. Actually, the entire green field came goes a few years back when the news that the environment was not a renewable resource really hit home and people started realizing that they had to do their part to protect the environment. 2. THE BAD EFFECT OF THE COMPUTER AND IT TO THE ENVİRONMENT The quantity of electronic products unwanted globally, i.e. ewaste, has been increased recently, with 25-55 million tones generated every year. Greenpeace [10] claims: if the estimated amount of e-waste generated every year would be put into containers on a train it would go once around the world! Some important information about the e-waste:

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 Much of the e-waste ends up in countries like China, India, Pakistan, Ghana and Nigeria.  E-Waste is dangerous due to the many heavy metals like and hazardous chemicals that make up the electronic devices. Heavy Metals like: lead, mercury, cadmium, and beryllium.  Polluting PVC plastic (PVC stands for polyvinyl chloride or vinyl is the worst plastic from an environmental health perspective) is also commonly found in e-waste.  About 70% of office waste is made of paper and most of the paper waste is a result of unnecessary printing of files and emails. Obviously, like other electronic devices, computers require power. Currently the norm to generate power is still the coal power plants which is not environmentally-friendly or eco-friendly. In addition the computer components often contain large amounts of lead and mercury. When inappropriately disposed of, these toxic materials can leech into soil and water supplies. Newer components are usually manufactured to meet RoHs standards (Restriction of the use of certain Hazardous Substances. As of July 2006 this directive became law, restricting the use of six substances in electrical and electronic equipment (EEE) sold within and to the European Union (EU) countries.), meaning they will contain far less lead and mercury, and less toxic materials will be used to etch the electronic traces in the boards. According to a report published by the Climate Group [11], a think-tank based in London, computers, printers, mobile phones and the widgets that accompany them account for the emission of 830m tones of carbon dioxide around the world in 2010. That is about 2.2% of the estimated total of emissions from human activity. And that is the same as the aviation industry’s contribution. According to the report, about a quarter of the emissions in question are generated by the manufacture of computers and so forth. The rest come from their use. 253

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The same report estimates that the spread of computers will increase these associated emissions by about 6% a year until 2020, when one person in three will own a personal computer, half will have a mobile phone and one household in 20 will have a broadband internet connection. Yet computing can also be used to tackle climate change. For example, domestic consumption could be cut by the large-scale employment of smart meters in houses and flats. Households are the biggest users of electricity after manufacturing and transport. In Britain, they accounted for 29% of consumption in 2004, according to a government 3. COMPUTER COMPONENTS AND RESOURCES The main contributor of the type of CO2, that we want to reduce it, is the fossil fuels that we burn to generate energy. Materials we use for manufacturing burn some kind of fossil fuel. Fossil fuel consumption has increased over the last 60 years. These fossil fuels can be recognized as:  Oil  Coal  Natural gas The following figures, from the Institute for Energy Research [12], show a sample on the production and usage of the energy in the united state. As we can see, fossil fuels are the most abundantly produced resources, and electricity gets the lion’s share of use. That’s a great reason to get serious about reducing our carbon footprint! 50% of all the electricity used in the U.S. comes from burning coal, in addition coal is a nonrenewable energy source (meaning, when it’s gone, it’s gone), and is dirty when it burns, it pumps bad stuff into the air, adding to global warming, creating acid rain, and polluting water.

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Where energy comes from

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As we said previously, half of the electricity generated comes from coal, where coal is the major contributors to the CO2 pumping into the atmosphere. In this section, we will study in details the components of computer system: software and hardware and how to green each one by reducing their electricity usage. The basic question to start analyzing our carbon (electricity) fingerprint is: how many laptops, computers, printers, scanners, sets of speakers, game consoles, and more are in your house/office? Also, take a closer look at when you bought those items and whether they’re Energy Star certified (ENERGY STAR is a government-backed program helping businesses and individuals save energy and fight climate change [8]). We can use the following table to get started: Component

Manufacturer

Model

Year purchased

Energy star?

How many?

Laptop Desktop Monitor Router Printer Scanner Digital cam Speakers

After we fill the previous table, we can use the following table to find our average power consumption: Component Laptop Desktop Monitor Router Printer Scanner Digital cam Speakers

Average power consumption (watts) 22 100 50-150 6 12 (inkjet) – 100 (laser) 3.5 – 21 26 7

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These are general estimates, but some computer uses different amounts of energy depending on what it’s doing. If the computer or peripheral device is in Sleep mode, for example, it consumes less power than a printer pumping out a 20-page report. If we take our computer equipment only may not break the bank in terms of energy expense, but when we add up all your tech equipment (that’s right, desktops, laptops, digital cameras, printers, MP3 players, game consoles, and more) and then add our neighbor’s tech items, and their neighbor’s, and our whole city, state, region... we get the idea. A little savings can mean a lot, if those little savings are made to scale. We really are cutting back on CO2 when we conserve power. We can reduce carbon emissions by as much as 67 kg per desktop per year when we just shut it down when it’s not in use. If 10,000 people decide to do this regularly, that keeps 600 tons of CO2 out of the atmosphere! The three biggest energy consumption components in the computer system are: the CPU (central processing unit or microprocessor that is the brain of the whole machine), the graphics card, and the monitor. Two others components may influence saving energy consumption: RAM and Printer. CPU: functionality, pollution and how to greening it Some computer systems, it may be possible to change the computer’s Basic Input / Output System (BIOS) so that the CPU (central processing unit) functions at a minimal power level. The computer manufacturer determines whether you can control those settings. Personally, I chose the Intel Core 2 Duo E6700 processor [13]. This CPU runs 42 percent faster (per SYSmark 2004 SE scores) than the Intel Pentium D 960 yet consumes 40 percent less energy. According to an Intel study (available at Intel's Capabilities Forum site), the E6700 costs just $13.94 in energy to run every workday for a year, compared with $23.48 for the Pentium D. The CPU uses Wide Dynamic Execution (hence there are more instructions per clock cycle) and Advanced Smart Cache (to make sure that 257

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more executions are completed) and therefore uses less energy to do the same tasks. The CPU can also enter a deep-sleep state that uses less than 5 watts or a hibernation state that uses less than 3 watts - the best ever for Intel. VGA: functionality, pollution and how to greening it

The video graphics card (VGA) in the system is a big power draw - in some cases requiring up to a 750- watt power supply to keep things moving. The graphics card has a lot of work to do; turning bits of information into the image you see and interact with on the screen. The graphics card displays everything visible - text, images, buttons, game characters, animations; but it’s all just moving dots on a screen. The graphics card works hand-in-hand with the monitor, converting the data into information that’s displayed on the screen. Different graphics cards have different capabilities. The processing power and cooling system of the card have a big impact on the card’s energy efficiency and life. Knowing the minimum system requirements for a graphics card is helpful because the system requirements indicate how much peak power the graphics card will use. Read the specs, when you’re considering a new video card, to find out about its energy consumption habits.

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Monitor: functionality, pollution and how to greening it

Early monitors - those old cathode-ray tube (CRT) displays that took up half of your desktop - slurped up a huge percentage of the total wattage your computer needed. Today’s monitors are considerably more energy-efficient, smaller, lighter, and better in just about every sense of the word (including the display technology and screen resolution). Monitor manufacturers take the Energy Star seriously and live up to its standards. But one misconception is that any monitor that is Energy Star approved comes configured with energy-saving features already in place. In fact, the opposite is true your Energy Star monitor has energy-saving features, but you’ll need to consult the manual (sorry) either in the box or on the CD with the monitor’s drivers to find out how to make the display as energy-efficient as possible. Here are a few ideas for saving energy that might otherwise shine out through the monitor’s face:  Turn it off, when we don’t need it.  Don’t use a screen saver. It wastes energy and can mess up fast recovery from Sleep mode.  Consider upgrading the monitor to be more saved energy. CRT (which stands for cathode ray tube) monitors are still sold today, even they consume a lot of energy and pump out a lot of 259

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heat. CRT monitors offer high quality and a level of flexibility, clear resolution whether we look at the monitor from the side or spot on. Some CRTs are also lower cost than LCDs, at least initially; but LCDs live longer, use less energy, and radiate a lot less heat - all of which add up to some extra green. LCD (which stands for liquid crystal display) monitors are smaller and more compact, uses considerably less energy, and don’t ramp up the heat in our office. Monitors for home use have, on average, 15- to 20-inch screens. Some popular LCD manufacturers include Acer, Asus, HP, Samsung, and Sony. Trading in the CRT for the LCD is an easy place to start when we want to make a big impact on our power bottom line. The CRT may slurp down 100 watts of power all by itself, but the threat to the environment doesn’t stop there. CRT monitors may contain up to five different toxic substances: lead, mercury, barium, cadmium, and phosphorous. Dumped in a landfill or burned in a village, these elements can leach into groundwater or be released into the air. RAM: functionality, pollution and how to greening it RAM (Random Access Memory) stores the programs and files you open and work with during a single work session. When you turn the computer off, whatever is stored in RAM goes away (the actual program and your saved data file remain in storage on your hard disk, however). Computers that don’t have enough RAM run slowly and spend a substantial amount of time retrieving information and updating memory; this causes more processing and increases wear and tear on the system. Adding RAM to the computer can help speed up things and reduce the amount of energy the computer consumes because it won’t be forever churning away, paging through programs and data, trying to swap important things in and out of the available memory space. In addition to that, there is a types of RAM are lead-free, i.e. more greener.

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Lead-free RAM. Printer: functionality, pollution and how to greening it The printer uses less energy than monitor but still consumes its share. Here are some rough figures that give us a general idea of the operating costs, in kilowatt-hours (kWh), of various printers:  A small inkjet printer uses about 156 kWh per year.  A medium inkjet printer uses 184 kWh annually.  A small laser printer jumps to 1,173 kWh per year.  A medium laser printer weighs in at 1,568 kWh per year.  A small multifunction printer (with scanning, copying, and faxing capabilities) uses only 119 kWh per year.  A medium multifunction printer uses 171 kWh per year For instance, the new multifunction printers from HewlettPackard (HP): a Photosmart C6380 multifunction printer [14], according to HP, requires a maximum of 42 watts, 5.2 watts while 261

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sleeping, 6.6 watts while in the ready state (ready to print, but not printing), 0.6 watts when turned off, and 24 watts while active or printing. As we can see based on these estimates, the printer we choose really does make a difference, both in the CO2 you’re pumping out and the cost. The multifunction printers - devices that do printing, copying, scanning, and sometimes faxing - really save a whopping amount of wattage. For that reason, if we can pack two devices that we need into one (such as a scanner and printer), we reduce our power consumption dramatically, so we recommend the multifunction printers. Here are some questions to ask when you’re considering a new green multifunction printer purchase:  Is the printer Energy Star compliant?  What functions does it offer?  Does it offer duplex printing?  How fast does it print?  Does it use inkjet or toner cartridges? Inkjet cartridges are generally better because they require less oil. To qualify for the Energy Star certification, a printer needs to meet the following standards:  It must demonstrate a 25 percent energy savings compared with conventional models.  It must be able to print double-sided pages. Some recommendations to green printer:  Keep the printer unplugged until you need it.  Use recycled paper and recycled (or soy-based) ink cartridges.  Proofread and preview your document before you print it.  Do a test print. When you have to print multiple copies of something, print one first to make sure it looks right before printing the whole job.  Print only the pages you need. If you need only the table on page 2 in a 20-page document, just print that page.

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 Go electronic. Send documents by e-mail, in PDF format, whenever possible. Don’t print e-mail messages you receive. Save them electronically and include them in your regular backups. Fight the temptation to print Web pages; instead, save them to your Favorites folder.  Make the page bigger. The margins of your document are probably set by default to 1.25 inches, all around the page. You can reduce the size of the margins to 1 inch and fit more words on the page.  Change your type, change your life. Change the font and reduce the size to create a more compact document that is still readable.  Turn any paper forms you use into electronic forms. You can easily do this in Word 2007 and there are a number of free online Web-form tools you can use as well. Case studies C1) use thin client instead of desktop PC

In these times of economic uncertainty, businesses need to think about how to maximize profits - not just by increasing sales, but also by minimizing costs wherever possible. A major cost of running a business in the modern economy comes from supporting a 263

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business’ information technology (IT) infrastructure. With thousands of computers, hundreds of servers, dozens of software applications, and the energy to power the computers and a fulltime IT staff to keep things running, businesses spend millions of dollars on IT each year. Probably the most well-known and expensive part of this infrastructure is the personal computer (PC). The purpose of this case study is to quantify one such cost and how to reduce it by replacing, if possible, PC with thin client, which in turn reduces the pollution. Energy consumption is a major concern for businesses and the global population as a whole, and an important part of a bigger IT concern called total cost of ownership (TCO). One way to reduce TCO is to use server-based computing, a computing model in which applications run on a central back-end server and are displayed on desktop devices. A single server can support dozens of devices. Server based computing reduces TCO in several ways. It allows network administrators to maintain applications on a single server or small group of servers instead of on every desktop device. It allows access to application suites from any device connected to the server without having to install the applications on each individual device. Both PCs and thin clients can be used in a server-based computing environment; however thin clients are the preferred desktops for server-based computing. Thin-client devices are simple computers designed to run applications from a central server. For example, both PCs and thin clients display the same commonly used Windows desktop interface to the end-user, and have the same features such as keyboard, mouse, serial and parallel ports and network connectivity. At the same time, thin clients are very different. They have lower microprocessor requirements and lower memory requirements than PCs while providing an identical end-user experience. Thin clients are literally smaller, some the size of a CD case, and most lack removable drives (or any drives), making it impossible for those using them to steal electronic data on floppy disk or introduce viruses to the network. There are many more benefits, but in short, thin-client devices are designed to cost less than PCs to run and maintain.

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Using thin client devices with server-based computing reduces TCO even more than server-based computing with PCs. An additional factor makes thin-client devices even more attractive than PCs: they use significantly less power. In this case study, we compare a Wyse Winterm 3200LE Windows-based thin clients [15] (intended for those using office productivity applications) and desktop PC (1.5 GHz with 512MB RAM). The following table represents the power requirements for networks using thin client devices/PC with monitors: Client device type 3200 PC

Single unit 90 watts 170 watts

100 computers 9200 watts 17000 watts

5000 computers 460000 watts 850000 watts

We can use the following formula to compute the computer energy consumption: n  p  h  52 = the number of kWh the computers use each year, where: n: is the number of desktop/thin client devices p: is the power (in kilowatts) used by each device h: is the number of hours each week that the devices are turned on 52 is the number of weeks in a year Multiply the result by the power costs in a given region, and businesses can see how a change in power consumption of desktop/thin client devices affects the amount of money spent each year on power. For example, assume that a network has 5,000 clients and those clients are on 50 hours a week. If these clients are PCs, then they’re using 2,210,000 kilowatt-hours each year. At 0.20 per kilowatt-hour, that comes to $442,000 to power the devices each year. Make those devices the Wyse Winterm 3200LE, however, and the numbers drop significantly: those 5,000 devices use 460,000 kilowatts each year for an annual cost of $92,000 - one-fourth the cost of powering the PCs. It is possible to lower the power consumption costs of computing environments through the use of desktop monitors that consume less power; however the cost savings are minimal in comparison to changing from a PC to a thin-client 265

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environment. Based on this result, it is clear that thin-client devices are more energy-efficient than personal computers, with some models using 85 percent less power than their PC rivals in real world environments. This energy efficiency translates into significant, measurable cost savings for businesses both in the short term and the long term. C3) Energy savings in large distributed systems The problem of energy savings in the mobile distributed systems and battery-constrained systems has been a matter of concern since a long time. However, for large-scale non mobile distributed systems, which nowadays reach impressive sizes, the energy dimension (electrical consumption) just starts to be taken into account. On this case study [4], the authors describe the energy analysis consumption of experimental Grids by relying on the case study of Grid5000, a French experimental Grid. Based on this analysis, we describe the proposed GREEN-NET software framework which allows energy savings at large scale. Figure 1 presents the GREENNET framework with the main three components: • an Energy Aware Resource Infrastructure (EARI) which collects energy logs from distributed autonomic energy sensors. EARI enforces Green decisions to the scheduler and requests some network presence decisions to the Network Presence Proxies. Moreover, EARI proposes some “Green advices” to the Grid end users; • an adapted Resource Management System (OAR) which provides: a workload prediction module for automatic node shut down during cluster ’underutilization’ periods and a new Power Saving type of jobs for device energy conservation. • a trust evaluation component: when some nodes are switched OFF for energy reduction choices, this component evaluates and chooses trusted target Network Presence Proxies where basic services can be migrated.

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Fig. 1. The GREEN-NET framework Lots of computing and networking equipments are concerned by overall observations on the waste of energy: PCs, switches, routers, servers, etc, because they remain fully powered-on during idle periods. In a grid context, different policies can be applied depending on the level of savings: node level, data center level or network level. The Grid5000 platform is an experimental testbed for research in grid computing which owns more than 3400 processors geographically distributed in 9 sites in France. This platform can be defined as highly reconfigurable, controllable and monitor able experimental Grid equipment. Its utilization is specific: each user can reserve in advance some nodes and use them as super user in order to deploy his own system image. The node is entirely dedicated to the user during his reservation. So Grid5000 is different from an operational Grid (exclusive usage, deployment, etc.), but the energy issue is still the same and we can propose solutions which fit for both experimental and operational Grids as well. Currently, we are monitoring 18 nodes on Grid5000: 6 in Lyon, 6 in Toulouse and 6 in Grenoble. The electric consumption of these nodes is available in live on line with some graphs as shown in Figure 3. A one data per second for each node is collected and provided different views (hour, day, week, month and year) for each node. This monitoring allows conducting power experiments between these three sites.

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EARI model: In order to reduce the electric consumption, an Energy-Aware Reservation Infrastructure (EARI) has been designed. The global idea is to design an infrastructure that works like a garbage collector: it switches off the unused nodes, and switches them on again when a user makes a reservation on them. A reservation is a reservation of some resources by a user during a certain period of time. The developed infrastructure is based on three ideas: • To switch off the unused resources; • To predict the next reservation; • To aggregate the reservations. The goal is to predict the next reservation in order not to switch off resources that will be used in a really near future. Indeed, such a behavior would consume more energy than keeping the resources powered on. A variable Ts is defined as the minimum time which ensures an energy saving if it turns off a resource compared to the used energy we use if it powered on. We need to define an imminent reservation: it is a reservation that will start in less than Ts seconds in relation to the present time. So the infrastructure maintains an agenda of the reservations. They use average values of the last few reservations. The reservations are also aggregate in order to avoid frequent switching between off and on. Aggregate means to “glue” the reservations in terms of time and resources. So, when a reservation will arrive, it we place it after or before (in terms of time) a reservation which is in the agenda. In order to do that and by assuming that the user gives a wished start time, six different policies are defined: • user: we always select the solution that fits the most with the user’s demand (we select the date asked by the user or the nearest possible one); • fully-green: we always select the solution that saves the most energy (where we need to boot and to shut down the smallest number of resources);

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• 25%-green: we treat 25% of the submissions, taken at random, with the previous fully-green policy and the remaining ones with the user policy; • 50%-green: we treat 50% of the submissions, taken at random, with the fully-green policy and the others with the user policy; • 75%-green: we treat 75% of the submissions, taken at random, with the fully-green policy and the others with the user policy; • deadlined: we use the fully-green policy if it doesn’t delay the reservation from the initial user’s demand for more than 24 hours, otherwise we use the user policy. So, we expect that the fully-green policy is the most energy efficient (ie. consumes the less). This case study presents a first step to better understand the usage of large-scale distributed systems and to propose methods and energy-aware tools to reduce the energy consumption in such systems. The GREEN-NET framework is based on 3 distinct software components: • A ON/OFF model which includes prediction heuristics and green advice for the users and takes the decision to switch on or off the nodes; • An adapted energy efficient Resource Management System ; • A trust delegation framework which allows proxying techniques to ensure the network presence of the sleeping nodes. Case 3) the energy consumption in Torrent systems with malicious content BitTorrent implements an unstructured overlay network customized for file sharing. In the BitTorrent terminology nodes of the overlay are called peers and the collection of peers involved in the distribution of a given file is called a torrent or swarm. The basic idea of BitTorrent is that peers both download and upload (equal-size) chunks of the shared files1. This results in the fact that each peer downloads a given file from a multitude of other peers, instead of downloading it from a single server as in a conventional client-server model. The resulting capacity of such cooperative downloading process is higher than that of the traditional client-server architectures [5]. As shown in Figure 2, a tagged peer wishing to download a 269

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file from scratch needs to get a corresponding torrent file - hereafter referred to as torrent - from the system. Torrents are very small files, typically hosted by conventional Web servers (torrent servers), and can be found through standard Internet search engines. A torrent contains the name of the file’s tracker. This is a node that constantly tracks which peers have chunks of the file (i.e., belong to the swarm). When a peer joins a swarm it registers with the tracker and, then, periodically informs the tracker that it is still in the swarm.

Fig. 2. File Distribution Process. The figure gives a snapshot of the system at the time when the tagged peer starts the download process. Once obtained the tracker’s address, the tagged peer opens a TCP/IP connection to the tracker and receives a random list of peers to be contacted for starting the download process. At any given time the tagged peer will be in touch with a set of peers, called neighbors, with which it exchanges parts of the file. The neighbor set changes dynamically since, as time elapses, some peers may leave the swarm and others may join. In addition, each peer preferentially selects, for downloading chunks, those peers from which it can achieve the highest download rate (see below). Furthermore, every 270


30 seconds neighbors are selected completely at random, as a way to discover new neighbors and allow new peers in a swarm to startup. This legacy BitTorrent architecture is not energy efficient. BitTorrent peers have to stay connected to the overlay network during the whole download process of requested files, which, typically, may take several hours. Periodically turning off peers without modifying the BitTorrent architecture is not a viable solution for several reasons. First of all, if a peer is downloading content, powering it off does not save any energy (related to the current download), as the download itself stops when the peer turns off. Also, powering off peers that are not downloading anything (but are sharing content) is also not an efficient solution in general, as this can result in decreasing the overall download performance of the swarms they participate to. Thinking at coordinated ways of powering those peers is also not appropriate, as it would require central control, and is thus at odds with the BitTorrent P2P design paradigm.

Fig. 3. High-level representation of the Energy-Efficient BitTorrent architecture The authors in [5] are proposed a proxy-based Energy Efficient BitTorrent (EE-BT) architecture to overcome these drawbacks. The basic idea of this architecture is illustrated in Figure 3. It assumes a standard LAN environment where a certain number of users run BitTorrent peers on their PCs. One computer in the LAN behaves as a proxy between the peers and the rest of the BitTorrent network. The proxy can either be a dedicated computer, or a 271

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machine that has to be continuously powered on for providing other network services (e.g., DHCP, Web proxy, etc.). Clearly, the latter case is preferable from an energy saving standpoint. Peers “behind” the BitTorrent proxy ask the proxy itself to download the requested content on behalf of them. The proxy participates to the conventional BitTorrent overlay, and takes care of all downloads of the peers behind it. While downloads are in progress, the peers behind the proxy can be switched off without stopping the requested downloads. Finally, the requested files are transferred from the proxy to the peers upon completion. The proposed architecture is evaluated in a realistic testbed, measuring the file download time with the legacy and proxy-based architectures, respectively. The experimental results have shown that the proxy-based architecture can save up to 95% of the energy consumed by each PC when using the legacy solution. This shows the effectiveness of the approach from the energy efficiency point of view. In addition, the results have shown that using the BitTorrent Proxy does not introduce any degradation to the QoS. Rather, the average time to download a file reduces by approximately 22% when using the proxy-based architecture since the number of files shared with the overlay network by the proxy is greater than the number of files shared by any single peer. Therefore, this architecture is also scalable, as it does not require modifications of the BitTorrent global architecture, nor global coordination between sets of BitTorrent peers. Case 4) Green algorithm: how to write a green code? One of the essential elements to write a green code is to avoid as much as we can the inner loops in order to reduce the processing power. We will take a basic example of lottery and we solve it with two inner loops (direct solution) then with one loop (more sophisticated solution): The function uses a modified version of the linear search algorithm in order to check how many numbers on a given lottery lottery match the winning numbers, assuming that both the numbers on the lottery and the numbers drawn are in ascending order:

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/* * Function: lotteryCheck * * @param struct lottery * @param array winningNums[10] * * Takes in a lottery, counts how many numbers * in the lottery match, and returns the number * of matches. * * Uses a modified linear search algorithm, * in which the index of the successor to the * last matched number is used as the index of * the first number tested for the next lottery value. * * @return int numMatches */ int lotteryCheck( struct lottery lottery, int winningNums[10] ) { int numMatches = 0; int offset = 0; int i; int j; for( i = 0; i < 10; i++ ) { for( j = 0 + offset; j < 10; j++ ) { if( lottery.lotteryNum[i] == winningNums[j] ) { numMatches++; offset = j + 1; break; } if( lottery.lotteryNum[i] < winningNums[j] ) { i++; 273

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j--; continue; } } } return numMatches; } The complexity of this code is O(n2) if every lotteryNum is greater than every winningNum. (This is because the inner j loop doesn't break when j==10 like it should, but runs the next i iteration instead.) For instance, the previous code can be written in more sophisticated way by using one loop: for (i=0,j=0; i